THE BUSINESS SCOPE of ICS Phase 1

Document History

(*) Action: I = Insert R = Replace

Table of Contents

1Introduction

1.1Purpose of document

1.2ICS Phase 1

1.3Field of application

2Overview of ICS Phase 1

3The scope Matrix of ICS Phase 1

3.1EBPs for ICS Phase 1

4The scope of Information Exchanges in ICS Phase 1

4.1IEs for ICS Phase 1

5Exclusions and restrictions

5.1Restriction on interface with AEO and EORI

5.2Restriction on Risk Analysis

5.3Restriction on forwarding ENS data with risk analysis results

5.4Restriction on process Presentation

5.5Restriction on ENS request and response

6Applicable Documents

7Terminology

7.1Abbreviations and Acronyms

ICSPh1Scope1_1.docPage 1 sur 15

1Introduction

1.1Purpose 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 FTSS.

The FTSS 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:

• Excluded EBPs/IEs: ICS Phase 1 excludes their implementation (nevertheless MSs can implement them in accordance with the [A2] as long as they do not have international impact);
• Recommended EBPs/IEs (covering Optional, Recommended and Strongly Recommended): ICS Phase 1 recommends their implementation according to the [A2]. The MSs remain free to implement the recommended specifications or not, and in the former case, according to their specific constraints and needs;
• Mandatory EBPs/IEs: ICS Phase 1 imposes their implementation in National Import Control Applications (NICAs).

1.2ICS 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:
• Office of Lodgement
• Office of First Entry (including international diversion).
• 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.

The next extension of Annex 30A of the Regulation 1875/2006 is required:

• the mode of transport in all tables
• the conveyance reference number and the arrival date in table 2.2 (express consignments)
• the transport document of the carrier (master bill of lading (maritime)/airway bill of the operating carrier (air)declared in the ENS, if the ENS is sent by a Person other than the carrier

The change of legislation is envisaged in this respect.

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 MemberState's own systems.

1.3Field 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.

2Overview of ICS Phase 1

Except optional Office of lodgement, the basic simplified functional concept of ICS Phase 1 is described in theFigure 1. It consists of processes that are triggered by actions, mainly messages send by declarants or customs offices, defined in details in [A2]. Only data of Information type 1(risks type A,B,C, Z or/and 0) described in [A2]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, 10and 8 (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 ofENSswill be identified either as a list of MRNs(e.g. in road transport) or as anEntry key(Unique Identification of the diverted means of transport) that is based on the combination of the Mode of transport, theDate of 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 IE302to 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 12, 16, 17 and 21 (in full described in [A2] by CO3 – process of presentation) is out of the common Scope of ICS Phase 1 and left to implementation on the national level.

ICSPh1Scope1_1.docPage 1 of 15

Figure1: Basic functional concept of ICS Phase 1

ICSPh1Scope1_1.docPage 1 of 15

3The 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 1illustrates all the EBPs which are part of ICS Phase 1.

Table 2: Scope of EBPs matrix definitions

3.1EBPs for ICS Phase 1

Table 3: EBPs for ICS Phase 1

4The scope of Information Exchanges in ICS Phase 1

Besides the EBPs, the scope of ICS Phase 1can 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:

• 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

• 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 4: Scope of Information Exchanges Matrix Definition

ICSPh1Scope1_1.docPage 1 of 15

4.1IEs for ICS Phase 1

Table 5: IEs for ICS Phase 1

ICSPh1Scope1_1.docPage 1 of 15

5Exclusions 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.

5.1Restriction on interface with AEO and EORI

Affected processes:CO1A0501(SUM), CO1B0501(SUM), CO1B0600(SUM), CO1B0650(SUM)

Since the specifications of AEO and EORI are not yet available, the definition of the ICS interface with these systems is out of scope for the moment.

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.

5.2Restriction on Risk Analysis

Affected processes: CO1A0510(SUM), CO1B0520(SUM), CO1B0525(SUM), 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 provisionswhich 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 Reguleation1875/2006, 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 MemberState to connect their national risk analysis system to ICS based on nationally defined specifications. The MemberState shall however perform the common safety and security risk analysis in accordance with the regulation and with the rules of the Risk Management Framework.

5.3Restriction on forwarding ENS data with risk analysis results

Affected processes: CO1B0580(SUM), 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 and security risk was identified. If no risk is identified, the ENS data is not by default forwarded to other Member States. However, in case of international diversion and based on request from another office, ICS provides for the sending of responses including "no risk" information.

5.4Restriction 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 (same as today).

Only the declaration request (IE302) and declaration response (IE303) are in the scope of ICS Phase 1.

5.5Restriction on ENS request and response

Affected processes: CO1D0010, CO3A0102, CO3A0300, CO03A0400, CO3B0102, CO3B0300, CO03B0400,

The IE302 and IE303 are restricted to Information type = 1.

6Applicable Documents

Table 6: Applicable Documents

7Terminology

7.1Abbreviations and Acronyms

Table 7: Abbreviations and Acronyms

ICSPh1Scope1_1.docPage 1 of 15

[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.

[5] See also Point 5.4

[6] See also Point 5.5

[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 315/325