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30.11.2011 Official
Journal
of
the
European
Union L
317/13
Amendment to the International Convention on the Harmonization of Frontier Controls of Goods
(Harmonization Convention), Geneva, 21 October 1982 ( 1 )
According to the UN Depositary Notification C.N.534.2011.TREATIES – 1 the following text of Annex 9 to
the Harmonization Convention enters into force on 30 November 2011:
‘ANNEX 9
FACILITATION OF BORDER CROSSING PROCEDURES FOR INTERNATIONAL RAIL FREIGHT
Article 1
Principles
1. This Annex, supplementing the provisions of the Convention, is intended to define the steps that need to be taken
to facilitate and expedite the crossing of borders for international rail freight.
2. The Contracting Parties shall undertake to cooperate in order to standardise as fully as possible formalities and
requirements in respect of documents and procedures in all areas connected with the carriage of goods by rail.
Article 2
Definition
“Border (interchange) station” shall mean a railway station where operational or administrative procedures are performed
in view of enabling a border crossing of rail freight. This railway station may be at the border or near the border.
Article 3
Crossing of borders by officials and other persons engaged in international rail transport
1. The
Contracting
Parties
shall
endeavour
to
facilitate
the
procedures
for
granting
of
visas
for
locomotive
crews,
refrigerated unit crews, persons accompanying freight shipments and staff at border (interchange) stations engaged in
international rail transport in accordance with national best practice for all visa applicants.
2. The
border
crossing
procedure
for
the
persons
listed
in
paragraph
1,
including
official
documents
confirming
their
status, shall be determined on the basis of bilateral agreements.
3. When a joint control is carried out, the officials of the border, customs and other agencies that conduct controls at
border (interchange) stations shall, in the performance of their official duties, cross the State frontier using documents
stipulated by the Contracting Parties for their nationals.
Article 4
Requirements for border (interchange) stations
To rationalise and expedite the required formalities at border (interchange) stations, the Contracting Parties shall observe
the following minimum requirements for border (interchange) stations open to international rail freight traffic:
(1) Border (interchange) stations shall have buildings (premises), plant, facilities and technical equipment enabling them to
carry out daily and round-the-clock controls, if this is justified and is appropriate to the volume of freight traffic;
(2) Border (interchange) stations where phytosanitary, veterinary and other controls are carried out shall be provided with
technical equipment;
(3) The carrying and traffic capacity of border (interchange) stations and adjacent tracks must be adequate for the volume
of traffic;
(4) Inspection areas must be available, as well as warehousing for the temporary storage of goods subject to customs or
other forms of control;
(5) Equipment, facilities, information technology and communications systems must be available to enable the exchange
in advance of information, including on goods approaching border (interchange) stations, as contained in the railway
consignment note and customs declaration;
( 1 ) OJ L 126, 12.5.1984, p. 1.

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L 317/14
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Official Journal of the European Union
30.11.2011
(6) Sufficient qualified staff of the railway, customs, border and other agencies must be on hand at border (interchange)
stations to cope with the freight volumes involved;
(7) Border (interchange) stations shall have the technical equipment, facilities, information technology and communi
cations systems to be able, prior to the arrival of rolling stock at the border, to receive and use data concerning the
technical approval and the technical inspections of the rolling stock made by authorities and railways within the
framework of their competence, unless Contracting Parties put in place alternative arrangements to fulfil these
functions.
Article 5
Cooperation between adjacent countries at border (interchange) stations
In accordance with the provisions of Article 7 of the Convention, Contracting Parties shall coordinate actions with respect
to the controls of rolling stock, containers, piggyback semi-trailers and goods as well as the processing of shipping and
accompanying documentation and shall endeavour to arrange all forms of joint controls on the basis of bilateral
agreements.
Article 6
Controls
The Contracting Parties:
(1) Shall establish a mechanism for reciprocal recognition of all forms of control of rolling stock, containers, piggyback
semi-trailers and goods, provided the objectives thereof coincide;
(2) Shall carry out customs controls relying on the principle of selection on the basis of risk evaluation and management.
As a general rule, if required information on the goods has been provided and if the goods are contained in a
properly closed and sealed rolling stock unit, container, piggyback semi-trailer or wagon, physical examination shall
not be carried out;
(3) Shall carry out simplified controls at border (interchange) stations and shall, as far as possible, move certain forms of
controls to the stations of departure and destination;
(4) Without prejudice to Article 10 of the Convention, Article 4 of Annex 2, Article 5 of Annex 3 and Article 5 of
Annex 4, shall carry out inspections of transit goods only in cases where these are warranted by the actual circum
stances or risks.
Article 7
Time limits
1. The Contracting Parties shall ensure compliance with the time limits specified in bilateral agreements for technical
operations involving the reception and transfer of trains at border (interchange) stations, including all types of controls,
and shall endeavour to reduce these time limits by improving the technology and equipment used. The Contracting
Parties shall undertake to reach a maximum reduction in the time limit in the coming years.
2. The
Contracting
Parties
shall
record
delays
of
the
trains
or
wagons
at
border
(interchange)
stations
and
transmit
the
information to the parties involved which conduct subsequent analysis and propose measures to reduce the delays.
Article 8
Documentation
1. The
Contracting
Parties
shall
ensure
that
shipping
and
accompanying
documents
are
properly
formulated
in
accordance with the legislation of the importing and transit countries.
2. In their mutual relations, the Contracting Parties shall endeavour to reduce paper documents and to simplify
documentation procedures by using electronic systems for the exchange of information corresponding to the information
contained in railway consignment notes and customs declarations accompanying the goods, drawn up in accordance with
the legislation of the Contracting Parties.

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EN
30.11.2011 Official
Journal
of
the
European
Union L
317/15
3. The
Contracting
Parties
shall
endeavour
to
provide
the
customs
authorities
in
advance
with
information
on
goods
arriving at border (interchange) stations as contained in the railway consignment note and customs declaration. The
format, and the procedure and deadlines for providing the information, shall be determined by the Contracting Parties.
Article 9
Use of the CIM/SMGS railway consignment note
The Contracting Parties may use, instead of the other shipping documents currently stipulated by international treaties,
the CIM/SMGS railway consignment note, which at the same time could be a customs document.’

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