Agreement
on the Baltic Common Transit Procedure  

THE REPUBLIC OF ESTONIA, THE REPUBLIC OF LATVIA, THE REPUBLIC OF LITHUANIA

hereinafter referred to as the Contracting Parties

CONSIDERING the fact that the ultimate objective of the Republic of Estonia, the Republic of Latvia and the Republic of Lithuania is to become members of the European Union;

CONSIDERING the Agreement on the Free Trade among the Republic of Estonia, the Republic of Latvia and the Republic of Lithuania signed on 13 September 1993;

CONSIDERING the Resolutions of the Heads of Government of the Republic of Estonia, the Republic of Latvia and the Republic of Lithuania "On Via Baltica" signed in Riga on 13 February 1995 and "On the Improvement of Transit Transport" signed in Tallinn on 6 February 1997 calling for the creation of the Baltic Transit System based on the provisions of the Convention on a Common Transit Procedure (Interlaken, 1987);

CONSIDERING that the Single Administrative Document is already being used for the customs transit procedure by all Contracting Parties;

INTENDING to accede to the Convention on a Common Transit procedure in the future;

HAVE DECIDED to conclude the following Agreement:

General Provisions
Article 1

1. This Agreement lays down measures for the carriage of goods in transit between the Contracting Parties, including, where applicable, goods transhipped, reconsigned or warehoused, by introducing the Baltic Common Transit procedure regardless of the kind and origin of the goods.

2. (This Article does not contain paragraph 2).

3. Subject to the provisions of Article 7 to 12 below, the rules governing the Baltic Common Transit procedure are set out in Appendices I and II to this Agreement.

4. Transit declarations and transit documents for the purposes of the Baltic Common Transit procedure shall conform to and made out in accordance with Appendix III to this Agreement.

5. The rules for ensuring recovery in each Contracting Party of the claims which arise in another Contracting Party are set out in Appendix IV to this Agreement.

Article 2

1. The Baltic Common Transit procedure shall hereinafter be described as the T1B procedure.

2. The T1B procedure may be applied to any goods carried in accordance with Article 1, paragraph 1.

3. (This Article does not contain paragraph 3).

4. (This Article does not contain paragraph 4).

Article 3

1. For the purposes of this Agreement, the term:

(a) "transit" shall mean a customs procedure under which goods are carried under the control of the competent authorities from on one office of a Contracting Party to another office of the same Contracting Party or that of another Contracting Party over at least one frontier;

(b) (this paragraph does not contain subparagraph (b));

(c) "third country" shall mean any State which is not a Contracting Party to this Agreement.

2. (This Article does not contain paragraph 2).

3. (This Article does not contain paragraph 3).

Article 4

1. This Agreement shall be without prejudice to the application of any other international agreement concerning a transit procedure, subject to any limitations to such application in respect of the carriage of goods from one point in the territory of a Contracting Party to another point in the territory of the same Contracting Party and to any limitations on the issue of documents certifying the national status of goods.

2. This Agreement shall be without prejudice also to:

(a) movements of goods under a temporary admission procedure;

and

(b) agreements concerning frontier traffic.

Article 5

(This Agreement does not contain Article 5)

Article 6

Provided that the implementation of any measures applicable to the goods is ensured, Contracting Parties may, within the T1B procedure, introduce among themselves simplified procedures, by means of bilateral agreements, which shall conform to criteria to be laid down, where necessary, in Appendix II and which shall be applicable to certain types of traffic of to designated undertakings.

Such agreements shall be communicated to the Joint Committee (see Articles 14 and 15) and to the nonparticipating Contracting Party.

Implementation of the transit procedure
Article 7

1. Subject to any special provisions of this Agreement, the competent Customs offices of the Contracting parties are empowered to assume the functions of offices of departure, offices of transit, offices of destination and offices of guarantee.

2. (This Article does not contain paragraph 2).

3. Where several consignments of goods are grouped together and loaded on a single means of transport, within the meaning of Article 12, paragraph 2, of Appendix I, and are dispatched as a consolidated load by one principal in a single T1B operation, from one office of departure to one office of destination for delivery to one consignee, a Contracting Party may require that those consignments shall save in exceptional, duly justified cases, be included in one single T1B declaration with the corresponding loading lists.

4. A person completing export formalities at the frontier Customs office of a Contracting Party shall not be required to place the goods consigned under the T1B procedure, irrespective of the customs procedure under which the goods will be placed at the neighbouring frontier Customs office.

5. The frontier Customs office of the Contracting Party where export formalities are completed may refuse to place the goods under the T1B procedure if that procedure is to end at the neighbouring frontier Customs office.

Article 8

No addition, removal or substitution may be made in the case of goods forwarded under cover of a T1B document, in particular when consignments are split up, transshipped or bulked.

Article 9

(This Agreement does not contain Article 9)

Article 10

1. Except where otherwise provided for in paragraph 2 below or in the Appendices, any T1B operation shall be covered by a guarantee valid for all Contracting Parties involved in that operation.

2. The provisions of paragraph 1 shall not prejudice the right:

(a) of the Contracting Parties to agree among themselves that the guarantee shall be waived for T1B operations involving only their territories;

(b) of a Contracting Party not to require a guarantee for the part of a T1B operation between the office of departure and the first office of transit.

3. For the purposes of the flat-rate guarantee as provided for in Appendices I and II, the ECU means the amount of national currency of the Contracting Party in question calculated by using exchange rate of the ECU established by the National Bank of that Contracting Party on the first working day of the month of October, and shall be applied from 1 January of the following year.

If a rate is not available for a particular national currency, the rate to be applied shall be that of the first day for which a rate has been established after the first working day of October, the rate to be applied shall be that of the last day prior to that date for which a rate has been established.

Article 11

1. As a general rule, identification of the goods shall be ensured by sealing.

2. The following shall be sealed:

(a) the space containing the goods, when the means of transport has already been approved under other regulations or recognised by the office of departure as suitable for sealing;

(b) each individual package in other cases.

3. Means of transport may be recognised as suitable for sealing on condition that:

(a) seals can be simply and effectively affixed to them;

(b) they are so constructed that no goods can be removed or introduced without leaving visible traces of tampering or without breaking the seals;

(c) they contain no concealed spaces where goods may be hidden;

(d) the spaces reserved for the load are readily accessible for inspection by the competent authorities.

4. The office of departure may dispense with sealing if, having regard to other possible measure for identification, the description of the goods in the T1B declaration or in the supplementary documents makes them readily identifiable.

Article 12

1. Additional copy No 4 of the T1B document shall be supplied for the purposes of transit statistics unless not required by a Contracting Party to the first office of transit in the territory of each Contracting Party.

2. However, the additional copy referred to above shall not be required when the goods are carried under the conditions laid down in Chapter I of Title IV of Appendix II.

3. The principal or his authorized representative shall, at the request of the authorities of the Contracting Parties responsible for transit statistics, provide any information relating to T1B documents necessary for the compilation of statistics.

Administrative assistance
Article 13

1. The competent authorities of the Contracting Parties concerned shall furnish each other with any information at their disposal which is of importance in order to verify the proper application of this Agreement.

2. Where necessary, the competent authorities of the Contracting Parties concerned shall communicate to one another all findings, documents, reports, records of proceedings and information relating to transport operations carried out under the T1B procedure as well as to irregularities or infringements in connection with such operations.

Furthermore, where necessary, they shall communicate to one another all findings relating to goods in respect of which mutual assistance is provided for and which have been subject to a customs warehousing procedure.

3. Where irregularities or infringements are suspected in connection with goods which have been brought into the territory of one Contracting Party from the territory of another Contracting Party or have passed through a Contracting Party or have been stored under a warehousing procedure, the competent authorities of the Contracting Parties concerned shall on request communicate to one another all information concerning:

(a) the conditions under which those goods were carried:

— whatever the way in which they were reconsigned, where they arrived in the territory of the Contracting Party to which the request is addressed under cover of a T1B document, or

— whatever the way in which they arrived, where they were reconsigned from the territory of the Contracting Party to which the request is addressed under cover of a T1B document;

(b) the conditions of any warehousing of those goods where they arrived in the territory of the Contracting Party to which the request is addressed under cover of a T1B document or where they were reconsigned from the territory of that Contracting Party under cover of a T1B document.

4. Any request made under paragraphs 1 to 3 shall specify the case to which it refers.

5. If the competent authority of a Contracting Party requests assistance which it would not able to give if requested, it will draw attention to that fact in the request. Compliance with such a request will be within the discretion of the competent authority to whom the request is made.

6. Information obtained in accordance with paragraphs 1 to 3 shall be used solely for the purpose of this Agreement and shall be accorded the same protection by a receiving Contracting Party as if afforded to information of like nature under the national law of that Contracting Party. Such information may be used for other purposes only with the written consent of the competent authority which furnished it and subject to any restrictions laid down by that authority.

Recovery
Article 13 A

The competent authorities of the Contracting parties concerned shall, in accordance with the provisions of Appendix IV, render each other assistance for the recovery of claims, if these claims have arisen in connection with a T1B operation.

The Joint Committee
Article 14

1. A Joint Committee is hereby established in which each Contracting Party to this Agreement shall be equally represented.

2. The Joint Committee shall act by mutual agreement.

3. The Joint Committee shall meet where necessary, but at least once a year. Any Contracting party may request that a meeting be held.

4. The Joint Committee shall adopt its own rules of procedure which shall, inter alia, contain provisions for convening meetings and for designation of the chairman and his term of office.

5. The Joint Committee may decide to set up any sub-committee or working party that can assist it in carrying out its duties.

Article 15

1. It shall be the responsibility of the Joint Committee to administer this Agreement and ensure its proper implementation. For this purpose, it shall be regularly informed by the Contracting Parties on the experiences of the application of this Agreement and make recommendations, and in the cases provided for in paragraph 3, it shall take decisions.

2. In particular it shall recommend:

(a) amendments to this Agreement, other than those referred to in paragraph 3;

(b) any other measure required for its application.

3. The Joint Committee shall adopt by decision:

(a) amendments to the Appendices;

(b) amendments of the definition of the ECU as set out in Article 10 (3);

(c) other amendments to this Agreement made necessary by amendments to the Appendices;

(d) measures to be taken under Article 28 (2) of Appendix I;

(e) (this paragraph does not contain subparagraph (e));

(f) (this paragraph does not contain subparagraph (f));

Decisions taken under subparagraphs (a) to (d) shall be put into effect by the Contracting Parties in accordance with their own legislation.

4. If, in the Joint Committee, a representative of a Contracting Party has accepted a decision subject to the fulfillment of constitutional requirements, the decision shall enter into force, if no date is contained therein, on the first day of the second month after lifting of reservation is notified.

5. (This Article does not contain paragraph 5).

6. (This Article does not contain paragraph 6).

Accession of third countries
Article 15 A

(This Agreement does not contain Article 15 A)

Miscellaneous and final provisions
Article 16

Each Contracting Party shall take appropriate measures to ensure that the provisions of this Agreement are effectively and harmoniously applied, taking into account the need to reduce as far as possible the formalities imposed on operators and the need to achieve mutually satisfactory solutions of any difficulties arising out of the operation of those provisions.

Article 17

The Contracting Parties shall keep each other informed of the provisions which they adopt for the implementation of this Agreement.

Article 18

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

Article 19

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

Article 20

1. This Agreement shall apply to the territories of the Contracting Parties.

2. (This Article does not contain paragraph 2).

Article 21

Any Contracting Party may withdraw from this Agreement provided it gives 12 months’ notice in writing to the depositary, which shall notify other Contracting Parties.

Article 22

1. This Agreement shall enter into force on 1 January 1999, provided that the Contracting Parties, before 1 November 1998, have notified in writing the Ministry of Foreign Affairs of the Republic of Lithuania, acting as depositary, that constitutional requirements for entry into force of the Agreement have been fulfilled.

2. If this Agreement does not enter into force on 1 January 1999, it shall enter into force on the first day of the second month following the last notification refered to in paragraph 1.

3. The depositary shall notify the Contracting Parties without delay the date of the notification referred to in paragraph 1 and the date of entry into force of this Agreement.

Article 23

(This Agreement does not contain Article 23)

Article 24

This Agreement, which is drawn up in a single copy in the Estonian, Latvian, Lithuanian and English languages, all texts being equally authentic, shall be deposited in the archives of the Ministry of Foreign Affairs of the Republic of Lithuania, which shall deliver a certified copy thereof to each Contracting Party. In case of divergence of the interpretation of this Agreement the English text shall prevail.

Done at Sigulda, on 10 July 1998

For the Republic	For the Republic	For the Republic
of Estonia	of Latvia	of Lithuania

  APPENDIX I

Title I

GENERAL PROVISIONS

Article 1

1. The Baltic Common Transit Procedure laid down in this Agreement shall be applicable to the carriage of goods in accordance with Article 1 (1) of the Agreement.

2. It shall be the T1B procedure subject to Article 2 of the Agreement.

Article 2

(This Article does not contain subparagraphs (a) and (b))

For the purposes of this Agreement:

(c) "competent authorities" means the customs authority or any other authority responsible for applying this Agreement, according to the legislation of the Contracting Party in which the authority in question is situated.

(d) "principal" means the person who, in person or through an authorized representative, indicates, by lodging the appropriate declaration, that he wishes to carry out transit operation;

(e) "means of transport" means, in particular:

— any road vehicle, trailer or semi-trailer,

— any container within the meaning of the Customs Convention on containers if transported by road;

(f) "office of departure" means the office of the competent authority where the transit operation begins;

(g) "office of transit" means the customs office at the point of entry into a Contracting Party other than the Contracting Party of departure;

(h) "office of destination" means the office of the competent authority where goods placed under the transit procedure must be produced to complete the transit operation;

(i) "office of guarantee" means the office of the competent authority where a comprehensive or flat-rate guarantee is lodged;

(j) "internal frontier" means a frontier common to two Contracting Parties.

Articles 3 to 9

(This Appendix contains no Titles II to IV or Articles 3 to 9)

Title V

T 1B PROCEDURE

Chapter I

PROCEDURE

Article 10

1. All goods which are to be carried under the T1B procedure shall be the subject of a T1B declaration, in accordance with the conditions laid down in this Agreement. A T1B declaration means a declaration on a form corresponding to the specimen forms contained in Appendix III.

2. The form referred to in paragraph 1 may be supplemented, where appropriate, by one or more supplementary forms corresponding to the specimen supplementary forms contained in Appendix III.

3. The forms referred to in paragraphs 1 and 2 shall be printed and completed in the official languages of the Contracting Parties accepted by the competent authorities of the Contracting Party of departure. Where necessary, the competent authorities of the Contracting Party concerned in the T1B operation may require translation into the official language of that Contracting Party or into English or Russian.

4. The T1B declaration shall be signed by the principal and at least three copies thereof shall be produced at the office of departure.

5. Supplementary document appended to a T1B declaration shall form an integral part thereof.

6. The T1B declaration shall be accompanied by the transport document.

The office of departure may dispense with production of this document at the time of completion of customs formalities. However, the transport document shall be produced whenever required by the customs or by any other competent authority in the course of carriage.

7. Where the T1B procedure in the Contracting Party of departure succeeds another customs procedure, reference shall be made on the T1B declaration to that procedure or to the corresponding customs documents.

Article 11

1. The principal shall be responsible for:

(a) production of the goods intact and the T1B document at the office of destination by the prescribed time limit and with due observance of the measures adopted by the competent authorities to ensure identification;

(b) observance of the provisions relating to the Baltic Common Transit Procedure;

(c) payment of duties and other charges due as a result of an offence or irregularity committed in the course of or in connection with a Baltic Common Transit operation.

2. Notwithstanding the principal’s obligations under paragraph 1, a carrier or recipient of goods who accepts goods knowing that they are moving under the Baltic Common Transit Procedure shall also be responsible for production of the goods intact at the office of destination by the prescribed time limit and with due observance of the measures adopted by the competent authorities to ensure identification.

Article 12

1. The same means of transport may be used for the loading of goods at more than one office of departure and for unloading at more than one office of destination.

2. Each T1B declaration shall include only the goods loaded or to be loaded on a single means of transport for carriage from one office of departure to one office of destination.

For the purposes of the first subparagraph, the following shall be regarded as constituting a single means of transport, on condition that the goods carried are to be dispatched together:

(a) a road vehicle accompanied by its trailer(s) or semi-trailer(s);

(b) (this Article does not contain subparagraph (b));

(c) (this Article does not contain subparagraph (c));

(d) containers loaded on a means of transport within the meaning of this Article.

Article 13

1. The office of departure shall accept and register the T1B declaration, prescribe the period within which the goods must be produced at the office of destination and take such measures for identification as it considers necessary.

1.A. When the provisions of Article 34 B of Appendix II apply or when the Customs authorities consider it necessary, the office of departure may specify an itinerary for the consignment. The itinerary shall only be changed upon application by the principal, by the customs authorities of the Contracting Party in which the goods are located during the course of the prescribed movement. The customs authorities shall record the relevant details on the T1B document, and inform the office of departure without delay.

1.B. In case of ‘force majeure’ the transporter may divert from the prescribed itinerary. The goods and the T1B document must be presented without delay to the nearest Customs authorities of the Contracting Party where the goods are situated. The customs authorities shall without delay inform the office of departure of the change to the itinerary, and note the relevant details on the T1B document.

2. The office of departure shall enter the necessary particulars on the T1B declaration, shall retain its own copy and hand back the others to the principal or his representative.

Article 14

(This Appendix does not contain Article 14)

Article 15

1. The copies of the T1B document handed back to the principal or to his representative by the office of departure shall accompany the goods.

2. For supervision purposes, each Contracting Party may prescribe transit routes within its territory.

Article 16

Each Contracting Party shall provide the Joint Committee and the other Contracting Parties with a list of the offices authorized to deal with T1B operations, stating at what hours they are open and indicating their competence in the implementing of the Baltic Common Transit procedure.

Article 17

Copies of the T1B document shall be produced as required by the competent authorities.

Article 18

1. The consignment and the copies of the T1B document shall be produced at each office of transit.

2. The carrier shall give a transit advice note to each office of transit. The design of the transit advice note is laid down in Appendix II.

3. The offices of transit shall not inspect the goods unless some irregularity is suspected which could result in abuse.

4. Where goods are carried via an office of transit other than that mentioned in the T1B document, that office shall without delay send the transit advice note to the office mentioned in that document.

Article 19

Where goods are loaded or unloaded in the presence of intermediate competent authorities, copies of the T1B document handed back by the office(s) of departure shall be produced to those authorities.

Article 20

1. The goods described on a T1B document may, without the need for a new declaration to be made, be transferred to another means of transport under the supervision of the competent authorities of the Contracting Party in the territory of which the transfer is to be made. In such a case, the competent authorities shall record the relevant details on the T1B document.

2. The competent authorities may, subject to such conditions as they shall determine, authorize such transfer without their supervision. In such a case, the carrier shall record the relevant details on the T1B document and shall inform the competent authorities of Contracting Party of transfer, for the purposes of authentication.

Article 21

1. If seals are broken in the course of carriage without the carrier’s so intending, the carrier shall, as soon as possible, request that a certified report be drawn up by the competent authorities in the territory of the Contracting Party in which the means of transport is located. The authorities concerned shall, if possible, affix new seals.

2. In the event of an accident necessitating transfer to another means of transport, Article 20 shall apply.

3. In the event if imminent danger necessitating immediate unloading of the whole load or of part of the load, the carrier may take action on his own initiative. He shall record such action on the T1B document. Paragraph 1 shall apply in such a case.

4. If, as a result of accidents or other incidents arising in the course of carriage, the carrier is not in a position to observe the limit referred to in Article 13, he shall inform the competent authorities referred to in paragraph 1 as soon as possible. Those authorities shall then record the relevant details on the T1B document.

Article 22

1. The goods and the T1B document shall be produced at the office of destination.

2. The office of destination shall record on the copies of the T1B document the details of controls carried out and shall without delay send a copy to the office of departure and retain the other copy.

3. The T1B operation may be concluded at an office other than that mentioned in the T1B document. That other office shall then become the office of destination.

4. Where the goods are produced at the office of destination after expiry of the time limit prescribed by the office of departure and where this failure to comply with the time limit is due to circumstances which are explained to the satisfaction of the office of destination and are not attributable to the carrier or the principal, the latter shall be deemed to have complied with the time limit prescribed.

5. If, in the case of change of office of destination, as referred to in paragraph 3, the new office of destination belongs to a Contracting Party other than that having jurisdiction over the office entered in the T1B document, then the new office of destination shall enter in the "Control by office of destination" box of the return copy of the T1B document, in addition to the usual statement which it is obliged to enter, one of the following statement (Differences: office where goods were presented ............ (name, code and country)):

EE: Erinevused: tolliasutus, kus kaubad esitati................. (nimi, kood ja riik),

LV: Atšķirības: Iestāde, kurā preces tika uzrādītas.......................... (nosaukums, kods un valsts),

LT: Skirtumai: Įstaiga, kuriai pateiktos prekės ............ (pavadinimas, kodas ir valstybė).

6. In the situation referred to in paragraph 5, if the T1B document bears one of the following statements the new office of destination must keep the goods under its control and may not allow their removal to any destination, other than back to the Contracting Party having jurisdiction over the office of departure, without specific authorisation for the latter 

(Export from ....................subject restrictions):

             (name of country)

EE: Eksport riigist ..........................................vastavalt piirangutele,

                      (riigi nimetus)

LV: Eksports no ................................................pakļauts ierobežojumiem,

                      (valsts nosaukums)

LT: Eksportui iš .......................................... taikomi apribojimai.

                  (valstybės pavadinimas)

Export from ........................ subject to duty:

          (name of the country)

EE: Eksport riigist .............................................maksustatav maksuga,

                                     (riigi nimetus)

LV: Eksports no .......................................... ir apliekams ar muitas maksājumiem,

                                (valsts nosaukums)

LT: Eksportas iš .......................................... apmokestinamas.

                            (valstybės pavadinimas)

7. The office of departure shall not discharge the T1B document until all the obligations arising from the change in office of destination have been complied with. Where appropriate, it shall inform the guarantor of the non-discharge.

Article 23

The Baltic Common Transit operation shall end when the goods and the corresponding T1B document are produced at the office of destination. Discharge of the corresponding T1B document at the office of destination shall take place without delay, on condition that the goods:

— have been placed under another customs procedure or

— have been directly transferred across the border to a third country or to a free zone or

— have been transferred to a place approved by the customs authorities where goods can be stored until customs declaration is lodged, in accordance with the legislation in force in the Contracting Party of destination.

Chapter 2

GUARANTEES

Article 24

1. In order to ensure collection of the duties and other charges which each Contracting Party is authorized to collect in respect of goods passing through its territory in the course of a T1B operation, the principal shall furnish a guarantee, subject to the provisions of Article 33.

The guarantee referred to in the first subparagraph shall be valid for all Contracting Parties involved in the T1B operation in question.

2. The guarantee may be comprehensive, covering a number of T1B operations, or individual, covering a single T1B operation.

3. Subject to Article 29 (2), the guarantee shall consist of the joint and several guarantee of any legal third person who shall:

— be established in the Contracting Party in which the guarantee is provided,

and

— have been approved by the competent authority of that Contracting Party, subject to the provisions in force in the latter and to the conditions governing approval as may be laid down by that authority.

Article 25

1. The guarantee referred to in Article 24 (3) shall conform to the specimens shown in Appendix II.

2. Where the provisions laid down by national law, regulation or administrative action or common practice so required, each Contracting Party may allow the guarantee to be in a different form, on condition that it has the same legal effects as laid down in the specimen documents.

Article 26

1. The comprehensive guarantee shall be lodged in an office of guarantee.

2. The use of the comprehensive guarantee shall be granted only to legal persons:

— who are established in the Contracting Party where the guarantee is provided,

— who have regularly used as a principal or consignor the Baltic common transit regime during the previous six months or who are known by the competent authorities to have a financial situation allowing them to fulfil their commitments and

— who have not committed any serious or repeated irregularity against customs or tax laws.

3. The office of guarantee shall decide the amount of the guarantee, accept the guarantor’s undertaking, and issue an authorisation allowing the principal to carry out, within the limit of the guarantee, any T1B operation irrespective of the office of departure.

4. Each person having obtained an authorisation shall be given, subject to the conditions laid down by the competent authorities of the Contracting Parties concerned one or more certificates of guarantee made out on a form conforming to the specimen set out in Appendix II.

5. Reference to the guarantee certificate shall be made on each T1B declaration.

Article 27

The office of guarantee shall revoke the authorisation for the use of the comprehensive guarantee if the conditions under which it was issued no longer obtain.

Article 28

1. Each Contracting Party may accept that the guarantor referred to in Article 24 guarantees by declaration, by a single guarantee and for flat-rate amount to be determined in Appendix II, payment of duties and other charges which may become chargeable in the course of a T1B operation carried out under his responsibility, whoever the principal may be. If carriage of the goods presents increased risks, having regard, in particular, to the amount of duties and other charges to which they are subject in one or more Contracting Parties, the flat-rate amount shall be fixed by the office of departure at a higher level.

The guarantee referred to in the first subparagraph shall conform to a specimen shown in Appendix II.

2. The flat-rate guarantee shall be lodged with an office of guarantee.

Article 29

1. An individual guarantee furnished for a single T1B operation shall be lodged at the office of departure. The office of departure shall fix the amount of the guarantee.

2. (This Article does not contain paragraph 2).

3. (This Article does not contain paragraph 3).

Article 30

Without prejudice to provisions prescribing other cases of exemption, the principal shall be exempted by the competent authorities of the Contracting Parties concerned from payment of duties and other charges in the case of:

(a) goods which have been destroyed as a result of force majeure or unavoidable accident duly proven;

(b) recognized shortages arising from the nature of the goods.

Article 31

The guarantor shall be released from his obligations when the T1B document has been discharged at the office of departure.

When the guarantor has not been advised by the competent authorities of the Contracting Party of departure of the non-discharge of the T1B document, he shall likewise be released from his obligations upon expire of a period of 12 months from the date of registration of the T1B declaration.

Where, within the period provided for in the second subparagraph, the guarantor has been advised by the competent authorities of the non-discharge of the T1B document, he shall, in addition, be notified that he is or may be required to pay the amounts for which he is liable in respect of the T1B operation in question.

This notification shall reach the guarantor not later than three years after the date of registration of the T1B declaration. Where no such notification has been made before the expiry of the aforementioned time limit, the guarantor shall likewise be released from his obligations.

Chapter 3

GUARANTEE WAIVER

Articles 32 to 33

(This Appendix does not contain Articles 32 to 33)

Chapter 4

IRREGULARITIES

Article 34

1. When it is found that, in the course of a T1B operation, an offence or irregularity has been committed in a particular Contracting Party, the recovery of duties or other charges which may be chargeable shall be effected by that Contracting Party in accordance with its provisions laid down by law, regulation or administrative action, without prejudice to the institution of criminal proceedings.

2. If the place of the offence or irregularity cannot be determined, it shall be deemed to have been committed:

(a) when, in the course of a T1B operation, the offence or irregularity is detected at an office of transit situated at an internal frontier: in the Contracting Party which the means of transport or the goods have just left;

(b) (this paragraph does not contain subparagraph b);

(c) when, in the course of a T1B operation, the offence or irregularity is detected in the territory of a Contracting Party elsewhere than at an office of transit: in the Contracting Party in which it is detected;

(d) when the consignment has not been produced at the office of destination: in the last Contracting Party which the means of transport or the goods are shown by the transit advice note to have entered;

(e) when the offence or irregularity is detected after the T1B operation has been concluded: in the Contracting Party in which it is detected.

3. (This Article does not contain paragraph 3).

Chapter 5

LEGAL EFFECTS

Article 35

1. The T1B documents issued in accordance with the rules and the identification measures taken or accepted by the competent authorities of one Contracting Party shall have the same legal effect in other Contracting Parties as the T1B documents issued in accordance with the rules and the identification measures taken or accepted by the competent authorities of each of those Contracting Parties.

2. The findings of the competent authorities of a Contracting Party made when inspections are carried out under the T1B procedure shall have the same force in other Contracting Parties as findings of the competent authorities of each of those Contracting Parties.

Article 36

(This Appendix does not contain Article 36)

Title VI

T2B PROCEDURE

Article 37

(This Appendix does not contain an Article 37)

Title VII

SPECIAL PROVISIONS APPLYING TO CERTAIN MODES OF TRANSPORT

Articles 38 to 40

(This Appendix does not contain Articles 38 to 40)

Title VIII

SPECIAL PROVISIONS APPLYING TO POSTAL CONSIGNMENTS

Article 41

1. By way of derogation from Article 1, the T1B procedure shall not apply to postal consignments (including postal packages).

2. (This Article does not contain paragraph 2).

Title IX

Articles 42 to 44

(This Appendix does not contain Articles 42 to 44)

Title X

Articles 45 to 46

(This Appendix does not contain Articles 45 and 46)

Title XI

Article 47

(This Appendix does not contain Article 47)

APPENDIX II

Title I

GENERAL PROVISIONS

Article 1

This Appendix lays down the detailed procedures for implementing the provisions of the Agreement and Appendix I of the Agreement.

Title II

Article 2

(This Appendix does not contain Article 2)

Title III

COMMUNITY STATUS OF GOODS

Chapter I

GENERAL PROVISIONS

Article 3

(This Appendix does not contain Article 3)

Scope

Article 4

(This Appendix does not contain an Article 4)

Conditions of direct carriage

Article 5

(This Appendix does not contain Article 5)

Chapter II

USE OF DOCUMENTS

Articles 6 to 9

(This Appendix does not contain Articles 6 to 9)

Retroactive issue of documents

Article 10

(This Appendix does not contain Article 10)

Chapter III

DETAILED PROCEDURES SPECIFIC TO CERTAIN TRANSIT PROCEDURES OR TO CERTAIN CATEGORIES OF GOODS

Carriage under cover of TIR carnets or ATA carnets

Articles 11 to 14

(This Appendix does not contain Articles 11 to 14)

Goods in passenger-accompanied baggage

Article 15

1. The T1B procedure shall not be compulsory for the carriage of goods accompanying passengers or contained in their luggage, if the goods concerned are not intended for commercial use.

2. (This Article does not contain paragraph 2).

Chapter IV

ADMINISTRATIVE ASSISTANCE

Article 16

The competent authorities of the Contracting Parties concerned shall assist one another in regard to checking the authenticity and accuracy of the documents and the regularity of the detailed procedures laid down in this Appendix.

Title IV

PROVISIONS APPLYING TO THE T1B PROCEDURE

Chapter I

PROCEDURE

Section 1

Forms

Article 17

1. The T1B declaration shall be made on a single administrative document form, the specimens of which are contained in the Annexes I to IV to Appendix III.

Such declarations shall be drawn up in accordance with the rules laid down in this Agreement.

2. Loading lists based on the specimen in Annex I to this Appendix may, subject to the conditions laid down in Articles 25 to 29, be used as the descriptive part of the T1B declaration. The use thereof shall in no way affect the obligations in respect of formalities for any dispatch/export procedure or any procedure in the Contracting Party of destination, as the case may be, or in respect of the forms used for such formalities.

Section 2

T1B declarations

Description and use

Article 18

1. Where goods have to move under the T1B procedure, the principal shall enter the symbol "T1B" in the right-hand subdivision of box 1 of the form used. Where supplementary forms are used, the principal shall enter the symbol "T1B (a)" in the right-hand subdivision of box 1 of the supplementary form used.

When, in the event of use of a computerised system for processing declarations which issues such declarations, the supplementary forms used conform to the specimen contained in Annexes I or II to Appendix III the symbol "T1B (a)" shall be entered in the right-hand section of box 1 of the said forms.

2. (This Article does not contain paragraph 2).

Mixed consignments

Article 19

(This Annex does not contain Article 19)

Production of the export/dispatch declaration with the transit declaration

Article 20

Without prejudice to any measures of simplification applicable, the customs document for the dispatch or redispatch of goods or the customs document for the exportation or re-exportation of goods or any document having equivalent effect shall be presented to the office of departure together with the transit declaration to which it relates.

For the purposes of the preceding subparagraph and without prejudice to Article 7 (3) of the Agreement, the declaration of dispatch or redispatch or the export or re-export declaration, on the one hand, and the transit declaration on the other, may be combined on a single form.

Presentation of T1B declarations

Article 21

1. The declaration shall be presented at the competent office during the days and hours appointed for opening. However, the competent office may, at the request and expense of the declarant, authorize the declaration to be presented outside the appointed days and hours.

2. Any declaration presented to the officials of a competent office in any other place duly designated for that purpose by agreement between the competent authorities and the person concerned shall be regarded as having been presented at the above-mentioned office.

Examination of goods

Article 22

1. The goods shall be examined in the places designated and during the hours appointed for that purpose.

2. However, the competent office may, at the request of the declarant, carry out the examination of the goods in places or hours other than those referred to in paragraph 1.

Any costs involved shall be borne by the declarant.

Section 3

Loading lists

Definition

Article 23

The loading list referred to in Article 17 (2) means any commercial document which complies with the conditions laid down in Articles 24 to 29 and in Articles 60 to 63.

Form of loading lists

Article 24

The loading list shall include:

(a) the heading "Loading list";

(b) a box, 70 x 55 mm, divided into a top part 70 x 15 mm for the insertion of the symbol "T1B" followed by one of the endorsements referred to in Article 18 (1) and (2) a lower part 70 x 40 mm for the references referred to in Article 27 (3);

(c) columns, in the following order and headed as shown:

— Serial No,

— Marks, numbers, number and kind of package; description of goods,

— Contracting Party of dispatch/export,

— Gross mass (in kilograms),

— Reserved for official use.

The width of the columns may be adapted as necessary, except that the width of the column headed "Reserved for official use" shall be not less than 30 mm. Spaces other than those referred to under (a), (b) and (c) above, may also be used.

Completion of loading lists

Article 25

1. Only the front of the forms may be used as a loading list.

2. Each item shown on a loading list shall be preceded by a serial number.

3. (This Article does not contain paragraph 3).

4. A horizontal line shall be drawn after the last entry and the remaining unused spaces barred so that any subsequent addition is impossible.

Simplification of loading lists

Article 26

1. The competent authorities of each Contracting Party may allow the use as loading lists, within the meaning of Article 17 (2), of lists which do not comply with all the requirements of Articles 23, 24 and 60 to 63.

Use of such lists shall be allowed only where:

(a) they are produced by firms whose records are based on an electronic or automatic data processing system;

(b) they are designed and completed in such a way that they can be used without difficulty by the competent authorities;

(c) they include for each item, the number, kind and marks and numbers of packages, the description of the goods, the Contracting Party of dispatch/export and the gross mass in kilograms.

2. Use, as loading list as referred to in paragraph 1, of descriptive lists drawn up for the purposes of carrying out dispatch/export formalities may also be allowed even where such lists are produced by firms whose records are not based on an electronic or automatic data processing system.

Use of loading lists

Article 27

1. Where the principal uses loading lists for a consignment comprising two or more types of goods, the boxes 15 "Country of dispatch/export", 33 "Commodity code", 35 "Gross mass (kg)", 38 "Net mass (kg)" and, where necessary, 44 "Additional information, documents produced, certificates and authorizations" of the form used for the purposes of T1B procedure shall be barred and box 31 "Packages and description of goods" of that form shall not be used to show the marks and numbers, number and kind of the packages and description of goods. In this case, supplementary forms shall not be used.

2. The loading list shall be produced in the same number of copies as the form used for transit purposes to which it relates.

3. When the declaration is registered, the loading list must bear the same registration number as the form used for the procedure to which it relates. That number must be printed either by means of a stamp incorporating the name of the office of departure or by hand. In the latter case it must be accompanied by the office stamp or by the personal stamp of an official of the office of departure.

The signature of an official of the office of departure shall be optional.

4. Where two or more loading lists accompany a single form used for the T1B procedure, each must bear a serial number allotted by the principal: the number of accompanying loading lists shall be shown in box 4 "Loading lists" of the said form.

5. A declaration on a form which conforms to the specimen in Annexes I and II to Appendix III, bearing the symbol "T1B" in the right-hand subdivision of box 1 and accompanied by one or more loading lists shall, be treated as equivalent to a T1B declaration for the purposes of Article 10 of Appendix I.

Mixed consignments

Article 28

(This Appendix does not contain Article 28)

Consignments comprising only one type of goods

Article 29

The competent authorities of each Contracting Party may allow firms whose records are based on an electronic or automatic data processing system and which, by virtue of Article 26, are already allowed to use loading lists of a special type, to use such lists for T1B transit operations involving only one type of goods where this facility is made necessary by the computer programmes of the firms concerned.

Section 4

Formalities at the office of departure

Time-limit for the presentation of goods

Article 30

The time-limit prescribed by the office of departure by which the goods must be presented at the office of destination shall be binding on the competent authorities of the Contracting Parties whose territory is entered during a T1B transit operation and shall not be altered by those authorities.

Section 5

Transit advice note

Article 31

The form to be completed as the transit advice note for the purposes of Article 18 of Appendix I shall conform to the specimen in Annex II.

Section 6

Formalities at the office of destination

Receipt

Article 32

1. Any person, who delivers to the office of destination a T1B transit document together with the consignment to which that document relates may obtain a receipt on request.

2. The form to be completed as the receipt, to certify that a T1B transit document and the relevant consignment have been presented at the office of destination, shall conform to the specimen in Annex III . However, as regards the T1B transit document, the receipt on the return copy thereof may be used.

3. The receipt shall first be completed by the person concerned and may contain other particulars relating to the consignment, except in the space reserved for the office of destination, but the certification of the office of destination shall be valid only in respect of the particulars contained in that space.

Return of documents — Central offices

Article 33

Each Contracting Party shall have the right to designate one or more central offices to which documents shall be returned by the competent offices in the Contracting Parties of destination. Contracting Parties shall, after designating such offices for that purpose, inform the Joint Committee and the other Contracting Parties accordingly and specify the category of documents to be returned thereto.

Chapter II

GUARANTEES

Section 1

Guarantee documents

Article 34

The guarantee document referred to in Article 25 (1) of Appendix I shall conform to the specimen contained in:

— Annex IV, in the case of a comprehensive guarantee;

— Annex V, in the case of an individual guarantee;

— Annex VI, in the case of a flat-rate guarantee.

Section 2

Amount of the comprehensive guarantee

Article 34 A

Without prejudice to the conditions of Article 34 B the level of the comprehensive guarantee shall be determined in the manner below:

1. The amount of the comprehensive guarantee is fixed at 100 % of the duties and other charges payable, with a minimum of ECU 7 000, under the provisions of paragraph 4, except in the cases referred to in paragraph 2.

2. The customs authority may fix the amount of the comprehensive guarantee at 30 % at least of the duties and other charges payable, with a minimum of ECU 7 000, under the provisions of paragraph 4, as long as:

— the operator has during the period of 2 years regularly carried out Baltic Common Transit operations under the comprehensive guarantee system,

— he has not committed breaches of his obligations during that period,

— the goods are not listed in Annex VIII of Appendix II.

3. The exception provided for in paragraph 2 shall not apply if the conditions referred to therein no longer obtain.

4. The office of guarantee shall make an evaluation over a period of four days of:

— consignments made,

— the duties and other charges payable taking into account the highest level of taxation applicable in the Contracting Party to which the office of guarantee belongs.

This evaluation shall be made on the basis of the commercial and accounting documentation of the person concerned in respect of the goods transported in the course of the previous six months, the amount obtained then being divided by 46.

In the case of applicants for the use of the comprehensive guarantee the office of guarantee shall in collaboration with the person concerned, estimate the quantity, value, and taxes applicable to the goods being transported over a given period based on the data already available. The office of guarantee shall by extrapolation determine the likely value of and taxes on the goods to be transported during the period of four days.

5. The office of guarantee shall carry out every six months a review of the amount of the comprehensive guarantee, in particular on the basis of information from the offices of departure and shall if appropriate, adjust the amount.

Temporary suspension of the comprehensive guarantee

Article 34 B

When T1B operations present, because of the nature of the goods concerned, exceptional risks of fraud, on request of one or more Contracting Parties, the use of the comprehensive guarantee may be temporarily forbidden with regard to such goods by a decision of the Joint Committee.

The meeting of the Joint Committee shall be held and the decision of the Joint Committee to temporarily forbid the use of the comprehensive guarantee shall be taken no later than thirty days from the date of submission of the draft decision to the other Contracting Parties if no objection is lodged by any Contracting Party within this period by means of a letter addressed to the Joint Committee and the other Contracting Parties.

Each Contracting Party shall ensure that the decision is drawn to the attention of its operators.

The exclusion of goods from the comprehensive guarantee system shall be limited to a period of 12 months unless the Joint Committee decides to extend it.

Article 34 C

For T1B transit operations involving goods covered by the provisions of Article 34 B, the following measures shall be applied:

— the HS code using at least four digits shall be shown on the T1B document;

— one of the following mentions should be marked diagonally in red across all copies of the T1B document concerned and should occupy a space of not less than 100 mm by 10 mm (Article 34 B of Appendix II):

EE: Lisa II artikkel 34 B,

LV: II pielikuma 34. B pants,

LT: II priedo 34 B straipsnis;

— the return copies of the T1B documents bearing this reference must be returned to the office of departure no later than one working day following that on which the goods and the T1B document were presented to the office of destination.

Guarantee certificate

Article 35

The guarantee certificate for which provision is made in Article 26 (4) of Appendix I shall conform to the specimen in Annex VII. The certificate shall be issued and used in accordance with Articles 36 to 39.

Authorized persons

Article 36

1. The principal shall, on issue of the certificate of guarantee or at any time during the validity thereof, nominate on his own responsibility on the reverse of the certificate the person, or persons, authorized to sign T1B transit declarations on his behalf. The particulars shall include the surname and forename of each authorized person followed by the signature of that person. Each nomination of an authorized person shall be acknowledged by the signature of the principal. The principal shall be entitled at his discretion to cross through the unused boxes.

2. The principal may at any time delete the name of an authorized person from the reverse of the certificate.

Authorized agents

Article 37

Any person named on the reverse of a guarantee certificate presented at an office of departure shall be deemed to be the authorized agent of the principal.

Period of validity: extension

Article 38

The period of validity of a guarantee certificate shall not exceed two years. However, that period may be extended by the guarantee office for one further period not exceeding two years.

Cancellation

Article 39

If the guarantee is cancelled the principal shall be responsible for returning to the guarantee office forthwith all valid guarantee certificates issued to him.

Each Contracting Party shall forward details of any unreturned valid certificates to the other Contracting Parties.

Section 3

Flat-rate guarantee

Amount of the guarantee

Article 40

Without prejudice to the provisions in Article 41 (2) and (3), the flat-rate amount which the guarantor may be permitted to guarantee by means of a declaration, in accordance with Article 28 (1) of Appendix I shall be equal to ECU 7 000.

Increase in the flat-rate guarantee

Article 41

1. Except in the cases referred to in paragraphs 2 and 3, the office of departure shall not require a guarantee in excess of the flat-rate amount of ECU 7000 for each T1B transit declaration, irrespective of the amount of duties and other charges to which the goods covered by a particular declaration may be liable.

2. Where, owing to circumstances peculiar to it, a transport operation involves increased risks and the guarantee of ECU 7000 is therefore insufficient, the office of departure shall ask for a guarantee of a greater amount in multiples of ECU 7000 in order to guarantee the duties and other charges relating to the total quantity of goods to be dispatched.

In particular a transport operation is considered to present an increased risk of fraud when it includes goods to which with respect to the use of the comprehensive guarantee the provisions of Article 34 B apply.

3. Additionally, the carriage of goods listed in Annex VIII shall give rise to an increase in the amount of the flat-rate guarantee where the quantity of goods carried exceeds the quantity corresponding to the flat-rate amount of ECU 7000.

In that case, the flat-rate amount shall be increased to the multiple of ECU 7000 necessary to guarantee the quantity of goods to be dispatched.

4. The principal shall, in the cases referred to in paragraphs 2 and 3, deliver to the office of departure flat-rate guarantee vouchers corresponding to the required multiple of ECU 7000.

Consignment comprising both sensitive and non-sensitive goods

Article 42

1. Where the T1B transit declaration includes other goods besides those shown in the list referred to in Article 41 (3), the flat-rate guarantee provisions shall be applied as if the two categories of goods were covered by separate declarations.

2. By way of derogation from paragraph 1, account shall not be taken of the presence of goods of either category if the quantity or value thereof is relatively insignificant.

Guarantee vouchers

Article 43

1. Acceptance of the guarantee by the guarantee office shall confer on the guarantor authority to issue, under the terms of the guarantee, a flat-rate guarantee voucher or vouchers to persons who intend to act as principal in a T1B operation from an office of departure of their choice.

2. The flat-rate guarantee voucher shall conform to the specimen in Annex IX. The entries on the back of that specimen may, however, be shown on the front, above the particulars of the legal person issuing the voucher, the following entries remaining unchanged.

3. The guarantor shall be liable up to an amount of ECU 7000 in respect of each flat-rate guarantee voucher.

4. Without prejudice to the provisions of Articles 41 and 44, the principal may carry out one T1B operation under each flat-rate guarantee voucher. The voucher shall be delivered to the office of departure, where it shall be retained.

Flat-rate guarantee vouchers with limited validity

Article 44

The guarantor may issue flat-rate guarantee vouchers:

— which are not valid for a T1B transit operation in respect of goods which are listed in Annex VIII, and

— which may be used in multiples of up to seven vouchers per means of transport as referred to in Article 12(2) of Appendix I for goods other than those referred to in the preceding indent.

For this purpose the guarantor shall mark such flat-rate guarantee vouchers diagonally in capital letters with one of the following statements adding a reference to this subparagraph (Limited validity):

EE: Piiratud kehtivus,

LV: Ierobežots derīgums,

LT: Galiojimas apribotas.

Cancellation

Article 45

The cancellation of a guarantee shall be notified forthwith to the other Contracting Parties by the Contracting Party in which the relevant guarantee office is located.

Section 4

Individual guarantee

Amount of the guarantee

Article 45 A

The amount of the individual guarantee intended to cover T1B operations concerning goods excluded from the comprehensive guarantee pursuant to the provisions of Article 34 B and listed in Annex VIII of this Appendix shall be calculated on the basis of Annex VIII.

Chapter III

Articles 46 to 48

(This Appendix does not contain Articles 46 to 48)

Chapter IV

IRREGULARITIES

Non-presentation of consignments at the office of destination

Article 49

(This Appendix does not contain Article 49)

Proof of the regularity of a transit operation

Article 50

Proof of the regularity of a T1B transit operation, within the meaning of the first subparagraph of Article 34 (2) (d) of Appendix I, shall be furnished to the satisfaction of the competent authorities:

(a) by the production of a customs or commercial document certified by the competent authorities establishing that the goods in question were presented at the office of destination or, where Article 111 applies, to the authorized consignee. That document shall contain enough information to enable the said goods to be identified;

or

(b) by the production of a customs document issued in a third country placing the goods under a customs procedure or by a copy or photocopy thereof; such copy or photocopy must be certified as being a true copy by the organization which certified the original document, by the authorities of the third country concerned or by the authorities of one of the Contracting Parties. The document must contain enough information to enable the goods in question to be identified.

Title V

SPECIAL PROVISIONS CONCERNING THE EXCHANGE VALUE OF THE ECU

Article 51

1. The equivalent in national currencies of the amounts expressed in ECU referred to in this Appendix shall be calculated by using the exchange rate established by the National Bank of a Contracting Party on the first working day of the month of October, and shall be applied from 1 January of the following year.

If a rate is not available for a particular national currency, the rate to be applied shall be that of the first day for which a rate has been established after the first working day of the month of October. If a rate has not been established after the first working day of October, the rate to be applied shall be that of the last day prior to that date for which a rate has been established.

2. The exchange value of the ECU to be used in applying the first subparagraph shall be that which was applicable on the date on which the T1B declaration covered by the flat-rate guarantee voucher or vouchers was registered in accordance with Article 41.

Title VI

SPECIAL PROVISIONS APPLICABLE TO CERTAIN MODES OF TRANSPORT

Chapter I

TRANSPORT BY AIR

Articles 52 to 53

(This Appendix does not contain Articles 52 to 53)

Chapter II

TRANSPORT BY SEA

Articles 54 to 57

(This Appendix does not contain Articles 54 to 57)

Chapter III

TRANSPORT BY PIPELINE

Article 58

(This Appendix does not contain Article 58)

Title VII

Article 59

(This Appendix does not contain Article 59)

Title VIII

PROVISIONS CONCERNING FORMS OTHER THAN THE SINGLE ADMINISTRATIVE DOCUMENT

Type and colour of paper

Article 60

1. The paper used for the forms for loading lists (Annex I), transit advice notes (Annex II) and receipts (Annex III) shall be dressed for writing purposes and weigh at least 40 g/m2; its strength shall be such that in normal use it does not easily tear or crease.

2. The paper used for the flat-rate guarantee voucher (Annex IX) shall be free of mechanical pulp, dressed for writing purposes and weigh at least 55 g/m2. The paper shall have a red printed guilloche pattern background so as to reveal any falsification by mechanical or chemical means.

3. The paper used for the guarantee certificate (Annex VII) forms shall be free of mechanical pulp and weigh not less than 100 g/m2. It shall have a guilloche pattern background on both sides so as to reveal any falsification by mechanical or chemical means. Printing of such background shall be in green.

4. The paper referred to in paragraphs 1,2 and 3 of this Article shall be white, except for the loading lists referred to in Article 17 (2), for which the colour of the paper shall be left to the choice of the user.

Size of forms

Article 61

The sizes of the forms shall be:

(a) 210 x 297 mm for the loading list, a tolerance in the length of - 5 or + 8 mm being allowed;

(b) 210 x 148 mm for the transit advice note, and the guarantee certificate;

(c) 148 x 105 mm for the receipt and flat-rate guarantee voucher.

Languages to be used

Article 62

The declarations and documents shall be drawn up in the official language of a Contracting Party of departure. This provision shall not apply to flat-rate guarantee vouchers.

The competent authorities of another Contracting Party in which the declarations and the documents must be produced may, as necessary, require a translation into the official language of that Contracting Party or into English or Russian.

The language to be used for the guarantee certificate shall be designated by the competent authorities of the Contracting Party responsible for the guarantee office.

Printing of forms and their completion

Article 63

1. The flat-rate guarantee vouchers shall show the name and address of the printer or a mark enabling the printer to be identified. The flat-rate guarantee vouchers shall be serially numbered as a means of identification.

2. Contracting Parties shall be responsible for printing or arranging the printing of guarantee certificates. Each certificate shall be numbered for purposes of identification.

3. Forms for guarantee certificates and flat-rate guarantee vouchers shall be completed using a typewriter or other mechanographical or similar process.

4. Loading lists, transit advice notes and receipts may be completed using a typewriter or other mechanographical or similar process, or legibly in manuscript; in the latter case they shall be completed in ink and in block letters.

5. No erasures or alterations shall be made. Amendments shall be made by striking out the incorrect particulars and, where appropriate, adding those required. Any such amendments shall be initialled by the person making the amendment and authenticated by the competent authorities.

Title IX

Articles 64 to 71

(This Appendix does not contain Articles 64 to 71)

Title X

SIMPLIFIED PROCEDURES

Chapter I

TRANSIT PROCEDURES FOR THE CARRIAGE OF GOODS BY RAIL

Section 1

General provisions relating to carriage by rail

Field of application

Article 72

(This Appendix does not contain Article 72)

Legal force of documents used

Article 73

(This Appendix does not contain Article 73)

Control of records

Article 74

(This Appendix does not contain Article 74)

The principal

Article 75

(This Appendix does not contain Article 75)

Label

Article 76

(This Appendix does not contain Article 76)

Modification of the contract of carriage

Article 77

(This Appendix does not contain Article 77)

Movement of goods between Contracting Parties

Customs status of goods: use of the consignment note CIM

Article 78

(This Appendix does not contain Article 78)

Identification measures

Article 79

(This Appendix does not contain Article 79)

Use of sheets of the consignment note CIM

Article 80

(This Appendix does not contain Article 80)

Carriage of goods to or from third countries

Carriage to third countries

Article 81

(This Appendix does not contain Article 81)

Carriage from third countries

Article 82

(This Appendix does not contain Article 82)

Carriage in transit through the territory of the Contracting Parties

Article 83

(This Appendix does not contain Article 83)

Customs status of goods from third countries or in transit

Article 84

(This Appendix does not contain Article 84)

Section 2

Provisions relating to goods carried in large containers

Field of application

Article 85

(This Appendix does not contain Article 85)

Definitions

Article 86

(This Appendix does not contain Article 86)

Legal force of document used

Article 87

(This Appendix does not contain Article 87)

Control of records — Information to be supplied

Article 88

(This Appendix does not contain Article 88)

The principal

Article 89

(This Appendix does not contain Article 89)

Customs formalities during carriage by means other than rail

Article 90

(This Appendix does not contain Article 90)

Label

Article 91

(This Appendix does not contain Article 91)

Modification of the contract of carriage

Article 92

(This Appendix does not contain Article 92)

Movement of goods between Contracting Parties

Customs status of goods-list

Article 93

(This Appendix does not contain Article 93)

Identification measures

Article 94

(This Appendix does not contain Article 94)

Use of sheets of TR transfer note

Article 95

(This Appendix does not contain Article 95)

Carriage of goods to or from third countries

Carriage to third countries

Article 96

(This Appendix does not contain Article 96)

Carriage from third countries

Article 97

(This Appendix does not contain Article 97)

Carriage in transit through the territories of the Contracting Parties

Article 98

(This Appendix does not contain Article 98)

Customs status of goods from third countries or in transit

Article 99

(This Appendix does not contain Article 99)

Section 3

Other provisions

Loading lists

Article 100

(This Appendix does not contain Article 100)

Section 4

Scope of the normal procedures and the simplified procedures — combined road rail transport

Article 101

(This Appendix does not contain Article 101)

Chapter II

SIMPLIFICATION OF FORMALITIES TO BE CARRIED OUT AT OFFICES OF DEPARTURE AND DESTINATION AND DURING TRANSIT

General provisions

Article 102

The formalities relating to the T1B procedures shall be simplified in accordance with the provisions of this Chapter.

Formalities at the office of departure

The authorized consignor

Article 103

The competent authorities of each Contracting Party may authorize any person who fulfils the conditions laid down in Article 104 and who intends to carry out T1B operations (hereinafter referred as "the authorized consignor") not to present at the office of departure either the goods concerned or the T1B declaration in respect thereof.

Conditions of the authorization

Article 104

1. The authorization provided for in Article 103 shall be granted only to persons:

(a) who frequently consign goods;

(b) whose records enable the competent authorities to verify their operations;

(c) who, where a guarantee is required under the T1B procedure, provide a comprehensive guarantee;

and

(d) have not committed serious or repeated infringements of customs or tax legislation.

2. Competent authorities may withdraw the authorization where the authorized consignor no longer fulfils the conditions laid down in paragraph 1 or fails to observe the conditions laid down in this Chapter or in the authorization.

Contents of the authorization

Article 105

The authorisation issued by the competent authorities shall specify in particular:

(a) the competent office or offices which are authorized offices of departure for consignments;

(b) the period within which, and the procedure by which, the authorized consignor is to inform the office of departure of the consignments to be sent, in order that the office may carry out any necessary controls before the departure of the goods;

(c) the period within which the goods must be presented at the office of destination; and

(d) the identification measures to be taken. To this end the competent authorities may prescribe that the means of transport or the package or packages shall bear special seals, accepted by the customs authorities and affixed by the authorized consignor.

Authentication in advance

Article 106

1. The authorization shall stipulate that the box reserved for the office of departure on the front of the T1B declaration form:

(a) be stamped in advance with the stamp of the office of departure and be signed by an official of that office;

or

(b) be stamped by the authorized consignor with a special metal stamp approved by the competent authorities and conforming to the specimen in Annex XV. The imprint of the stamp may be preprinted on the forms where the printing is entrusted to a printer approved for that purpose.

The authorized consignor shall complete that box by indicating the date of consignment of the goods and shall allocate to the declaration a number in accordance with the rules laid down to that effect in the authorization.

2. The competent authorities may prescribe the use of forms bearing a distinctive mark as a means of identification.

Formalities upon departure of goods

Article 107

1. The authorized consignor shall, not later than the time of dispatching the goods, enter on the front of copies 1 and 4 of the duly completed T1B declaration in the box "Control by office of departure" particulars of the period within which the goods must be presented at the office of destination and of the identification measures applied and one of the following endorsements (Simplified procedure):

EE: Lihtsustatud protsedur,

LV: Vienkāršotā procedūra,

LT: Supaprastinta procedūra.

2. After dispatch of the goods, copy 1 shall be sent without delay to the office of departure. The competent authorities may provide, in the authorization, that copy 1 be sent to the office of departure as soon as the T1B declaration is completed. The other copies shall accompany the goods in accordance with the conditions laid down in Appendix I.

3. Where the competent authorities of the Contracting Party of departure carry out a control on the departure of a consignment, they shall record the fact in the box "Control by office of departure" on the front of copies 1 and 4 of the T1B declaration.

The principal

Article 108

The T1B declaration, duly completed and endorsed as specified in Article 107 (1), shall be treated as equivalent to a T1B document and the authorized consignor who signed the declaration shall be the principal.

Waiver of signature

Article 109

1. The competent authorities may authorize the authorized consignor not to sign T1B declarations bearing the special stamp referred to in Annex XV and drawn up by an electronic or automatic data-processing system. Such authorization shall be subject to the condition that the authorized consignor has previously given those authorities a written undertaking acknowledging that he is the principal for all T1B operations effected under cover of T1B documents bearing the special stamp.

2. T1B documents drawn up in accordance with paragraph 1 shall contain in the box reserved for the principal’s signature one of the following endorsements (Signature waived):

EE: Allkirjast loobutud,

LV: Paraksts nav vajadzīgs,

LT: Pasirašyti nereikia.

Liability of the authorized consignor

Article 110

1. The authorized consignor shall:

(a) comply with the provisions of this Chapter and of the conditions of the authorization;

(b) take all necessary measures to ensure the safekeeping of the special stamp or of the forms bearing the imprint of the stamp of the office of departure or the imprint of the special stamp.

2. In the event of the misuse by any person of forms stamped in advance with the stamp of the office of departure or with the special stamp, the authorized consignor shall be liable, without prejudice to any criminal proceedings, for the payment of duties and other charges payable in a particular Contracting Party in respect of goods carried under cover of such forms unless he can satisfy the competent authorities by whom he was authorized that he took the measures required of him under paragraph 1 (b).

Formalities at the office of destination

The authorized consignee

Article 111

1. The competent authorities of each Contracting Party may dispense with presentation at the office of destination of goods transported under a T1B procedure where the goods are intended for a person who fulfils the conditions laid dawn in Article 112 (hereinafter referred to as "the authorized consignee") previously authorized by the competent authorities of the Contracting Party responsible for the office of destination.

2. In the case referred to in paragraph 1, the principal shall have fulfilled his obligations under the provisions of Article 11 (a) of Appendix I when the copies of the T1B document which accompanied the consignment, together with the goods intact, have been delivered within the prescribed period to the authorized consignee at his premises or at the places specified in the authorization, the identification measures having been duly observed.

3. The authorized consignee shall at the request of the carrier issue a receipt in respect of each consignment delivered under the conditions laid down in paragraph 2 stating that the T1B document and the goods have been delivered.

Conditions of the authorization

Article 112

1. The authorisation referred to in Article 111 shall be granted only to persons:

(a) who frequently receive consignments subject to T1B procedures;

(b) whose records enable the competent authorities to verify their operations;

and

(c) who have not committed serious or repeated infringements of customs or tax legislation.

2. The competent authorities may withdraw the authorization where the authorized consignee no longer fulfils the conditions laid down in paragraph 1 or fails to comply with the requirements laid down in this Chapter and in the authorization.

Contents of the authorization

Article 113

1. The authorization issued by the competent authorities shall specify in particular:

(a) the office or offices which are authorized offices of destination for consignments which the authorized consignee receives; and

(b) the period within which, and the procedures by which, the authorized consignee is to inform the office of destination of the arrival of the goods, so that that office may carry out any necessary controls upon arrival of the goods.

2. Without prejudice to Article 116, the competent authorities shall specify in the authorization whether any action by the office of destination is required before the authorized consignee may dispose of goods received.

Obligations of the authorized consignee

Article 114

1. The authorized consignee shall in respect of consignments arriving at his premises or at the places specified in the authorization:

(a) immediately inform the office of destination in accordance with the procedure laid down in the authorization of any excess quantities, shortages, substitutions or other irregularities such as broken seals;

and

(b) send without delay to the office of destination the copies of the T1B document which accompanied the consignment, indicating the date of arrival and the condition of any seals affixed.

2. The office of destination shall annotate appropriately such copies of the T1B document.

Other provisions

Controls

Article 115

The competent authorities may carry out upon authorized consignors and authorized consignees any controls they consider necessary. The said consignors and consignees shall provide all the necessary information and facilities for this purpose.

Exclusion of certain goods

Article 116

The competent authorities of the Contracting Party of departure or destination may exclude certain categories of goods from the facilities provided for in Articles 103 and 111.

Special case of consignments by rail

Article 117

(This Appendix does not contain Article 117)

Chapter III

SIMPLIFIED PROCEDURE FOR THE ISSUE OF THE DOCUMENT USED TO ESTABLISH THE STATUS OF GOODS OF THE CONTRACTING PARTIES

Article 118

(This Appendix does not contain Article 118)

Conditions of the authorization

Article 119

(This Appendix does not contain Article 119)

Contents of the authorization

Article 120

(This Appendix does not contain Article 120)

Authentication in advance and formalities upon departure

Article 121 to 122

(This Appendix does not contain Articles 121 to 122)

Obligation to make a copy

Article 123

(The Appendix does not contain Article 123)

Controls upon the authorized consignor

Article 124

(This Appendix does not contain Article 124)

Liability of the authorized consignor

Article 125

(This Appendix does not contain Article 125)

Exclusion of certain goods

Article 126

(This Appendix does not contain Article 126)

Title XI

Articles 127 to 131

(This Appendix does not contain Articles 127 to 131)  

ANNEXES TO THE APPENDIX II

Annex IV
to the Appendix II

Specimen

Baltic Common Transit Procedure Comprehensive Guarantee

(Comprehensive guarantee covering several transit operations under the Baltic Common Transit Agreement)

I. Undertaking by the Guarantor

1. The undersigned ¹ ................................................................................

................................................................................

resident at ²...............................................................................

................................................................................

hereby jointly and severally guarantees, at the office of guarantee of ................. ................................................................................

up to a maximum amount of ................................................................................

in favour of the Republic of Estonia, the Republic of Latvia, the Republic of Lithuania³, any amount for which a principal ⁴ ..............................................................

may be or become liable to the above mentioned States by reason of infringements or irregularities committed in the course of the transit operation under the Agreement on the Baltic Common Transit procedure carried out by that person, including duties, taxes and other charges — with the exception of pecuniary penalties — as regards principal or further liabilities, expenses and incidentals.

2. The undersigned undertakes to pay upon the first application in writing by the competent authorities of the States referred to in paragraph 1 and without being able to defer payment beyond a period of 30 days from the date of application the sums requested up the limit of the above mentioned maximum amount, unless any person concerned establishes before the expiry of the period, to the satisfaction of the competent authorities, that the transit operation under the Agreement of Baltic Common Transit procedure on transit was conducted without any infringement or irregularity within the meaning of paragraph 1.

The competent authorities may, upon request of the undersigned and for any reasons recognized to be valid, defer the period within which the undersigned is obliged to pay the requested sums beyond a period of 30 days from the date of application for payment. The expenses incurred, from granting this additional period, and in particular any interest, must be calculated in such a way that the amount is equivalent to that which would be charged to that end on the money market or financial market in the State concerned.

This amount may not be reduced by the sums already paid in pursuance of this undertaking unless recourse is presented to the undersigned in respect of a transit operation under Agreement the Common Baltic Transit procedure which began before the receipt of the earlier application for payment or during the 30 day following that receipt.

3. This undertaking shall be valid from the day of its acceptance by the office of guarantee.

This guarantee may be cancelled at any time by the undersigned, or by the State in the territory of which the office of guarantee is situated.

The cancellation shall take effect on the 16th day after notification thereof to the other party.

The undersigned shall remain responsible for payment of the sums which become payable in respect of transit operations under the Common Baltic Transit procedure covered by this undertaking which began before the date on which the cancellation took effect, even if the demand for payment is made after that date.

4. For the purpose of this undertaking the undersigned gives his address for service⁵, as⁶ ................................................................................ and, in each of the other States referred to in paragraph 1, as care of:

    State                     Surname and forenames, or name of firm, and full address

.................... …………………………………………………………………

.................... …………………………………………………………………

.................... …………………………………………………………………

.................... …………………………………………………………………

The undersigned acknowledges that all correspondence and notices and any formalities or procedures relating to this undertaking addressed to or effected in writing at one of his addresses for service shall be accepted as duly delivered to him.

The undersigned acknowledges the jurisdiction of the courts of the places where he has an address for service.

The undersigned undertakes to maintain his addresses for service or, if he has to alter one or more of those addresses, to inform the office of guarantee in advance.

Done

at..............................on..............................................

................................................................................
                (Signature)⁷  

II. Acceptance by the office of guarantee

Office of guarantee ................................................................................

Guarantor’s undertaking accepted on ......................................................................

................................................................
(Stamp and signature)⁷

_____________________________

¹ Name of firm.

² Full address.

³ Delete the name of any Contracting Party of which the territory will not be used.

⁴ Name of firm and full address of the principal.

⁵ If, in the law of the State, there is no provision for address for service the guarantor shall appoint, in each of the States referred to in paragraph 1, and agent authorized to receive any communications addressed to him. The courts of the places in which the addresses for service of the guarantor or of his agents are situated shall have jurisdiction in disputes concerning this guarantee. The acknowledgement in the second subparagraph and the undertaking in the fourth subparagraph of paragraph 4 must be made to correspond.

⁶ Full address.

⁷ The signature must be preceded by the following in the signatory’s own handwriting: "Guarantee for the amount of ........................." with the amount written out in full.  

Annex V
to the Appendix II

Specimen II

Common Baltic Transit Procedure

Guarantee for a Single Operation

(Guarantee covering a single transit operation under the Agreement Common Baltic Transit procedure)

I. Undertaking by the Guarantor

1. The undersigned ¹ ........................................................................ ................................................................................ resident at² ...........................................................................…………… hereby jointly and severally guarantees, at the office of departure of ................ ...................…………………………………………………………………………… up to a maximum amount of ........................................................…………………… in favour of the Republic of Estonia, the Republic of Latvia, the Republic of Lithuania³, any amount for which a principal⁴...................................... ...................................................……………………………………………………… may be or become liable to the above mentioned States by reason of infringements or irregularities committed in the course of a transit operation under the Agreement on a transit carried out by that person from the office of departure of .........................................…………………………………………………………… to the office of destination of ........................................... in respect of the goods designated hereinafter, including duties, taxes and other charges — with the exceptions of pecuniary penalties — as regards principal or further liabilities, expenses and incidentals.

2. The undersigned undertakes to pay upon the first application in writing by the competent authorities of the States referred to in paragraph 1 and without being able to defer payment beyond a period of 30 days from the date of application the sums requested unless he or she or any other person concerned establishes before the expiry of that period, to the satisfaction of the competent authorities, that the transit operation under the Agreement on the Baltic Common Transit Procedure was conducted without any infringement or irregularity within the meaning of paragraph 1.

The competent authorities may, upon request of the undersigned and for any reasons recognised to be valid defer the period within which the undersigned is obliged to pay the requested sums beyond a period of 30 days from the date of application for payment. The expenses incurred, from granting this additional period, and in particular any interest, must be calculated in such a way that the amount is equivalent to that which would be charged to that end on the money market or financial market in the State concerned.

3. This undertaking shall be valid from the day of its acceptance by the office of departure.

4. For the purpose of this undertaking, the undersigned gives his address for service⁵, as⁶ ................................................................................ and, in each of the other States referred to in paragraph 1, as care of:

    State                                        Surname and forenames, or name of firm, and full address

.................... …………………………………………………………………

.................... …………………………………………………………………

.................... …………………………………………………………………

.................... …………………………………………………………………

The undersigned acknowledges that all correspondence and notices and any formalities or procedures relating to this undertaking addressed to or effected in writing at one of his addresses for service shall be accepted as duly delivered to him.

The undersigned acknowledges the jurisdiction of the courts of the places where he has an address for service.

The undersigned undertakes to maintain his addresses for service or, if he has to alter one or more of those addresses, to inform the office of departure in advance.

Done

at ............................on..................……..................

................................................................................
                (Signature) ⁷

II. Acceptance by the office of departure

Office of departure .......................................................………………………......

Guarantor’s undertaking accepted on ............................................ to cover the T1B

transit operation, issued on ..................................................under No ...........................

......................................................
 (Stamp and signature)

________________________  

¹ Name of firm.

² Full address.

³ Delete the name of any Contracting Party of which territory will not be used.

⁴ Name of firm and full address of the principal.

⁵ If, in the law of the State, there is no provision for address for service the guarantor shall appoint, in each of the States referred to in paragraph 1, an agent authorized to receive any communications addressed to him. The courts of the places in which the addresses for service of the guarantor or of his agents are situated shall have jurisdiction in disputes concerning this guarantee. The acknowledgement in the second subparagraph and the undertaking in the fourth subparagraph of paragraph 4 must be made to correspond.

⁶ Full address.

⁷ The signature must be preceded by the following in the signatory’s own handwriting: "Guarantee for the amount of ........" with the amount written out in full.  

Annex VI
to the Appendix II

Specimen

Common Baltic Transit Procedure

Flat-Rate Guarantee

(Flat-rate guarantee system)

I. Undertaking by the Guarantor

1. The undersigned ¹ ....................................................................... ................................................................................ resident at ² .………...............................................................………………… ................................................................................ hereby jointly and severally guarantees, at the office of guarantee of ............... .............……………………………………………………………………... in favour of the Republic of Estonia, the Republic of Latvia, and the Republic of Lithuania, any amount for which a principal may become liable to the above mentioned States by reason of infringements or irregularities committed in the course of a transit operation under the Agreement on Common Baltic Transit procedure carried out by that person, including duties, taxes and other charges — with the exception of pecuniary penalties — as regards principal or further liabilities, expenses and incidentals charges with regard to which the undersigned has agreed to be responsible by the issue of guarantee vouchers up to a maximum of ECU 7000 per guarantee voucher.

2. The undersigned undertakes to pay upon the first application in writing by the competent authorities of the States referred to in paragraph 1 and without being able to defer payment beyond a period of 30 days from the date of application the sums requested up to ECU 7000 per guarantee voucher, unless he or she or any other person concerned establishes before the expiry of that period, to the satisfaction of the competent authorities, that the transit operation under the Agreement on Common Baltic Transit procedure was conducted without any infringement or irregularity within the meaning of paragraph 1.

The competent authorities may, upon request of the undersigned and for any reasons recognized to be valid defer the period within which the undersigned should pay the requested sums beyond a period of 30 days from the date of application for payment. The expenses incurred, from granting this additional period, and in particular any interest, must be calculated in such a way that the amount is equivalent to that which would be charged to that end on the money market or financial market in the State concerned.

3. This undertaking shall be valid from the day of its acceptance by the office of guarantee.

This guarantee may be cancelled at any time by the undersigned, or by the State in the territory of which the office of guarantee is situated.

The cancellation shall take effect on the 16th day after notification thereof to the other party.

The undersigned shall remain responsible for payment of the sums which become payable in respect of transit operations under Agreement on the Common Baltic Transit covered by this undertaking which began before the date on which the cancellation took effect, even if the demand for payment is made after that date.

4. For the purpose of this undertaking the undersigned gives his address for service³, as⁴ .............................................................………………………………..

and, in each of the other States referred to in paragraph 1, as care of:

    State                     Surname and forenames, or name of firm, and full address

.................... …………………………………………………………………

.................... …………………………………………………………………

.................... …………………………………………………………………

.................... …………………………………………………………………

The undersigned acknowledges that all correspondence and notices and any formalities or procedures relating to this undertaking addressed to or effected in writing at one of his addresses for service shall be accepted as duly delivered to him.

The undersigned acknowledges the jurisdiction of the courts of the places where he has an address for service.

The undersigned undertakes to maintain his addresses for service or, if he has to alter one or more of those addresses, to inform the office of guarantee in advance.

Done

at .................................on ............……................

................................................................................
(Signature) ⁵ 

II. Acceptance by the office of guarantee

Office of guarantee ................................................................................ ..............……………………………………………………………………………..

Guarantor’s undertaking accepted on ........................................................... ……………………………………………………………………………...................

................................................... (Stamp and signature)

 

_________________

¹ Name of firm

² Full address

³ If, in the law of the State, there is no provision for address for service the guarantor shall appoint, in each of the States referred to in paragraph 1, an agent authorised to receive any communications addressed to him. The courts of the places in which the addresses for service of the guarantor or of his agents are situated shall have jurisdiction in disputes concerning this guarantee. The acknowledgement in the second subparagraph and the undertaking in the fourth subparagraph of paragraph 4 must be made to correspond.

⁴ Full address.

⁵ The signature must be preceded by the following in the signatory’s own handwriting: "Guarantee".  

Annex VII
to the AppendixII

Annex VIII
to the AppendixII

List of Goods which when Transported Give Rise to an Increase in the Flat Rate Guarantee

 

Annex X

(This Appendix does not contain Annex X)

Annex XI

(This Appendix does not contain Annex XI)

Annex XII

(This Appendix does not contain Annex XII)

Annex XIII

(This Appendix does not contain Annex XIII)

Annex XIV

(This Appendix does not contain Annex XIV)

Annex XV

Special Stamp

 

1. Coat of arms or any other signs or letters characterizing the country.

2. Office of departure.

3. Document number.

4. Date.

5. Authorized consignor.

6. Authorization.

Annex XVI

(This Appendix does not contain Annex XVI)

APPENDIX III

Article 1

1. The forms on which T1B declarations are made shall conform to Annexes I to IV to this Appendix.

2. The particulars contained in the forms must appear by a self-copying process:

(a) in the case of Annexes I and III on the copies given in Annex V;

(b) in the case of Annexes II and IV on the copies given in Annex VI.

3. The forms shall be filled in and used:

(a) as T 1B declarations in conformity with the explanatory note in Annex VII;

(b) (this paragraph does not contain subparagraph (b)).

4. The use should be made, where appropriate, of notes given in Annex IX.

Article 2

1. Forms shall be printed on self-copying paper dressed for writing purposes and weighing at least 40 grams per square metre. The paper must be sufficiently opaque for the information on one side not to affect the legibility of the information on the other side and its strength should be such that in normal use it does not easily tear or crease. The paper shall be white for all copies. However, on the copies used for transit (1, 4, 5 and 7), boxes Nos. 1 (except the middle subdivision), 2, 3, 4, 5, 6, 8, 15, 17, 18, 19, 21, 25, 27, 31, 32, 33 (first subdivision on the left), 35, 38, 40, 44, 50, 51, 52, 53, 55 and 56 shall have a green background. The forms shall be printed in green ink.

A colour marking of the different copies of forms shall be effected in the following manner:

(a) on forms conforming to the specimens shown in Annexes I and III:

— copies 1, 2, 3 and 5 shall have at the right-hand edge a continuous margin coloured respectively red, green, yellow and blue,

— copies 4, 6, 7 and 8 shall have at the right-hand edge a broken margin coloured respectively blue, red, green and yellow;

(b) on forms conforming to the specimens shown in Annexes II and IV copies 1/6, 2/7, 3/8 and 4/5 shall have at the right-hand edge a continuous margin and to the right of this a broken margin coloured respectively red, green, yellow and blue.

The width of these margins shall be approximately 3 millimetres. The broken margin shall comprise a series of squares of a side of 3 millimetres, each one separated by 3 millimetres.

2. The format of the forms shall be 210 by 297 millimetres with a maximum tolerance of 5 millimetres less and 8 millimetres more with regard to their length.

3. Contracting Parties may require that the forms must also show the name and address of the printer or a mark enabling the printer to be identified.

4. In the top left-hand corner of the form the Contracting Parties may print an indication identifying the Contracting Party concerned. They may also print the words ‘COMMON BALTIC TRANSIT’. Documents bearing such indication shall be accepted when presented in another Contracting Party.

Article 3

1. When formalities are completed using public or private computer systems, the competent authorities shall authorize persons who request it to replace the hand-written signature with a comparable technical device, which may, where applicable, be based on the use of codes, and which has the same legal consequences as a hand-written signature. This facility shall be granted only if the technical and administrative conditions laid down by the competent authorities are met.

2. When formalities are completed using public or private computer systems, which also print out the declaration, the competent authorities may provide for direct authentication by those systems of the declarations thus produced, in place of the manual or mechanical application of the customs office stamp and the signature of the competent official.

Annex I
to the Appendix III

 

   

 

Annex V
to the Appendix III

Indication of the Copies of the Forms Given in Annexes I and III on which the Particulars Contained Therein Must Appear by a Self-Copying Process

(counting copy 1)

Box No	Copies No		Box No	Copies No
I. BOXES FOR COMMERCIAL OPERATIONS
1	1 to 4		27	1 to 4
	except middle sub-division: 1 to 3		31	1 to 4
2	1 to 4		32	1 to 4
3	1 to 4		33	1 to 4
4	1 to 4		35	1 to 4
5	1 to 4		38	1 to 4
6	1 to 4		40	1 to 4
7	1 to 4		44	1 to 4
8	1 to 4		50	1 to 4
15	1 to 4		51	1 to 4
17	1 to 4		52	1 to 4
18	1 to 4		53	1 to 4
19	1 to 4		54	1 to 4
21	1 to 4		55	—
25	1 to 4		56	—

 

Box No	Copies No
II. ADMINISTRATIVE BOXES
C	1 to 4
D	1 to 4
E	—
F	—
G	—
H	—
I	—

  ______________________

(1) In no case may operators be obliged to complete these boxes for transit purposes on copies 5 and 7.

(2) The Contracting Party of export can choose whether these particulars appear on the copies specified.

Annex VI
to the Appendix III

Indication of the Copies of the Forms Given in Annexes II and IV on Which the Particulars Contained Therein Must Appear by a Self-Copying Process

(counting copy 1)

Box No	Copies No		Box No	Copies No
I. BOXES FOR COMMERCIAL OPERATIONS
1	1 to 4		27	1 to 4
	except middle sub-division: 1 to 3		31	1 to 4
2	1 to 4		32	1 to 4
3	1 to 4		33	1 to 4
4	1 to 4		35	1 to 4
5	1 to 4		38	1 to 4
6	1 to 4		40	1 to 4
7	1 to 4		44	1 to 4
8	1 to 4		50	1 to 4
15	1 to 4		51	1 to 4
17	1 to 4		52	1 to 4
18	1 to 4		53	1 to 4
19	1 to 4		54	1 to 4
21	1 to 4		55	—
25	1 to 4		56	—

 

Box No	Copies No
II. ADMINISTRATIVE BOXES
C	1 to 4
D	1 to 4
E	—
F	—
G	—
H	—
I	—

 

Annex VII
to the Appendix III

Explanation Note on the Use of Forms for Making out T1B Declarations

Title I

General remarks

 

A. General description

The forms referred to in Annexes I to IV to this Appendix are to be used for the movement of goods under the T1B procedure between the Contracting Parties concerned (except under the simplified transit procedures for the carriage of goods by certain modes of transport).

In the case of the forms referred to in Annexes I and III to this Appendix, only copies 1, 4, 5 and 7 are to be used:

— copy 1 which is to be retained by the authorities of the Contracting Party of dispatch/export (dispatch and transit formalities),

— copy 4 which is to be kept by the office of destination (transit formalities and evidence of status of the goods of a Contracting Party),

— copy 5 which is the return copy for the transit procedure,

— copy 7 which is to be used for statistics by the Contracting Party of destination (for transit and arrival/import formalities).

(Copy 7 may be used for other administrative purposes according to the requirements of the Contracting Parties).

The forms referred to in Annexes II and IV to this Appendix may also be used, particularly where declarations are processed by a computerized system. Two sets, each comprising at least copies 1/6, 2/7 and 4/5, should be used in such instances, the first set would then correspond, as regards the particulars to be given therein, to copies 1 and 4 above, and the second to copies 5 and 7.

In this case, in each set, the numbers of the copies being used must be shown by deleting the numbers, in the margin of the form, referring to the copies not being used.

Each set thus defined is designed so that the information which has to be reproduced on the various copies will be reproduced by means of a chemical treatment of the paper.

Traders may also, if they wish, use privately printed sets of the kind corresponding to their choice as long as the form used conforms to the official specimen.  

B. Particulars required

The forms concerned contain all the details which may be required by the various Contracting Parties. It is compulsory for certain boxes to be filled in, whereas others have to be filled in only if requested by the Contracting Party in which the formalities are completed. In this respect the section of this explanatory note dealing with the use of the various boxes should be closely followed.

The maximum number of boxes which need be filled in are as follows:

boxes 1(except second sub-division), 2, 3, 4, 5, 6, 8, 15, 17, 18, 19, 21, 25, 27, 31, 32, 33 (first sub-division), 35, 38, 40, 44, 50, 51, 52, 53, 55, 56 (boxes with a green background) and boxes 7, 14, 15a, 17a only on the copy 1.  

C. Instructions for use of the forms

The forms shall be completed using a typewriter or a mechanical or similar process. They may also be filled in legibly by hand, in ink and in block capitals. For ease of completion by typewriter the form should be inserted in the machine in such way that the first letter of the particulars to be entered in box 2 is placed in the position box in the top left-hand corner.

The forms must contain no erasures or overwriting. Any alterations must be made by crossing out the incorrect particulars and, where appropriate, adding those required. Any alterations made in this way must be initialled by the person making them and expressly authenticated by the competent authorities. The latter may, where necessary, require a new declaration to be lodged.

In addition, the forms may be completed using an automatic reproduction process instead of any of the procedures mentioned above. They may also be produced and completed by this means provided that the provisions as regards specimens, paper, size, language used, legibility, prohibition of erasures and alterations and as regards amendments are strictly observed.

Only numbered boxes are, where necessary, to be completed. The other boxes, indicated by a capital letter, are reserved exclusively for internal use by the Customs administrations.

The copy which is to remain at the office of departure must bear the original signature of the principal. The signature of the principal or, where applicable, his authorized representative, commits him as regards all of the particulars relating to the transit operation pursuant to Appendix I to the Agreement and as described in section B above.  

Title II

Particulars to be entered in the different boxes

I. Formalities in the Contracting Party of departure

Box 1: Declaration

The particulars to be included in the third subdivision of this box are as follows:

1) (This note does not contain subparagraph 1);

2) (This note does not contain subparagraph 2);

3) Goods dispatched or exported under the T1B procedure: T1 B;

4) (This note does not contain subparagraph 4);

5) (This note does not contain subparagraph 5);

Box 2: Consignor/Exporter

Enter the full name and address of the person or company concerned and the identification number, if transit operation begins in the territory of the Contracting Party where consignor is registered.

In the case of groupage loads (small consignments loaded on one means of transport), enter the word ‘various’ in this box and attach the list of consignors to the each copy of the declaration with exception of return copy 5. The list of consignors must be signed by the principal.

Box 3: Forms

Enter the serial number of the form or continuation sheets in the set and the total number of forms and continuation sheets used (for example, if there is one form and two continuation sheets, enter 1/3 on the form, 2/3 on the first continuation sheet and 3/3 on the second continuation sheet).

When the declaration covers only one item (i.e. when only one ‘description of the goods’ box has to be completed) do not enter anything in box 3 but enter the figure 1 in box 5.

When two sets of 4 copies are used instead of one set of 8 copies, the two sets are to be treated as one.

Box 4: Number of loading lists

Enter in figures the number of any loading lists attached or of any descriptive commercial lists authorized by the competent authority.

Box 5: Items

Enter the total number of items declared by the person concerned in the total number of forms and continuation sheets (or loading lists or commercial lists) used. The number of items must correspond to the number of ‘description of goods’ boxes to be completed.

When the loading lists or commercial lists are used, enter the total number of items indicated in loading lists or commercial lists attached.

Box 6: Total packages

Enter the total number of packages (i.e. number of boxes, sacks, etc.) making up the consignment in question. Enter ‘0’ for unpacked or bulk goods.

Box 7: Reference number

This box is optional for the Contracting Parties.

The reference number of the allocated by person concerned (declarant, customs agent, etc.) may be entered.

Box 8: Consignee

Enter the full name and address of the person or company to whom the goods are to be delivered. The Contracting Parties may allow that this box need not be completed where the consignee is established outside the territory of Contracting Parties.

In the case of groupage loads (small consignments loaded on one means of transport), enter the word ‘various’ in this box and attach the list of consignees to each copy of the declaration with exception of return copy 5. The list of consignees must be signed by the principal.

The identification number need not be shown at this stage.

Box 14: Declarant/Representative

This box is optional for the Contracting Parties.

The full name, address and the identification number of the declarant, the certificate number of the person concerned (declarant, customs agent, etc.) and the certificate number of customs agent’s representative may be entered.

Box 15: Country of dispatch/export

Enter the name of the country from which the goods are dispatched/exported.

The country where a transport operation has been commenced (in accordance with the transport documents produced for customs clearance) shall be considered as the country of dispatch/export.

Box 15a: Code of country of dispatch/export

This box is optional for the Contracting Parties.

Enter the two letter code of the country of dispatch/export contained in International Standard ISO 3166 (Codes for the representation of names of countries).

Box 17: Country of destination

Enter the name of the country concerned.

The country where the transport operation shall be terminated (in accordance with the transport documents produced for customs clearance) shall be considered as the country of destination.

Box 17a: Code of country of destination

This box is optional for the Contracting Parties.

Enter the two letter code of the country of destination contained in International Standard ISO 3166 (Codes for the representation of names of countries).

Box 18: Identity and nationality of means of transport at departure/entry

Enter the identity, e.g. registration number(s) or name of the means of transport (lorry, ship, railway wagon, aircraft) on which the goods are directly loaded on presentation at the customs office where the dispatch/export or transit formalities are completed, followed by the two letter nationality code of the means of transport (or that of the vehicle propelling the others if there are several means of transport) contained in International Standard ISO 3166 (Codes for the representation of names of countries). For example, in the case of use of a tractor and trailer with different licence numbers, enter the registration numbers of both the tractor and trailer, together with the nationality of the tractor.

In the case of postal consignments or carriage by fixed transport installations, nothing should be entered in this box in respect of the registration number or nationality. In the case of carriage by rail, the nationality should not be entered.

In other cases, declaration of the nationality is optional for the Contracting Parties.

Box 19: Container (Ctr)

This box is optional for the Contracting Parties.

Enter in accordance with the codes laid down in Annex IX to this Appendix the necessary particulars with regard to the presumed situation at the border of the country of dispatch/export, as known at the time of completition of the dispatch/export or transit formalities.

Box 21: Identity and nationality of the active means of transport crossing the border

Enter the type (lorry, ship, railway wagon, aircraft, etc.), followed by the identity, e.g. registration number or name of the active means of transport (i.e. the propelling means of transport) which it is presumed will be used at the frontier crossing point on exit from the Contracting Party of dispatch/export into the left sub-division of the box.

Enter the two letter country code contained in International Standard ISO 3166 (Codes for the representation of names of countries) corresponding to the nationality of the means of transport, as known at the time of completion of the dispatch/export or transit formalities, into the right sub-division of the box.

In the case of postal consignments or carriage by fixed transport installations, nothing should be entered in this box in respect of the registration number or nationality. In the case of carriage by rail, the nationality should not be entered.

In the case of combined transport or if there are several means of transport, the active means of transport is the one which propels the whole combination. For example, if it is a lorry on a sea-going vessel, the active means of transport is the ship, if it is a tractor and trailer, the active means of transport is the tractor, etc.

Box 25: Mode of transport at the border

Enter, according to the (Codes for the modes of transport( laid down in Annex IX to this Appendix, the code corresponding to the active means of the transport which it is presumed will be used on exit from the territory of the Contracting Party of dispatch/export.

Box 27: Place of loading

Enter the name and the code of the Customs office, under supervision of which goods are loaded onto the active means of transport on which they are to cross the border of the Contracting Party of dispatch/export, as known at the time of the completion of the dispatch/export or transit formalities.

Box 31: Packages and description of goods — Marks and numbers — Container No(s) — Number and kind

Enter the marks, numbers, number and kind of packages or, in a case of unpacked goods, enter the number of such goods covered by declaration, or the word "bulk", as appropriate; the normal trade descriptions of the goods must be entered in all cases; the descriptions of the goods must be expressed in sufficiently precise terms to allow the identification and classification of the goods. This box must also show the particulars required by any specific rules (e.g. excise duties). If containers are used, the identifying marks of the container should also be entered in this box.

Box 32: Item number

Enter the serial number of the item in question in relation to the total number of articles declared in the forms used, as defined in the note on box 5.

Enter 1 when only one box 31 has to be completed.

Enter the serial number of the item in question when two or more boxes 31 have to be completed. For example, enter 1 in box 32 of the form, enter 2, 3, 4 in boxes 32 of the first continuation sheet, enter 5, 6, 7 in boxes 32 of the second continuation sheets, etc.

Box 33: Commodity code

Enter the 4-digits HS heading code of the goods described in box 31. If the goods are included into the list contained in Annex VIII of Appendix II of the Agreement, the commodity code shall be not less precise than the code indicated in the above mentioned list.

It is optional for the Contracting Parties to use commodity codes from HS Chapters 98 and 99 when loading lists are used.

Box 35: Gross mass (kg)

Enter the gross mass of the goods described in the corresponding box 31, expressed in kilograms. The gross mass in the aggregated mass of the goods with all their packing, excluding containers and other transport equipment.

Where a declaration concerns several types of goods, it is sufficient to indicate the total gross mass in the first box 35, the other boxes 35 shall not be completed.

Box 38: Net mass (kg)

This box is optional for Contracting Parties.

Enter the net mass of the goods described in the corresponding box 31, expressed in kilograms. The net mass is the mass of goods themselves without any packaging but including packing used for sell in retail trade.

Box 40: Summary declaration/ previous document

Enter the number and the date of issue of the previous customs document (summary declaration, customs declaration), where the customs formalities or other customs procedure were previously applied in respect of the goods described in corresponding box 31.

Enter the number and the date of issue of one previous document in this box and the references to other documents enter in box 44.

Box 44: Additional information, documents produced, certificates and authorizations

Enter the codes of the types of the additional documents required for customs clearance, the reference numbers of the documents and the dates of issue. The code numbers of the types of the documents are given as below:

1 — transport document (CMR, consignment note, airway-bill, bill of lading etc.),

2 — contract of purchase-sale or other document certifying the legality of the acquisition of the goods,

3 — licence or other special permit (veterinary certificate, phytosanitary certificate),

4 — invoice, proforma invoice or any other document accepted as an invoice of goods,

5 — document certifying the origin of the goods (EUR1, EUR2, Form A),

6 — customs value declaration,

7 — TIR- carnet, ATA- carnet,

8 — the expertise conclusion on the classification of the goods.

The codes starting from 31 are optional for the Contracting Parties.

Box 50: Principal and authorized representative, place, date and signature

Enter the full name (person or firm) and address of the principal, and the identification number, if any, allocated by the competent authorities. If appropriate, enter the full name (person or firm) of the authorized representative signing on behalf of the principal.

Box 51: Intended offices of transit (and countries)

Enter the name and the code of the intended office of entry into each Contracting Party the territory of which it is intended to cross in the course of transport or, when the transport is to cross territory other than of the Contracting Parties, the office of exit by which the means of transport will leave the territory of the Contracting Parties. The transit offices are listed in the "list of customs offices competent for transit operations". After the name and the code of the office, enter the two letter code relating to the Contracting Party concerned contained in International Standart ISO 3166 (Codes for the representation of names of countries).

Box 52: Guarantee

Enter the number of the guarantee certificate, letter of guarantee, voucher or other document certifying the existence of a guarantee and the office of guarantee. In the case of an individual guarantee enter also the name of the guarantor.

Enter in the right-hand sub-division the code of the type of guarantee according to Annex IX of this Appendix.

Box 53: Office of destination (and country)

Enter the name and the code of the office where the goods are to be presented in order to complete the transit operation. The offices of destination are listed in the "list of customs offices competent for transit operations".

After the name and the code of the office, enter the two letter code relating to the Contracting Party concerned contained in International Standart ISO 3166 (Codes for the representation of names of countries).

II. Formalities En Route

Between the time when the goods leave the office of export and/or departure, and the time when they arrive at the office destination, it is possible that certain details may need to be added on the copies of the transit document which accompany the goods. These details concern the transport operation and must be added to the document by the carrier responsible for the means of transport on which the goods are directly loaded, as and when the transport operations take place. These particulars may be added legibly by hand; in this case, the form should be completed in ink and in block capitals.

These details concern the following boxes (copies 4 and 5 only):

— Transhipment: use box 55

Box 55 (transhipments):

First three lines of this box to be completed by the carrier when in the course of the operation in question the goods are transhipped from one means of transport to another or from one container to another.

It should be noted that when goods are transshipped the carrier must approach the competent authorities, in particular when it proves necessary to affix new seals, in order to have the transit document certified.

When the customs service has authorized transhipment without supervision, the carrier must himself annotate the transit document accordingly and, for certification purposes, inform the next customs office at which the goods must be produced.

— Other incidents: use box 56

Box 56 (other incidents during carriage):

Box to be completed in accordance with existing obligations for transit.

In addition, when the goods were loaded on a semi-trailer and only the tractor vehicle is changed during the journey (without the goods being handled or transhipped) enter in this box the registration number and the nationality of the new tractor. In such cases certification by the competent authorities is not necessary.  

Title III

Remarks concerning the continuation sheets

A. Continuation sheets should only be used if the declaration covers more than one item (cf. box 5). They must be presented together with a form contained in Annexes I and II.

B. The remarks set out in Titles I and II above apply also to the continuation sheets. However:

— the symbol "T1B’’ shall appear in the third subdivision of box 1,

— box 2 and box 8 of the specimen continuation sheet form contained in Annex III and box 2/8 of the specimen continuation sheet form contained in Annex IV are for optional use by the Contracting Parties and should show only the name and identification number, if any, of the person concerned.

C. If continuation sheets are used, the boxes ‘description of goods’ which have not been used must be crossed through to prevent any subsequent use.  

Annex VIII
to the Appendix III

(This Appendix does not include Annex VIII)

 

Annex IX
to the Appendix III

Codes to be Used in the Forms for Making out T1B Declarations

Box 1: Declaration
(See Annex VII).

Box 19: Container

The codes applicable are given below:

0: goods not transported in containers;

1: goods transported in containers.

Box 25: Mode of transport at the border

The list of codes applicable is given below:

2-figure code for modes of transport, post and other consignments

Code	Denomination	Code	Denomination
10	Sea Transport	30	Road transport
12	Railway wagon on sea-going vessel	40	Air transport
16	Powered road vehicle on sea-going vessel	50	Mail
17	Trailer or semi-trailer on sea-going vessel	70	Fixed transport installation
18	Inland waterway vessel on sea-going vessel	80	Inland waterway transport
20	Rail transport	90	Own propulsion
23	Road vehicle on rail-wagon

 

Box 27: Place of loading/unloading

Codes to be adopted by the Contracting Parties.

Box 33: Commodity code

First sub-division

(See Annex VII).

Other sub-divisions

To be completed using any other specific codes of the Contracting Parties (such codes should be inserted starting immediately after the first sub-division).

Box 51: Intended transit offices

Indication of countries

A list of codes applicable is given below:

Estonia........................................................ EE

Latvia.......................................................... LV

Lithuania..................................................... LT

Box 52 : Guarantee

Type of guarantee

A list of the codes applicable is given below:

Situation	Code	Other indications necessary
For comprehensive guarantee	1	— number of certificate
		— office of guarantee
For individual guarantee	2
For cash deposit guarantee	3
For flat-rate guarantee	4
For guarantee not required
(Chapter 3 of Title V of Appendix I)	6
Guarantee not required for the journey
between the office of departure and the office of transit
(Article 10 (2) (b) of the Agreement)	7
Guarantee not required for certain public bodies	8

 Indication of countries:

The codes adopted for box 51 are applicable.

Box 53: Office of destination (and country)

The codes adopted for box 51 are applicable.

 

APPENDIX IV

Mutual Assistance for the Recovery of Claims

Aim

Article 1

This Appendix lays down the rules for ensuring recovery in each Contracting Party of the claims referred to in Article 3 which arise in another Contracting Party. Implementing provisions are set out in Annex I to this Appendix.

Definitions

Article 2

In this Appendix:

— "applicant authority" means the competent authority of a Contracting Party which makes a request for assistance concerning a claim referred to in Article 3;

— "requested authority" means the competent authority of a Contracting Party to which a request for assistance is made.

Scope

Article 3

This Appendix shall apply to:

(a) all claims relating to Article 11, paragraph 1(c) of Appendix I, which are due in connection with a T1B operation;

(b) interest and costs incidental to the recovery of the claims referred to above.

Communication and use of information

Article 4

1. At the request of the applicant authority, the requested authority shall provide any information which would be useful to the applicant authority in the recovery of its claim.

In order to obtain this information, the requested authority shall make use of the powers provided under the laws, regulations or administrative provisions applying to the recovery of similar claims arising in the Contracting Party where that authority is situated.

2. The request for information shall indicate the name and address of the person 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 authority 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 the Contracting Party in which it is situated;

(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 Contracting Party.

4. The requested authority shall inform the applicant authority of the grounds for refusing a request for information.

5. Information obtained in accordance with this Article shall be used solely for the purposes of this Agreement and shall be accorded the same protection by a receiving Contracting Party as is afforded to information of like nature under the national law of that Contracting Party. Such information may be used for other purposes only with the written consent of the competent authority which furnished it and subject to any restrictions laid down by that authority.

6. The request for information shall be established on the form corresponding to the specimen contained in Annex II to this Appendix.

Notification

Article 5

1. The requested authority shall, at the request of the applicant authority, and in accordance with the rules of law in force for the notification of similar instruments or decisions in the Contracting Party in which the requested authority is situated, notify to the addressee all instruments and decisions, including those of a judicial nature, which emanate from the Contracting Party in which the applicant authority is situated and which relate to a claim and/or to its recovery.

2. The request for notification shall indicate the name and address of the addressee concerned, the nature and the subject of the instrument or decision to be notified, if necessary the name and address of the debtor and the claim to which the instrument or decision relates, and any other useful information.

3. The requested authority shall promptly inform the applicant authority of the action taken on its request for notification and, more especially, of the date on which the instrument or decision was forwarded to the addressee.

4. The request for notification shall be established on the form corresponding to the specimen contained in Annex III to this Appendix.

Execution of requests

Article 6

1. At the request of the applicant authority, the requested authority shall recover claims which are the subject of an instrument permitting their enforcement in accordance with the laws, regulations or administrative provisions applying to the recovery of similar claims arising in the Contracting Party in which the requested authority is situated.

2. For this purpose any claim in respect of which a request for recovery has been made shall be treated as a claim of the Contracting Party in which the requested authority is situated, except where Article 12 applies.

Article 7

1. The request for recovery of a claim which the applicant authority addresses to the requested authority must be accompanied by an official or certified copy of the instrument permitting its enforcement, issued in the Contracting Party in which the applicant authority is situated and, if appropriate, by the original or a certified copy of other documents necessary for recovery.

2. The applicant authority may not make a request for recovery unless:

(a) the claim and/or the instrument permitting its enforcement are not contested in the Contracting Party in which it is situated;

(b) it has, in the Contracting Party in which it is situated, applied the recovery procedure available to it on the basis of the instrument referred to in paragraph 1, and the measures taken have not resulted in the payment in full of the claim;

(c) the claim exceeds 1.500 ECU. The equivalent in national currencies of the amount expressed in ECU shall be calculated in accordance with the provisions of Article 51 of Appendix II.

3. The request for recovery shall indicate the name and address of the person concerned, the nature of the claim, the amount of the principal and the interest and costs due, as well as any other relevant information.

4. The request for recovery shall contain in addition a statement by the applicant authority indicating the date from which enforcement is possible under the laws in force in the Contracting Party in which it is situated and confirming that the conditions set out in paragraph 2 are fulfilled.

5. 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 8

The instrument permitting enforcement of the claim shall, where appropriate, and in accordance with the provisions in force in the Contracting Party in which the requested authority is situated, be accepted, recognised, supplemented or replaced by an instrument authorizing enforcement in the territory of that Contracting Party.

Such acceptance, recognition, supplementing or replacement must take place as soon as possible following the date of receipt of the request for recovery. They may not be refused if the instrument permitting enforcement in the Contracting Party in which the applicant authority is situated is properly drawn up.

If any of these formalities should give rise to an examination or contestation in connection with the claim and/or the instrument permitting enforcement issued by the applicant authority, Article 12 shall apply.

Article 9

1. Claims shall be recovered in the currency of the Contracting Party in which the requested authority is situated.

2. The requested authority may, where the laws, regulations or administrative provisions in force in the Contracting Party in which it is situated so permit, and after consultations with the applicant authority, allow the debtor time to pay or authorize payment by installment. Any interest charged by the requested authority in respect of such extra time to pay shall be remitted to the applicant authority.

Any other interest charged for late payment under the laws, regulations and administrative provisions in force in the Contracting Party in which the requested authority is situated shall also be remitted to the applicant authority.

Article 10

The claims to be recovered shall not be given preferential treatment in the Contracting Party in which the requested authority is situated.

Article 11

The requested authority shall inform the applicant authority immediately of the action it has taken on the request for recovery.

Contested requests

Article 12

1. If, in the course of the recovery procedure, the claim and/or the instrument permitting its enforcement issued in the Contracting Party in which the applicant authority is situated are contested by an interested party, the action shall be brought by the latter before the competent body of the Contracting Party in which the applicant authority is situated, in accordance with the laws in force there. This action must be notified by the applicant authority to the requested authority. The party concerned may also notify the requested authority of the action.

2. As soon as the requested authority has received the notification referred to in paragraph 1 either from the applicant authority or from the interested party, it shall suspend the enforcement procedure pending the decision of the body competent in the matter. Should the requested authority deem it necessary, and without prejudice to Article 13, that authority may take precautionary measures to guarantee recovery in so far as the laws or regulations in force in the Contracting Party in which it is situated allow such action for similar claims.

3. Where the enforcement measures taken in the Contracting Party in which the requested authority is situated are contested, the action shall be brought before the competent body of that Contracting Party in accordance with its laws and regulations.

4. Where the competent body before which the action has been brought in accordance with paragraph 1 is a judicial authority, the decision of that judicial authority, in so far as it is favourable to the applicant authority and permits recovery of the claim in the Contracting Party in which the applicant authority is situated shall constitute the ‘instrument permitting enforcement’ within the meaning of Articles 6, 7 and 8 and the recovery of the claim shall proceed on the basis of that decision.

Precautionary measures

Article 13

1. On a reasoned request by the applicant authority, the requested authority shall take precautionary measures to ensure recovery of a claim in so far as the laws or regulations in force in the Contracting Party in which it is situated so permit.

2. In order to give effect to the provisions of the first paragraph, Articles 6, 7 (1), (3) and (5), 8, 11, 12 and 14 shall apply mutatis mutandis.

3. The request for precautionary measures shall be established on the form corresponding to the specimen contained in Annex IV to this Appendix.

Exceptions

Article 14

The requested authority shall not be obliged:

(a) to grant the assistance provided for in Articles 6 to 13 if recovery of the claim would, because of the situation of the debtor, create serious economic or social difficulties in the Contracting Party in which that authority is situated;

(b) to accept a recovery of a claim if it maintains that it could infringe the public policy or other essential interests of the Contracting Party in which that authority is situated;

(c) to undertake recovery of a claim if the applicant authority has not exhausted the means of recovery in the territory of the Contracting Party in which it is situated.

The requested authority shall inform the applicant authority of the grounds for refusing a request for assistance.

Article 15

1. Questions concerning periods of limitation shall be governed solely by the laws in force in the Contracting Party in which the applicant authority is situated.

2. Steps taken in the recovery of claims by the requested authority in pursuance of a request for assistance which, if they had been carried out by the applicant authority, would have had the effect of suspending or interrupting the period of limitation according to the laws in force in the Contracting Party in which the applicant authority is situated, shall be deemed to have been taken in the latter Contracting Party, in so far as that effect is concerned.

Confidentiality

Article 16

Documents and information sent to the requested authority pursuant to this Appendix may only be communicated by the latter to:

(a) the person mentioned in the request for assistance;

(b) those persons and authorities responsible for the recovery of the claims, and solely for that purpose;

(c) the judicial authorities dealing with matters concerning the recovery of the claims.

Languages

Article 17

Requests for assistance and relevant documents shall be accompanied by a translation in the official language of the Contracting Party in which the requested authority is situated or into English or into Russian.

Assistance expenses

Article 18

The Contracting Parties concerned shall renounce all claims upon each other for the reimbursement of costs resulting from mutual assistance which they grant each other pursuant to this Appendix.

However, the Contracting Party in which the applicant authority is situated shall remain liable to the Contracting Party in which the requested authority is situated for costs 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 authority are concerned.

Authorized authorities

Article 19

The Contracting Parties shall provide each other with a list of authorities authorized to make or receive requests for assistance, as well as any subsequent relevant changes.

Articles 20 to 22

(This Appendix does not contains Articles 20 to 22)

Complementarity

Article 23

The provisions of this Appendix shall not prevent a greater measure of mutual assistance being afforded either now or in the future by particular Contracting Parties under any agreements or arrangements, including those for the notification of legal or extra-legal acts.

Articles 24 to 26

(This Appendix does not contains Articles 24 to 26)

 

ANNEXES TO APPENDIX IV

  Annex I
to the Appendix IV

Implementing Provisions

Title I

Scope

Article 1

1. This Annex lays down detailed rules for implementing Appendix IV.

2. This Annex also lays down detailed rules on conversion and transfer of sums recovered.  

Title II

Request for information

Article 2

1. The request for information referred to in Article 4 of Appendix IV shall be made out in writing in accordance with the specimen in Annex II. The said request shall bear the official stamp of the applicant authority and shall be signed by an official thereof duly authorized to make such a request.

2. The applicant authority shall, where appropriate, indicate in its request for information the name of any other requested authority to which a similar request for information has been addressed.

Article 3

The request for information may be related to:

(a) the debtor; or

(b) any person liable for settlement of the claim under the law in force in the Contracting Party where the applicant authority is situated.

Where the applicant authority knows that a third party holds assets belonging to one of the persons mentioned in the foregoing paragraph, the request may also relate to that third party.

Article 4

The requested authority shall acknowledge receipt of the request for information in writing (e.g. by telex or telefax) as soon as possible and in any event within seven days of such receipt.

Article 5

1. The requested authority shall transmit each item of requested information to the applicant authority as and when it is obtained.

2. Where all or part of the requested information cannot be obtained within a reasonable time, having regard to the particular case, the requested authority shall so inform the applicant authority, indicating the reasons thereof.

In any event, at the end of six months from the date of acknowledgment of receipt of the request, the requested authority shall inform the applicant authority of the outcome of the investigations which it has conducted in order to obtain the information requested.

In the light of the information received from the requested authority, the applicant authority may request the latter to continue its investigations. This request shall be made in writing (e.g. by telex or telefax) within two months from the receipt of the notification of the outcome of the investigations carried out by the requested authority, and shall be treated by the requested authority in accordance with the provisions applying to the initial request.

Article 6

When the requested authority decides not to comply with the request for information addressed to it, it shall notify the applicant authority in writing of the reasons for the refusal, specifying the particular provisions of Article 4 of Appendix IV which it invokes. This notification shall be made by the requested authority as soon as it has taken its decisions and in any event within six months from the date of the acknowledgment of the receipt of the request.

Article 7

The applicant authority may at any time withdraw the request for information which it has sent to the requested authority. The decision to withdraw shall be transmitted to the requested authority in writing (e.g. by telex or telefax).  

Title III

Request for notification

Article 8

The request for notification referred to in Article 5 of Appendix IV shall be made out in writing in duplicate in accordance with the specimen in Annex III. The said request shall bear the official stamp of the applicant authority and shall be signed by an official thereof duly authorized to make such a request.

Two copies of the instrument (or decision), notification of which is requested, shall be attached to the request referred to in the foregoing paragraph.

Article 9

The request for notification may relate to any natural or legal person who, in accordance with the law in force in the Contracting Party where the applicant authority is situated, shall be informed of any instrument or decision which concerns him.

Article 10

1. Immediately upon receipt of the request for notification, the requested authority shall take the necessary measures to effect that notification in accordance with the law in force in the Contracting Party in which it is situated.

2. The requested authority shall inform the applicant authority of the date of notification as soon as this has been done, by returning to it one of the copies of its request with the certificate on the reverse side duly completed.  

Title IV

Request for recovery and/or for the taking of precautionary measures

Article 11

1. The request for recovery and/or for the taking of precautionary measures referred to in Articles 6 and 13 of Appendix IV shall be made out in writing in accordance with the specimen in Annex IV. The request, which shall include a declaration that the conditions laid down in Appendix IV for initiating the mutual assistance procedure in the particular case have been fulfilled, shall bear the official stamp of the applicant authority and shall be signed by an official thereof duly authorized to make such a request.

2. The instrument permitting enforcement which shall accompany the request for recovery and/or for the taking of precautionary measures may be issued in respect of several claims where it concerns one and the same person.

For the purposes of Articles 12 to 19, all claims which are covered by the same instrument permitting enforcement shall be deemed to constitute a single claim.

Article 12

1. The request for recovery and/or for the taking of precautionary measures may be related to:

(a) the debtor; or

(b) any person liable for settlement of the claim under the law in force in the Contracting Party where the applicant authority is situated.

2. Where appropriate, the applicant authority shall inform the requested authority of any assets of the persons referred in paragraph 1 which to its knowledge are held by a third party.

Article 13

1. The applicant authority shall state the amounts of the claim to be recovered both in the currency of the Contracting Party in which it is situated and also in the currency of the Contracting Party in which the requested authority is situated.

2. The rate of exchange to be used for the purposes of paragraph 1 shall be the latest exchange rate established by the National Bank of the Contracting Party in which the applicant authority is situated, on the date when the request for recovery is signed.

Article 14

The requested authority shall acknowledge receipt of the request for recovery and/or for the taking of precautionary measures in writing (e.g. by telex or telefax) as soon as possible and in any event within seven days of its receipt.

Article 15

Where, within a reasonable time having regard to the particular case, all or part of the claim cannot be recovered or precautionary measures cannot be taken, the requested authority shall so inform the applicant authority, indicating the reasons thereof.

In any event, at the end of one year from the date of acknowledgment of receipt of the request, the requested authority shall inform the applicant authority of the outcome of the procedure which it has undertaken for recovery and/or for the taking of precautionary measures.

In the light of the information received from the requested authority, the applicant authority may request the latter to continue the procedure which it has undertaken for recovery and/or for the taking of precautionary measures. This request shall be made in writing (e.g. by telex or telefax) within two months from the receipt of the notification of the outcome of the procedure undertaken by the requested authority for recovery and/or for the taking of precautionary measures, and shall be treated by the requested authority in accordance with the provisions applying to the initial request.

Article 16

Any action contesting the claim or the instrument permitting its enforcement which is taken in the Contracting Party in which the applicant authority is situated shall be notified to the requested authority in writing (e.g. by telex or telefax) by the applicant authority immediately after and in any event within seven days it has been informed of such action.

Article 17

1. If the request for recovery and/or for the taking of precautionary measures becomes nugatory as a result of payment of the claim or of its cancellation or for any other reason, the applicant authority shall immediately inform the requested authority in writing (e.g. by telex or telefax) so that the latter may stop any action which it has undertaken.

2. Where the amount of the claim which is the subject of the request for recovery and/or for the taking of precautionary measures is amended for any reason, the applicant authority shall immediately and in any event within seven days inform the requested authority in writing (e.g. by telex or telefax).

If the amendment consists of a reduction in the amount of the claim, the requested authority shall continue the action which it has undertaken with the view to recovery and/or to the taking of precautionary measures, but that action shall be limited to the amount still outstanding if, at the time the requested authority is informed of the reduction of the amount of the claim, the original amount has already been recovered by it but the transfer procedure referred to in Article 18 has not yet been initiated, the requested authority shall repay the amount overpaid to the person entitled thereto.

If the amendment consists of an increase in the amount of the claim, the applicant authority shall as soon as possible address to the requested authority an additional request for recovery and/or for the taking of precautionary measures. This additional request shall, as far as possible be dealt with by the requested authority at the same time as the original request of the applicant authority. Where, in view of the state of progress of the existing procedure, the joinder of the additional request and the original request is not possible, the requested authority shall only be required to comply with the additional request if it concerns an amount not less than that referred to in Article 7 of Appendix IV.

3. To convert the amended amount of the claim into the currency of the Contracting Party in which the requested authority is situated, the applicant authority shall use the exchange rate used in its original request.

Article 18

Any sum recovered by requested authority, including, where applicable, the interest referred to in Article 9 (2) of Appendix IV, shall be the subject of a transfer to the applicant authority in the currency of the Contracting Party in which the requested authority is situated. This transfer shall take place within one month of the date on which the recovery was effected.

Article 19

Irrespective of any amounts collected by the requested authority by way of interest referred to in Article 9 (2) of Appendix IV, the claim shall be deemed to have been recovered in proportion to the recovery of the amount expressed in the national currency of the Contracting Party in which the requested authority is situated, on the basis of the exchange rate referred to in Article 13 (2).  

Title V

General and final provisions

Article 20

1. A request for assistance may be made by the applicant authority in respect of either a single claim or several claims where these are recoverable from one and the same person.

2. The information provided for in Annexes II, III and IV may be drawn up on plain paper by means of data processing systems provided that the resultant printouts comply with the format of the forms contained in the Annexes.

Article 21

Information and other particulars communicated by the requested authority to the applicant authority shall be made out in the official language of the Contracting Party in which the requested authority is situated or in English or Russian.

Annex II
to the Appendix IV

 

Annex III
to the Appendix IV

 

Annex IV
to the Appendix IV