AIS-ICS PHASE 1 - SCOPE DOCUMENT / VER: 12.10
Document History
OWNER:
DG TAXUD / ISSUE DATE:
30/03/2015 / VERSION:
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.
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List of Tables
Document History
Edi. / Rev. / Date / Description / Action (*) / Pages /1 / 00 / 11/12/2007 / Implementing QA review comments. Submitted for acceptance to Taxation and Customs Union DG / I / All
1 / 10 / 11/01/2008 / Incorporating the outcomes from ECG ICS Way forward workshop
08-09.01.08 / I / All
1 / 20 / 15/01/2008 / Incorporating the outcomes from ECG IT and legal meeting 15.01.08 / D / All
1 / 21 / 31/01/2008 / Incorporating comments from NAs review: corrected comment 8 and typo errors in chapter 2 / R / 4, 10
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 with KEL 0.24.
Sent for internal review. / I, R / 14 and 15
2 / 02 / 25/01/2012 / Comments from the internal review are implemented. Sent for internal language review. / I, R / 4, 5, 9, 14 and 17
2 / 10 / 08/02/2012 / Comments from the language review are implemented.
Submitted for review to Taxation & Customs Union DG. / I, R / As Required
3 / 00 / 29/02/2012 / The review comments are implemented.
Submitted for acceptance to Taxation & Customs Union DG. / I, R / As Required
3 / 01 / 10/07/2012 / Contractual data updated. Aligned with KEL 0.25.
Sent for internal review. / I/R / Page 16
3 / 02 / 27/07/2012 / Comments from the internal review are implemented. Sent for internal language review. / I/R / As Required
3 / 05 / 31/07/2012 / Comments from the language review are implemented.
Submitted for review to Taxation & Customs Union DG. / I/R / As Required
3 / 10 / 13/08/2012 / The review comments are implemented.
Submitted for acceptance to Taxation & Customs Union DG. / I/R / Pages 3, 11, 17
9 / 51 / 15/08/2013 / Contractual data updated. Aligned with KEL 0.26.
Version of the document aligned with the DDNIA version.
Sent for internal review. / I/R / Page 16
9 / 60 / 26/08/2013 / Comments from the internal review are implemented.
Submitted for review to Taxation & Customs Union DG. / I/R / Pages 4 and 17
10 / 00 / 23/09/2013 / The review comments are implemented.
Submitted for acceptance to Taxation & Customs Union DG. / I/R / Pages 5, 16 and 17
10 / 01 / 15/01/2014 / Contractual data updated. Aligned with KEL 0.27 (KEL entry #349).
Sent for internal review. / I/R/D / Pages 5, 14, 16.
10 / 10 / 21/01/2014 / Comments from the internal review are implemented.
Submitted for review to Taxation & Customs Union DG. / I/R / As required
11 / 00 / 18/02/2014 / The review comments are implemented.
Submitted for acceptance to Taxation & Customs Union DG. / I/R / Pages 9-11, 16-17
11 / 10 / 17/02/2015 / Implementing QTM037 (RFC-List.28 Movements System - No RFC# to implement, only Reference and Applicable Documents).
Submitted for Review (SfR) to Taxation & Customs Union DG and to National Administrations. / I/R / Pages 14-15
12 / 00 / 23/03/2015 / Implementing DG TAXUD and QA3 review comments.
Submitted for Acceptance (SfA) to Taxation & Customs Union DG. / I/R / As required
12 / 10 / 30/03/2015 / Minor correction & hyperlinks added, published on CIRCABC. / R / Sections 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
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Overview of ICS Phase 1
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.
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Overview 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.
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Overview of ICS Phase 1
Figure 1: Basic functional concept of ICS Phase 1
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The scope of Information Exchanges in ICS Phase 1
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
Status / The status of the EBP in ICS Phase 1.
“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. / M, SR, R, O or X
ICS Phase 1 Man./C.A. / The degree of automation of the process (Computer Assisted or Manual) for ICS Phase 1. / Man. or C.A.
Table 1: Scope of EBPs matrix definitions
3.1 EBPs for ICS Phase 1
/ EBP ID / EBP Name / Status / Man/C.A. / Note /
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 analysis results / M / C.A.
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 unloaded / SR / C.A. / 3
CO1B0580(SUM) / Forward ENS data and common safety and security risk analysis results / M / C.A. / [4]
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 risk analysis results / M / C.A. / 4
CO1C0625(SUM) / Perform national risk analysis for goods to be unloaded / SR / C.A. / 3
CO1D (SUM) / Process international diversion at Office of First Entry / M
CO1D0010(SUM) / Validate and register diversion request at Office of First Entry / M / C.A. / 6
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 are mandatory / M
CO3A0300 / Handle declaration request Import / M / C.A / 6
CO3A0400 / Handle declaration response Import / M / C.A / 6
CO3A0625 / Perform national risk analysis for goods to be unloaded / X / C.A
CO3B / Presentation at Actual Office of Subsequent Entry
CO3B0102
/ Process presentation at Actual Office of Subsequent Entry / X / C.A / 5, 6
except for sub-processes related to IE302/303 which are mandatory / M
CO3B0300 / Handle declaration request Import / M / C.A / 6
CO3B0400 / Handle declaration response Import / M / C.A / 6
CO3B0625 / Perform national risk analysis for goods to be unloaded / X / C.A
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