Ais-Ics Phase 1 - Scope Document

OWNER: ISSUE DATE: VERSION:

DG TAXUD 30/03/2015 12.10

TAXATION AND CUSTOMS UNION DG

SUBJECT:

AIS-ICS PHASE 1 - SCOPE DOCUMENT

FRAMEWORK CONTRACT TAXUD/2013/CC/124

SPECIFIC CONTRACT 03 – QTM037

Status: Final, after review by DG TAXUD & National Administrations.

Published on CIRCABC on: 30/03/2015.

Aligned to: DDNA RFC-List.28. CUSTDEV3 – FC TAXUD/2013/CC/124 – SC03 REF: ICS P1-SD AIS-ICS PHASE 1 - SCOPE DOCUMENT VER: 12.10 LIST OF TABLES

Document History

Edi. Rev. Date Description Action Pages (*) 1 00 11/12/2007 Implementing QA review comments. I All Submitted for acceptance to Taxation and Customs Union DG 1 10 11/01/2008 Incorporating the outcomes from I All ECG ICS Way forward workshop 08-09.01.08 1 20 15/01/2008 Incorporating the outcomes from D All ECG IT and legal meeting 15.01.08 1 21 31/01/2008 Incorporating comments from NAs R 4, 10 review: corrected comment 8 and typo errors in chapter 2 2 00 18/11/2008 Submitted for acceptance to Taxation - - and Customs Union DG after ECG review cycle 2 01 24/01/2012 Contractual data updated. Aligned I, R 14 and 15 with KEL 0.24. Sent for internal review. 2 02 25/01/2012 Comments from the internal review I, R 4, 5, 9, 14 are implemented. Sent for internal and 17 language review. 2 10 08/02/2012 Comments from the language review I, R As are implemented. Required Submitted for review to Taxation & Customs Union DG. 3 00 29/02/2012 The review comments are I, R As implemented. Required Submitted for acceptance to Taxation & Customs Union DG. 3 01 10/07/2012 Contractual data updated. Aligned I/R Page 16 with KEL 0.25. Sent for internal review. 3 02 27/07/2012 Comments from the internal review I/R As are implemented. Sent for internal Required language review. 3 05 31/07/2012 Comments from the language review I/R As are implemented. Required Submitted for review to Taxation & Customs Union DG. 3 10 13/08/2012 The review comments are I/R Pages 3, implemented. 11, 17 Submitted for acceptance to Taxation & Customs Union DG.

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Edi. Rev. Date Description Action Pages (*) 9 51 15/08/2013 Contractual data updated. Aligned I/R Page 16 with KEL 0.26. Version of the document aligned with the DDNIA version. Sent for internal review. 9 60 26/08/2013 Comments from the internal review I/R Pages 4 are implemented. and 17 Submitted for review to Taxation & Customs Union DG. 10 00 23/09/2013 The review comments are I/R Pages 5, implemented. 16 and 17 Submitted for acceptance to Taxation & Customs Union DG. 10 01 15/01/2014 Contractual data updated. Aligned I/R/D Pages 5, with KEL 0.27 (KEL entry #349). 14, 16. Sent for internal review. 10 10 21/01/2014 Comments from the internal review I/R As are implemented. required Submitted for review to Taxation & Customs Union DG. 11 00 18/02/2014 The review comments are I/R Pages 9- implemented. 11, 16-17 Submitted for acceptance to Taxation & Customs Union DG. 11 10 17/02/2015 Implementing QTM037 (RFC-List.28 I/R Pages 14- Movements System - No RFC# to 15 implement, only Reference and Applicable Documents). Submitted for Review (SfR) to Taxation & Customs Union DG and to National Administrations. 12 00 23/03/2015 Implementing DG TAXUD and QA3 I/R As review comments. required Submitted for Acceptance (SfA) to Taxation & Customs Union DG. 12 10 30/03/2015 Minor correction & hyperlinks added, R Sections published on CIRCABC. 6.1, 6.2. (*) Action: I = Insert R = Replace D = Delete

Table of Contents

List of Tables 5

1 Introduction 6

1.1 Purpose of document 6

1.2 ICS Phase 1 6

1.3 Field of application 7

2 Overview of ICS Phase 1 8

3 The scope matrix of ICS Phase 1 10

3.1 EBPs for ICS Phase 1 10

4 The scope of Information Exchanges in ICS Phase 1 13

4.1 IEs for ICS Phase 1 14

5 Exclusions and restrictions 16

5.1 Restriction on interface with AEO and EORI 16

5.2 Restriction on Risk Analysis 16

5.3 Restriction on forwarding ENS data with risk analysis results 16

5.4 Restriction on process Presentation 17

5.5 Restriction on ENS request and response 17

6 Reference and Applicable Documents 18

6.1 Reference documents 18

6.2 Applicable Documents 18

7 Terminology 19

7.1 Abbreviations and Acronyms 19

List of Tables

TABLE 1: SCOPE OF EBPS MATRIX DEFINITIONS 10 TABLE 2: EBPS FOR ICS PHASE 1 12 TABLE 3: SCOPE OF INFORMATION EXCHANGES MATRIX DEFINITION 13 TABLE 4: IES FOR ICS PHASE 1 15 TABLE 5: REFERENCE DOCUMENTS 18 TABLE 6: APPLICABLE DOCUMENTS 18 TABLE 7: ABBREVIATIONS AND ACRONYMS 19 4

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1 Introduction

1.1 Purpose of document

This document defines the scope for the Automated Import System (AIS) - Import Control System Phase 1, hereinafter referred to as ICS Phase 1. It defines “what has to be implemented” for ICS Phase 1 in reference to FSS. The FSS AIS Addendum describes the various business process threads and the logical data model / functional structure and codes of the information to be exchanged within ICS in general. This document presents the exclusions and restrictions applicable for ICS Phase 1. It intends to classify the ICS Phase 1 specifications into: o Excluded EBPs/IEs: ICS Phase 1 excludes their implementation (nevertheless MSs can implement them in accordance with the [R6] as long as they do not have international impact); o Recommended EBPs/IEs (covering Optional, Recommended and Strongly Recommended): ICS Phase 1 recommends their implementation according to the [R6]. The MSs remain free to implement the recommended specifications or not, and in the former case, according to their specific constraints and needs; o Mandatory EBPs/IEs: ICS Phase 1 imposes their implementation in National Import Control Applications (NICAs).

1.2 ICS Phase 1

ICS Phase 1 shall be considered as the first phase towards the AIS, it will include strictly, what is needed to implement Regulation 648/2005 and its Implementing Provisions (Regulation 1875/2006), in view of results from the set of ECG meetings held in 2007 and January 2008, based on: . Processing of the Entry Summary Declaration (ENS) at: o Office of Lodgement; o Office of First Entry (including international diversion); o Any Office of Subsequent Entry, whether or not declared in the ENS. Pre-Arrival Notification (PAN) was excluded from the ICS Phase 1 based on the recommendation of the Joint Informal Workshop of the Electronic Customs Group and the Customs Code Committee – General Customs Rules with a view to pursue the deletion of the legal basis of the PAN. ICS Phase 1 will use the existing Common Domain for the transfer of data between Member States. The data required for the messages will be captured, processed and transmitted by the Member State's own systems.

1.3 Field of application

This document is mainly addressed to Member States of the European Union. The intended audience includes any person responsible for the functional and technical specifications or implementation of ICS Phase 1.

2 Overview of ICS Phase 1

Except optional Office of lodgement, the basic simplified functional concept of ICS Phase 1 is described in the Figure 1. It consists of processes that are triggered by actions, mainly messages sent by declarants or customs offices, defined in details in [R6]. Only data of Information type 1 (risks type A, B, C, Z or/and 0) described in [R6] are exchanged between involved offices. Actions 1, 2, 3, 4, 5, 6 in the Figure 1 form the "normal" presentation process of ENS without diversion that is common for all modes of transport. Diversions: diversion notified to the First Office of Entry: Actions 7, 10 and 9 (pushed IE303) of so called Danish proposal, are used only under the diversion from the Declared Office to an Actual First Office of Entry. In messages such as the IE302 or IE323, a group of ENSs will be identified either as a list of MRNs (e.g. in road transport) or as an Entry key (Unique Identification of the diverted means of transport) that is based on the combination of the Mode of transport, the Date of the scheduled arrival at the First Office of Entry and:  The conveyance reference number (for air and rail mode of transport: e.g. flight number of the operating carrier, train number);  The Identity and nationality of the active means of transport crossing border (for maritime and road mode of transport; e.g. IMO number or immatriculation plate of the lorry). Response message IE303 is designed for two purposes:  To send risk analysis results, including 'no risk' information to the Actual Office of First Entry, based on a diversion request that is sent to the declared Office of First Entry via IE323 (option 1 -Action 8, option 2 – Action 15 in Figure 1);  As a response to an IE302 to send the risk analysis results, including 'no risk' information, to any Customs Office requesting such information (Action 20 in Figure 1). The presentation process under Actions 10, 14, 15 and 19 (in full described in [R6] by CO3 – process of presentation) is out of the common Scope of ICS Phase 1 and left to implementation on the national level.

Figure 1: Basic functional concept of ICS Phase 1

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3 The scope matrix of ICS Phase 1 The matrix consists of a table in which the status of each process is identified according to the scope of ICS Phase 1. The scope matrix of ICS Phase 1 illustrates all the EBPs which are part of ICS Phase 1.

Column Name Column content description Possible Values The “ICS Phase 1” columns display which the processes that are included in the scope of ICS Phase 1. It indicates which processes are computer assisted and which remain manual. EBP ID The identifier of the Elementary Business Process. FSS Id EBP Name The name of the Elementary Business Process Text ICS Phase 1 The status of the EBP in ICS Phase 1. M, SR, R, O or X Status “M”, “SR”, “R” and “O” mean that the process to be implemented is included in the scope of ICS Phase 1 as “Mandatory”, “Strongly Recommended”, “Recommended” or “Optional” respectively. “X” means that process is “Excluded” from the scope of ICS Phase 1 and therefore any applicable Import procedures remain valid. ICS Phase 1 The degree of automation of the process (Computer Man. or C.A. Man./C.A. Assisted or Manual) for ICS Phase 1. Table 1: Scope of EBPs matrix definitions

3.1 EBPs for ICS Phase 1

EBP ID EBP Name Status Man Note / C.A. CO1A Process ENS at Office of Lodgement SR 1

CO1A0501(SUM) Validate and register ENS M C.A. 2

CO1A0510(SUM) Perform common safety and security risk analysis O C.A. 3

CO1A0580(SUM) Forward ENS and common safety and security risk M C.A. analysis results

CO1B (SUM) Process ENS at Office of First Entry M

CO1B0501(SUM) Validate and register ENS M C.A. 2

CO1B0510(SUM) Register forwarded ENS SR C.A.

CO1B0520(SUM) Perform common safety and security risk analysis M C.A. 3

CO1B0525(SUM) Perform national risk analysis for goods to be SR C.A. 3 unloaded

CO1B0580(SUM) Forward ENS data and common safety and security M C.A. 4 risk analysis results

CO1B0600(SUM) Validate and register amendment request M C.A. 2

CO1B0650(SUM) Validate and register amendment request M C.A. 2

CO1C (SUM) Process ENS at Office of Subsequent Entry M

CO1C0501(SUM) Register ENS data and common safety and security M C.A. 4 risk analysis results

CO1C0625(SUM) Perform national risk analysis for goods to be SR C.A. 3 unloaded

CO1D (SUM) Process international diversion at Office of First M

1 Member States are free to allow the sending of ENS by an Office of Lodgement to an Office of Fist Entry, and the reception by the Office of Fist Entry of an ENS sent by an Office of Lodgement. 2 See also Point 5.1. 3 See also Point 5.2. 4 Only in the case of Information type' = 1 in IE319 and for type A, B and C results of risk analysis. See also point 5.3 below.

EBP ID EBP Name Status Man Note / C.A. Entry

CO1D0010(SUM) Validate and register diversion request at Office of M C.A. Error: First Entry Referen ce source not found

CO1D0100(SUM) Register forwarded diversion notification M C.A.

CO3A Presentation at Actual Office of First Entry

CO3A0102 Process presentation at Actual Office of First Entry X C.A 5, 6

except for sub-processes related to IE302/303 which M are mandatory

CO3A0300 Handle declaration request Import M C.A Error: Referenc e source not found

CO3A0400 Handle declaration response Import M C.A Error: Referenc e source not found

CO3A0625 Perform national risk analysis for goods to be X C.A unloaded

CO3B Presentation at Actual Office of Subsequent Entry

CO3B0102 Process presentation at Actual Office of Subsequent X C.A Error: Entry Referenc e source except for sub-processes related to IE302/303 which M not found, are mandatory Error: Referenc e source not found

5 See also Point 5.4 6 See also Point 5.5

EBP ID EBP Name Status Man Note / C.A. CO3B0300 Handle declaration request Import M C.A Error: Referenc e source not found

CO3B0400 Handle declaration response Import M C.A Error: Referenc e source not found

CO3B0625 Perform national risk analysis for goods to be X C.A unloaded

CO3C Release for Entry at the actual office of Entry X

CO3C0600 Decide to control X C.A

CO3C1100 Control of the goods X C.A

CO3C1500 Record control results X C.A Table 2: EBPs for ICS Phase 1

4 The scope of Information Exchanges in ICS Phase 1

Besides the EBPs, the scope of ICS Phase 1 can be expressed in terms of IEs. The table below illustrates the IEs that are within the scope of ICS Phase 1. The meaning of each column should be taken as follows: Columns Name Columns content description Possible Values IE The Information Exchange identifier IE+’number’ Name The name of Information Exchange Text Reference The reference of the IE as defined in DDNIA. IE starting X_xxx_xxx with E_, N_ and C_ are messages exchanged respectively in the External, National and Common Domains. National Import Control Application This section defines which IEs are mandatory or (strongly) recommended for the Member States, the exchange mechanism and the format of the message in ICS Phase 1. Send This column determines if the construction and the M, SR, R, O, Receive submission of the IE have to be processed. blank An “M” means that the MS must implement the construction and the sending of this Information Exchange, while “R”, “SR” and “O” indicate that it is recommended, strongly recommended and optional for the MS to do so, respectively. A blank cell for sending means that in case of:  E_ IE, the IE does not need to be sent during ICS Phase 1;  C_ IE, the IE must not be sent during ICS Phase 1 A blank cell for receiving means that in case of:  E_ IE, the IE does not need to be received during ICS Phase 1;  C_ IE, the IE must not be received during ICS Phase 1.

Table 3: Scope of Information Exchanges Matrix Definition

4.1 IEs for ICS Phase 1

IE Name Reference Previous Send Next Receive EBP EBP IE301 ENS C_ENS_SND CO1A0580(SUM) SR7 CO1B0510(SUM) SR7

IE302 Declaration request Import C_IMP_REQ CO3B0102 M CO3B0300 M

IE303 Entry Summary Declaration response C_ENS_RSP CO1D0010(SUM) M CO1D0100(SUM) M CO3B0300 M CO3B0400 M

IE304 Entry Summary Declaration E_ENS_AAC CO1B0600(SUM) M No EBP, but Trader informed: Amendment Acceptance Amendment accepted, and in CO1B0650(SUM) M parallel, CO1B0520(SUM)

IE305 Entry Summary declaration E_ENS_ARJ CO1B0600(SUM) M No EBP, but Trader informed: Amendment rejection Amendment invalid CO1B0650(SUM) M

IE313 Entry Summary Declaration E_ENS_AMD Amendment to ENS CO1B0600(SUM) M amendment CO1B0650(SUM) M

IE315 Entry Summary Declaration / E_ENS_DAT Lodging ENS CO1B0501(SUM) M8 Replacement Entry Summary Declaration

7 Member States are free to allow the sending of ENS by an Office of Lodgement to an Office of Fist Entry, and the reception by the Office of Fist Entry of an ENS sent by an Office of Lodgement. It is only in the case that 'Office of Lodgement' services are offered that this IE is Mandatory. 8 The Commission proposes to develop a standard for the Summary Declaration aligned to Annex 30A on the basis of IE 315/323.

IE Name Reference Previous Send Next Receive EBP EBP IE316 Entry Summary Declaration rejected E_ENS_REJ CO1B0501 M No EBP, but trader notified of ENS rejection

IE319 Transmission to Subsequent office of C_ENS_SUB CO1B0580(SUM) M CO1C0501(SUM) M entry

IE323 Diversion request Import E_DIV_REQ Trader notifying CO1D0010(SUM) M diversion

IE324 Diversion request Rejected E_DIV_REJ CO1D0010(SUM) M No EBP, but trader notified of diversion rejection

IE325 Diversion request Acknowledgement E_DIV_ACK CO1D0010(SUM) M No EBP, but trader notified of that diversion request is accepted

IE328 Entry Summary Declaration E_ENS_ACK CO1A0501(SUM) SR7 No EBP, trader received MRN Acknowledgement CO1B0501(SUM) M

CO1B0510(SUM) SR7

IE351 Advanced Intervention notification E_AIV_NOT CO1B0520 M No EBP, Trader notification preventive measures

Table 4: IEs for ICS Phase 1

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5 Exclusions and restrictions

This section defines the exclusion of, or restrictions on, some business processes defined in the FSS. For each exclusion or restriction, a description is given with its impact on ICS Phase 1, and reference to the affected processes.

5.1 Restriction on interface with AEO and EORI

Affected processes: CO1A0501(SUM), CO1B0501(SUM), CO1B0600(SUM) and CO1B0650(SUM). The definition of the ICS interface with AEO and EORI is out of scope. The implementation in each Member States of the interface with AEO and EORI should be based on nationally defined specifications, which themselves should be in line with the accepted specifications of AEO and EORI.

5.2 Restriction on Risk Analysis

Affected processes: CO1A0510(SUM), CO1B0520(SUM), CO1B0525(SUM) and CO1C0625(SUM). National risk analysis will have to be initiated by ICS but performed by the national risk analysis system based on national provisions. The national risk analysis as such is therefore out of scope of ICS. The common safety and security risk analysis will have to be initiated by ICS but performed by the national risk analysis system based on provisions which are common for all the Member States and defined by the Risk Management Framework. ICS is going to provide the validated ENS data (according to the requirements set out by Regulation 1875/2006, Annex 30A) in order for the national risk analysis system to perform the risk analysis. The national risk application provides back the risk analysis results to ICS, where they are recorded. It is left up to the Member State to connect their national risk analysis system to ICS based on nationally defined specifications. The Member State shall however perform the common safety and security risk analysis in accordance with the regulation and with the rules of the Risk Management Framework.

5.3 Restriction on forwarding ENS data with risk analysis results

Affected processes: CO1B0580(SUM) and CO1C0501(SUM). If safety and security risk analysis results are positive, the Office of First Entry will extract the ENS data for which risk was identified (complete ENS header data, complete ENS goods item data for which relevant common risk is identified and the risk analysis results for these items), and send only this information to the subsequent offices of Entry ('Information type' = 1 in IE319). The sending of the full ENS including the items for which no common risk is identified ('information type' = 2) is out of scope for ICS Phase 1. Apart from forwarding of the ENS from the Office of Lodgement to the Office of First Entry, Member States will only exchange between themselves ENS data for which safety

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5.4 Restriction on process Presentation

Affected process: CO3. The presentation process is out of scope of ICS Phase 1 since it is not covered by Regulation 648/2005 and its Implementing Provisions. The process for presenting goods at the Actual Office of (first or subsequent) Entry remains a national matter. ICS Phase 1 does not provide for any specifications or guidelines. Traders will have to cope with national variants (situation unchanged by the introduction of ICS). Only the declaration request (IE302) and declaration response (IE303) are in the scope of ICS Phase 1.

5.5 Restriction on ENS request and response

Affected processes: CO1D0010, CO3A0102, CO3A0300, CO03A0400, CO3B0102, CO3B0300 and CO03B0400. The IE302 and IE303 are restricted to Information type = 1.

6 Reference and Applicable Documents

6.1 Reference Documents

Ref Reference Title Version R1 TMP-GDL-GLSRY Glossary of Terms 3.11

R2 DDCOM-SD Scope Document Common Volume 14.10

R3 DDCOM Design Document for Common 14.00 Operations and Methods

Design Document for National Import R4 DDNIA 12.00 Application

Corrigendum R5 TSS-FSF-REL4 FTSS 4.00 Addendum 2008 2/20139

Corrigendum R6 FSS – AIS FTSS – AIS Addendum: ICS 2/20139

Table 5: Reference Documents

6.2 Applicable Documents

Ref Reference Title Version Dated A1 TAXUD/2014/CC/124 Framework Contract 11/11/2013

A2 SC03 Specific Contract n°03 under the Dated Framework Contract 20/06/2014 TAXUD/2014/CC/124

A3 CUD2-FC-DLV-0.1- CUST-DEV2 Framework Quality Plan 2.00 1-FQP

Table 6: Applicable Documents

9 The RFCs agreed in RFC-List.28 will be applied on the version corrigendum 2/2013 of [R5] and [R6], and will be published in Corrigendum 1/2015.

7 Terminology

7.1 Abbreviations and Acronyms

Acronyms Description AEO Authorised Economic Operator AIS Automated Import System CUST-DEV Customs Development contractor DDNIA Design Documentation for National Import Applications DG TAXUD European Commission’s Taxation and Customs Union Directorate- General EBP Elementary Business Process Entry Summary Declaration Economic Operator registration and Identification Functional System Specification FTSS Functional Transit System Specification Import Control System Information Exchange Information Technology Known Error List Member State National Administration National Import Control Application Pre-Arrival Notification Table 7: Abbreviations and Acronyms

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