Legal provisions of COM(2009)29 - Administrative cooperation in the field of taxation - Main contents
Please note
This page contains a limited version of this dossier in the EU Monitor.
dossier | COM(2009)29 - Administrative cooperation in the field of taxation. |
---|---|
document | COM(2009)29 |
date | February 15, 2011 |
Contents
- CHAPTER I - GENERAL PROVISIONS
- Article 1 - Subject matter
- Article 2 - Scope
- Article 3 - Definitions
- Article 4 - Organisation
- CHAPTER II - EXCHANGE OF INFORMATION
- SECTION I - Exchange of information on request
- Article 5 - Procedure for the exchange of information on request
- Article 6 - Administrative enquiries
- Article 7 - Time limits
- SECTION II - Mandatory automatic exchange of information
- Article 8 - Scope and conditions of mandatory automatic exchange of information
- SECTION III - Spontaneous exchange of information
- Article 9 - Scope and conditions of spontaneous exchange of information
- Article 10 - Time limits
- CHAPTER III - OTHER FORMS OF ADMINISTRATIVE COOPERATION
- SECTION I - Presence in administrative offices and participation in administrative enquiries
- Article 11 - Scope and conditions
- SECTION II - Simultaneous controls
- Article 12 - Simultaneous controls
- SECTION III - Administrative notification
- Article 13 - Request for notification
- SECTION IV - Feedback
- Article 14 - Conditions
- SECTION V - Sharing of best practices and experience
- Article 15 - Scope and conditions
- CHAPTER IV - CONDITIONS GOVERNING ADMINISTRATIVE COOPERATION
- Article 16 - Disclosure of information and documents
- Article 17 - Limits
- Article 18 - Obligations
- Article 19 - Extension of wider cooperation provided to a third country
- Article 20 - Standard forms and computerised formats
- Article 21 - Practical arrangements
- Article 22 - Specific obligations
- CHAPTER V - RELATIONS WITH THE COMMISSION
- Article 23 - Evaluation
- CHAPTER VI - RELATIONS WITH THIRD COUNTRIES
- Article 24 - Exchange of information with third countries
- CHAPTER VII - GENERAL AND FINAL PROVISIONS
- Article 25 - Data protection
- Article 26 - Committee
- Article 27 - Reporting
- Article 28 - Repeal of Directive 77/799/EEC
- Article 29 - Transposition
- Article 30 - Entry into force
- Article 31 - Addressees
CHAPTER I - GENERAL PROVISIONS
Article 1 - Subject matter
2. This Directive also lays down provisions for the exchange of information referred to in paragraph 1 by electronic means, as well as rules and procedures under which the Member States and the Commission are to cooperate on matters concerning coordination and evaluation.
3. This Directive shall not affect the application in the Member States of the rules on mutual assistance in criminal matters. It shall also be without prejudice to the fulfilment of any obligations of the Member States in relation to wider administrative cooperation ensuing from other legal instruments, including bilateral or multilateral agreements.
Article 2 - Scope
2. Notwithstanding paragraph 1, this Directive shall not apply to value added tax and customs duties, or to excise duties covered by other Union legislation on administrative cooperation between Member States. This Directive shall also not apply to compulsory social security contributions payable to the Member State or a subdivision of the Member State or to social security institutions established under public law.
3. In no case shall the taxes referred to in paragraph 1 be construed as including:
(a) | fees, such as for certificates and other documents issued by public authorities; or |
(b) | dues of a contractual nature, such as consideration for public utilities. |
4. This Directive shall apply to the taxes referred to in paragraph 1 levied within the territory to which the Treaties apply by virtue of Article 52 of the Treaty on the European Union.
Article 3 - Definitions
1. | ‘competent authority’ of a Member State means the authority which has been designated as such by that Member State. When acting pursuant to this Directive, the central liaison office, a liaison department or a competent official shall also be deemed to be competent authorities by delegation according to Article 4; |
2. | ‘central liaison office’ means the office which has been designated as such with principal responsibility for contacts with other Member States in the field of administrative cooperation; |
3. | ‘liaison department’ means any office other than the central liaison office which has been designated as such to directly exchange information pursuant to this Directive; |
4. | ‘competent official’ means any official who is authorised to directly exchange information pursuant to this Directive; |
5. | ‘requesting authority’ means the central liaison office, a liaison department or any competent official of a Member State who makes a request for assistance on behalf of the competent authority; |
6. | ‘requested authority’ means the central liaison office, a liaison department or any competent official of a Member State who receives a request for assistance on behalf of the competent authority; |
7. | ‘administrative enquiry’ means all controls, checks and other action taken by Member States in the performance of their duties with a view to ensuring the proper application of tax legislation; |
8. | ‘exchange of information on request’ means the exchange of information based on a request made by the requesting Member State to the requested Member State in a specific case; |
9. | ‘automatic exchange’ means the systematic communication of predefined information to another Member State, without prior request, at pre-established regular intervals. In the context of Article 8, available information refers to information in the tax files of the Member State communicating the information, which is retrievable in accordance with the procedures for gathering and processing information in that Member State; |
10. | ‘spontaneous exchange’ means the non-systematic communication, at any moment and without prior request, of information to another Member State; |
11. | ‘person’ means:
|
12. | ‘by electronic means’ means using electronic equipment for the processing, including digital compression, and storage of data, and employing wires, radio transmission, optical technologies or other electromagnetic means; |
13. | ‘CCN network’ means the common platform based on the common communication network (CCN), developed by the Union for all transmissions by electronic means between competent authorities in the area of customs and taxation. |
Article 4 - Organisation
The Commission shall make the information available to the other Member States and publish a list of the authorities of the Member States in the Official Journal of the European Union.
2. The competent authority shall designate a single central liaison office. The competent authority shall be responsible for informing the Commission and the other Member States thereof.
The central liaison office may also be designated as responsible for contacts with the Commission. The competent authority shall be responsible for informing the Commission thereof.
3. The competent authority of each Member State may designate liaison departments with the competence assigned according to its national legislation or policy. The central liaison office shall be responsible for keeping the list of liaison departments up to date and making it available to the central liaison offices of the other Member States concerned and to the Commission.
4. The competent authority of each Member State may designate competent officials. The central liaison office shall be responsible for keeping the list of competent officials up to date and making it available to the central liaison offices of the other Member States concerned and to the Commission.
5. The officials engaged in administrative cooperation pursuant to this Directive shall in any case be deemed to be competent officials for that purpose, in accordance with arrangements laid down by the competent authorities.
6. Where a liaison department or a competent official sends or receives a request or a reply to a request for cooperation, it shall inform the central liaison office of its Member State under the procedures laid down by that Member State.
7. Where a liaison department or a competent official receives a request for cooperation requiring action which falls outside the competence it is assigned according to the national legislation or policy of its Member State, it shall forward such request without delay to the central liaison office of its Member State and inform the requesting authority thereof. In such a case, the period laid down in Article 7 shall start the day after the request for cooperation is forwarded to the central liaison office.
CHAPTER II - EXCHANGE OF INFORMATION
SECTION I - Exchange of information on request
Article 5 - Procedure for the exchange of information on request
Article 6 - Administrative enquiries
2. The request referred to in Article 5 may contain a reasoned request for a specific administrative enquiry. If the requested authority takes the view that no administrative enquiry is necessary, it shall immediately inform the requesting authority of the reasons thereof.
3. In order to obtain the requested information or to conduct the administrative enquiry requested, the requested authority shall follow the same procedures as it would when acting on its own initiative or at the request of another authority in its own Member State.
4. When specifically requested by the requesting authority, the requested authority shall communicate original documents provided that this is not contrary to the provisions in force in the Member State of the requested authority.
Article 7 - Time limits
However, where the requested authority is already in possession of that information, the information shall be transmitted within two months of that date.
2. In certain special cases, time limits other than those provided for in paragraph 1 may be agreed upon between the requested and the requesting authorities.
3. The requested authority shall confirm immediately and in any event no later than seven working days from receipt, if possible by electronic means, receipt of a request to the requesting authority.
4. Within one month of receipt of the request, the requested authority shall notify the requesting authority of any deficiencies in the request and of the need for any additional background information. In such a case, the time limits provided for in paragraph 1 shall start the day after the requested authority has received the additional information needed.
5. Where the requested authority is unable to respond to the request by the relevant time limit, it shall inform the requesting authority immediately and in any event within three months of the receipt of the request, of the reasons for its failure to do so, and the date by which it considers it might be able to respond.
6. Where the requested authority is not in possession of the requested information and is unable to respond to the request for information or refuses to do so on the grounds provided for in Article 17, it shall inform the requesting authority of the reasons thereof immediately and in any event within one month of receipt of the request.
SECTION II - Mandatory automatic exchange of information
Article 8 - Scope and conditions of mandatory automatic exchange of information
(a) | income from employment; |
(b) | director’s fees; |
(c) | life insurance products not covered by other Union legal instruments on exchange of information and other similar measures; |
(d) | pensions; |
(e) | ownership of and income from immovable property. |
2. Before 1 January 2014, Member States shall inform the Commission of the categories listed in paragraph 1 in respect of which they have information available. They shall inform the Commission of any subsequent changes thereto.
3. The competent authority of a Member State may indicate to the competent authority of any other Member State that it does not wish to receive information on the categories of income and capital referred to in paragraph 1, or that it does not wish to receive information on income or capital not exceeding a threshold amount. It shall also inform the Commission thereof. A Member State may be considered as not wishing to receive information in accordance with paragraph 1, if it does not inform the Commission of any single category in respect of which it has information available.
4. Before 1 July 2016, Member States shall provide the Commission on an annual basis with statistics on the volume of automatic exchanges and, to the extent possible, with information on the administrative and other relevant costs and benefits relating to exchanges that have taken place and any potential changes, for both tax administrations and third parties.
5. Before 1 July 2017, the Commission shall submit a report that provides an overview and an assessment of the statistics and information received, on issues such as the administrative and other relevant costs and benefits of the automatic exchange of information, as well as practical aspects linked thereto. If appropriate, the Commission shall present a proposal to the Council regarding the categories of income and capital and/or the conditions laid down in paragraph 1, including the condition that information concerning residents in other Member States has to be available.
When examining a proposal put forward by the Commission, the Council shall assess further strengthening of the efficiency and functioning of the automatic exchange of information and raising the standard thereof, with the aim of providing that:
(a) | the competent authority of each Member State shall, by automatic exchange, communicate to the competent authority of any other Member State, information regarding taxable periods as from 1 January 2017 concerning residents in that other Member State, on at least three of the specific categories of income and capital listed in paragraph 1, as they are to be understood under the national legislation of the Member State communicating the information; and |
(b) | the list of categories in paragraph 1 be extended to include dividends, capital gains and royalties. |
6. The communication of information shall take place at least once a year, within six months following the end of the tax year of the Member State during which the information became available.
7. The Commission shall adopt the practical arrangements for the automatic exchange of information, in accordance with the procedure referred to in Article 26(2), before the dates referred to in Article 29(1).
8. Where Member States agree on the automatic exchange of information for additional categories of income and capital in bilateral or multilateral agreements which they conclude with other Member States, they shall communicate those agreements to the Commission which shall make those agreements available to all the other Member States
SECTION III - Spontaneous exchange of information
Article 9 - Scope and conditions of spontaneous exchange of information
(a) | the competent authority of one Member State has grounds for supposing that there may be a loss of tax in the other Member State; |
(b) | a person liable to tax obtains a reduction in, or an exemption from, tax in one Member State which would give rise to an increase in tax or to liability to tax in the other Member State; |
(c) | business dealings between a person liable to tax in one Member State and a person liable to tax in the other Member State are conducted through one or more countries in such a way that a saving in tax may result in one or the other Member State or in both; |
(d) | the competent authority of a Member State has grounds for supposing that a saving of tax may result from artificial transfers of profits within groups of enterprises; |
(e) | information forwarded to one Member State by the competent authority of the other Member State has enabled information to be obtained which may be relevant in assessing liability to tax in the latter Member State. |
2. The competent authorities of each Member State may communicate, by spontaneous exchange, to the competent authorities of the other Member States any information of which they are aware and which may be useful to the competent authorities of the other Member States.
Article 10 - Time limits
2. The competent authority to which information is communicated pursuant to Article 9 shall confirm, if possible by electronic means, the receipt of the information to the competent authority which provided the information immediately and in any event no later than seven working days.
CHAPTER III - OTHER FORMS OF ADMINISTRATIVE COOPERATION
SECTION I - Presence in administrative offices and participation in administrative enquiries
Article 11 - Scope and conditions
(a) | be present in the offices where the administrative authorities of the requested Member State carry out their duties; |
(b) | be present during administrative enquiries carried out in the territory of the requested Member State. |
Where the requested information is contained in documentation to which the officials of the requested authority have access, the officials of the requesting authority shall be given copies thereof.
2. In so far as this is permitted under the legislation of the requested Member State, the agreement referred to in paragraph 1 may provide that, where officials of the requesting authority are present during administrative enquiries, they may interview individuals and examine records.
Any refusal by the person under investigation to respect the inspection measures of the officials of the requesting authority shall be treated by the requested authority as if that refusal was committed against officials of the latter authority.
3. Officials authorised by the requesting Member State present in another Member State in accordance with paragraph 1 shall at all times be able to produce written authority stating their identity and their official capacity.
SECTION II - Simultaneous controls
Article 12 - Simultaneous controls
2. The competent authority in each Member State shall identify independently the persons for whom it intends to propose a simultaneous control. It shall notify the competent authority of the other Member States concerned of any cases for which it proposes a simultaneous control, giving reasons for its choice.
It shall specify the period of time during which those controls are to be conducted.
3. The competent authority of each Member State concerned shall decide whether it wishes to take part in simultaneous controls. It shall confirm its agreement or communicate its reasoned refusal to the authority that proposed a simultaneous control.
4. The competent authority of each Member State concerned shall appoint a representative with responsibility for supervising and coordinating the control operation.
SECTION III - Administrative notification
Article 13 - Request for notification
2. Requests for notification shall indicate the subject of the instrument or decision to be notified and shall specify the name and address of the addressee, together with any other information which may facilitate identification of the addressee.
3. The requested authority shall inform the requesting authority immediately of its response and, in particular, of the date of notification of the instrument or decision to the addressee.
4. The requesting authority shall only make a request for notification pursuant to this Article when it is unable to notify in accordance with the rules governing the notification of the instruments concerned in the requesting Member State, or where such notification would give rise to disproportionate difficulties. The competent authority of a Member State may notify any document by registered mail or electronically directly to a person within the territory of another Member State.
SECTION IV - Feedback
Article 14 - Conditions
2. Member States’ competent authorities shall send feedback on the automatic exchange of information to the other Member States concerned once a year, in accordance with practical arrangements agreed upon bilaterally.
SECTION V - Sharing of best practices and experience
Article 15 - Scope and conditions
2. Member States may, together with the Commission, produce guidelines on any aspect deemed necessary for sharing best practices and sharing experience.
CHAPTER IV - CONDITIONS GOVERNING ADMINISTRATIVE COOPERATION
Article 16 - Disclosure of information and documents
Such information may also be used for the assessment and enforcement of other taxes and duties covered by Article 2 of Council Directive 2010/24/EU of 16 March 2010 concerning mutual assistance for the recovery of claims relating to taxes, duties and other measures (7), or for the assessment and enforcement of compulsory social security contributions.
In addition, it may be used in connection with judicial and administrative proceedings that may involve penalties, initiated as a result of infringements of tax law, without prejudice to the general rules and provisions governing the rights of defendants and witnesses in such proceedings.
2. With the permission of the competent authority of the Member State communicating information pursuant to this Directive, and only in so far as this is allowed under the legislation of the Member State of the competent authority receiving the information, information and documents received pursuant to this Directive may be used for other purposes than those referred to in paragraph 1. Such permission shall be granted if the information can be used for similar purposes in the Member State of the competent authority communicating the information.
3. Where a competent authority of a Member State considers that information which it has received from the competent authority of another Member State is likely to be useful for the purposes referred to in paragraph 1 to the competent authority of a third Member State, it may transmit that information to the latter competent authority, provided that transmission is in accordance with the rules and procedures laid down in this Directive. It shall inform the competent authority of the Member State from which the information originates about its intention to share that information with a third Member State. The Member State of origin of the information may oppose such a sharing of information within 10 working days of receipt of the communication from the Member State wishing to share the information.
4. Permission to use information pursuant to paragraph 2, which has been transmitted pursuant to paragraph 3, may be granted only by the competent authority of the Member State from which the information originates.
5. Information, reports, statements and any other documents, or certified true copies or extracts thereof, obtained by the requested authority and communicated to the requesting authority in accordance with this Directive may be invoked as evidence by the competent bodies of the requesting Member State on the same basis as similar information, reports, statements and any other documents provided by an authority of that Member State.
Article 17 - Limits
2. This Directive shall impose no obligation upon a requested Member State to carry out enquiries or to communicate information, if it would be contrary to its legislation to conduct such inquiries or to collect the information requested for its own purposes.
3. The competent authority of a requested Member State may decline to provide information where the requesting Member State is unable, for legal reasons, to provide similar information.
4. The provision of information may be refused where it would lead to the disclosure of a commercial, industrial or professional secret or of a commercial process, or of information whose disclosure would be contrary to public policy.
5. The requested authority shall inform the requesting authority of the grounds for refusing a request for information.
Article 18 - Obligations
2. In no case shall Article 17(2) and (4) be construed as permitting a requested authority of a Member State to decline to supply information solely because this information is held by a bank, other financial institution, nominee or person acting in an agency or a fiduciary capacity or because it relates to ownership interests in a person.
3. Notwithstanding paragraph 2, a Member State may refuse the transmission of requested information where such information concerns taxable periods prior to 1 January 2011 and where the transmission of such information could have been refused on the basis of Article 8(1) of Directive 77/799/EEC if it had been requested before 11 March 2011.
Article 19 - Extension of wider cooperation provided to a third country
Article 20 - Standard forms and computerised formats
The standard forms may be accompanied by reports, statements and any other documents, or certified true copies or extracts thereof.
2. The standard form referred to in paragraph 1 shall include at least the following information to be provided by the requesting authority:
(a) | the identity of the person under examination or investigation; |
(b) | the tax purpose for which the information is sought. |
The requesting authority may, to the extent known and in line with international developments, provide the name and address of any person believed to be in possession of the requested information as well as any element that may facilitate the collection of information by the requested authority.
3. Spontaneous information and its acknowledgement pursuant to Articles 9 and 10 respectively, requests for administrative notifications pursuant to Article 13 and feedback information pursuant to Article 14 shall be sent using the standard form adopted by the Commission in accordance with the procedure referred to in Article 26(2).
4. The automatic exchange of information pursuant to Article 8 shall be sent using a standard computerised format aimed at facilitating such automatic exchange and based on the existing computerised format pursuant to Article 9 of Council Directive 2003/48/EC of 3 June 2003 on taxation of savings income in the form of interest payments (8), to be used for all types of automatic exchange of information, adopted by the Commission in accordance with the procedure referred to in Article 26(2).
Article 21 - Practical arrangements
Where necessary, the Commission shall adopt practical arrangements necessary for the implementation of the first subparagraph in accordance with the procedure referred to in Article 26(2).
2. The Commission shall be responsible for whatever development of the CCN network is necessary to permit the exchange of that information between Member States.
Member States shall be responsible for whatever development of their systems is necessary to enable that information to be exchanged using the CCN network.
Member States shall waive all claims for the reimbursement of expenses incurred in applying this Directive except, where appropriate, in respect of fees paid to experts.
3. Persons duly accredited by the Security Accreditation Authority of the Commission may have access to that information only in so far as it is necessary for the care, maintenance and development of the CCN network.
4. Requests for cooperation, including requests for notification, and attached documents may be made in any language agreed between the requested and requesting authority.
Those requests shall be accompanied by a translation into the official language or one of the official languages of the Member State of the requested authority only in special cases when the requested authority states its reason for requesting a translation.
Article 22 - Specific obligations
(a) | ensure effective internal coordination within the organisation referred to in Article 4; |
(b) | establish direct cooperation with the authorities of the other Member States referred to in Article 4; |
(c) | ensure the smooth operation of the administrative cooperation arrangements provided for in this Directive. |
2. The Commission shall communicate to each Member State any general information concerning the implementation and application of this Directive which it receives and which it is able to provide.
CHAPTER V - RELATIONS WITH THE COMMISSION
Article 23 - Evaluation
2. Member States shall communicate to the Commission any relevant information necessary for the evaluation of the effectiveness of administrative cooperation in accordance with this Directive in combating tax evasion and tax avoidance.
3. Member States shall communicate to the Commission a yearly assessment of the effectiveness of the automatic exchange of information referred to in Article 8 as well as the practical results achieved. The form and the conditions of communication of that yearly assessment shall be adopted by the Commission in accordance with the procedure referred to in Article 26(2).
4. The Commission shall, in accordance with the procedure referred to in Article 26(2), determine a list of statistical data which shall be provided by the Member States for the purposes of evaluation of this Directive.
5. Information communicated to the Commission under paragraphs 2, 3 and 4 shall be kept confidential by the Commission in accordance with the provisions applicable to Union authorities.
6. Information communicated to the Commission by a Member State under paragraphs 2, 3 and 4, as well as any report or document produced by the Commission using such information, may be transmitted to other Member States. Such transmitted information shall be covered by the obligation of official secrecy and enjoy the protection extended to similar information under the national law of the Member State which received it.
Reports and documents produced by the Commission referred to in this paragraph may only be used by the Member States for analytical purposes but shall not be published or made available to any other person or body without express agreement of the Commission.
CHAPTER VI - RELATIONS WITH THIRD COUNTRIES
Article 24 - Exchange of information with third countries
2. Competent authorities may communicate, in accordance with their domestic provisions on the communication of personal data to third countries, information obtained in accordance with this Directive to a third country, provided that all of the following conditions are met:
(a) | the competent authority of the Member State from which the information originates have consented to that communication; |
(b) | the third country concerned has given an undertaking to provide the cooperation required to gather evidence of the irregular or illegal nature of transactions which appear to contravene or constitute an abuse of tax legislation. |
CHAPTER VII - GENERAL AND FINAL PROVISIONS
Article 25 - Data protection
Article 26 - Committee
2. Where reference is made to this paragraph, Articles 5 and 7 of Decision 1999/468/EC shall apply.
The period laid down in Article 5(6) of Decision 1999/468/EC shall be set at three months.
Article 27 - Reporting
Article 28 - Repeal of Directive 77/799/EEC
References made to the repealed Directive shall be construed as references to this Directive.
Article 29 - Transposition
However, they shall bring into force the laws, regulations and administrative provisions necessary to comply with Article 8 of this Directive with effect from 1 January 2015.
They shall forthwith inform the Commission thereof.
When Member States adopt those measures, they shall contain a reference to this Directive or shall be accompanied by such a reference on the occasion of their official publication. The methods of making such reference shall be laid down by the Member States.
2. Member States shall communicate to the Commission the text of the main provisions of national law which they adopt in the field covered by this Directive.