מצגת המערכת האירופאית לבקרה ודיווח מטענים ביבוא ויצוא

EU Safety and Security Risk
Management Systems
European Commission /
1968-2008
Taxation and Customs Union
Industry Session, Tel Aviv

July 1st 2010
Cargo Business Process & Standards INTERNATIONAL AIR TRANSPORT ASSOCIATION 2010
Version 0.2 01 June 2010
IATA Competition Law Compliance
 Follow the prepared agenda
 Do not discuss:
 Pricing, including fares, service charges, commissions, etc.
 Bids on contracts or allocation of customers
 Geographic/Product market allocations and marketing plans, including expanding
or withdrawing from markets
 Group boycotts
 Your commercial relations with agents, airlines or other third parties
 Any discussion aimed at influencing the independent business decisions of your
competitors
You will be asked to leave the conference call, and the conference call may be
terminated, if the above-mentioned discussions occur
Version 1.2 04 Feb. 2009 2
Disclaimer
 Information provided is for guidance only and is not legally binding
 This presentation contains excerpts from certain European

Commission (EC) presentations and web pages
 In the event of any discrepancies between this information and

that of the EC, the EC information will take precedence
Version 1.2 04 Feb. 2009 3
Meeting Objectives
 Provide an overview of what EU requires as of 1 January 2011
 Ensure awareness that business arrangements must be
established between the forwarders and carriers
 Raise awareness that certain technical requirements may have to
be met
 Promote and Provoke effective Airfreight Industry compliance
Version 1.2 04 Feb. 2009 4
Meeting Agenda
1. Background
2. Economic Operator Systems
3. Export Systems
4. Import Control System (ICS)
5. Aviation Security Legislation
Version 1.2 04 Feb. 2009 5
Management Systems
Part 1, Background
1968-2008
WCO SAFE Framework
World Customs Organization
Safe Framework of Standards Adobe Acrobat
Document
 WCO has defined the principles and standards for the 21st Century
Customs
 The first objective of the WCO Safe Framework is to harmonize advance
electronic cargo information and allow for advanced risks assessment
 WCO has defined standard procedures, timelines and data requirements
 166 countries have signed the WCO letter of intent to implement the
WCO Safe Framework of Standards
 Many countries have implemented advance electronic cargo information
such as US, CA, IN and many are in progress EU, CN, MX, ZA, NG
Version 1.2 04 Feb. 2009 8
IATA Strategy and Position
IATA Strategy
CUSAG & IFCWG
IATA Customs Advisory Group (CUSAG)
 Comprises 20 airlines or airlines associations
 Monitors Advance Cargo Reporting around the world
 Ensures Customs align as much as possible to international standards
IATA FIATA Customs Working Group (IFCWG)

 Co-chaired by an airline and a freight forwarder
 Comprises 6 airlines and 6 freight forwarders associations
 Develops recommendations on customs issues that involve airlines and
forwarders
Version 1.2 04 Feb. 2009 10
IATA Position Paper Adobe Acrobat
Document
Advance Security Notification (extract)

 Electronic submission should only become mandatory when Customs has the capability
to communicate electronically without paper in parallel
 All countries requiring advance security risk assessment information should move toward
the WCO Framework of standards
 It must be clear and unambiguous as to which party is responsible for providing each
element of advance information
 Customs should not require more information than laid out in the WCO Safe Framework
of Standards
 Timings for submission of advance data should be consistent globally and in accordance
with the WCO:
 Import Short haul: At time of “Wheels Up” of aircraft;
 Import Long haul: 4 hours prior to arrival at the first port in the country of destination
 Export information: Not earlier than 30 minutes prior departure
Version 1.2 04 Feb. 2009 11
Meeting Agenda
1. Background
2. Economic Operator Registration
3. Export Systems
Version 1.2 04 Feb. 2009 13
Management Systems
Part 2 - Economic Operator Registration & ID
1968-2008
Economic Operator Registration & Id. (EORI)
Legal Basis – EC 312/2009 Adobe Acrobat
Document
EC 312/2009 legislation answers the following questions:

 What is an EORI number?
 Who needs an EORI number?
 Which country issue an EORI number?
 How to get an EORI number?
 Why Carriers and Forwarders need an EORI number?
EORI guidelines have been published by the EC Adobe Acrobat
Document
EORI website is available including EORI online training
Version 1.2 04 Feb. 2009 15
Who needs an EORI Number?
 Economic Operators (EO) Based in the EU
 EO is defined as “ a person who in the course of his business is
involved in activities covered by Customs legislation” such as
 Importing into the EU, exporting from the EU or Transiting goods
through the EU are activities covered by Customs legislation
 Economic Operators (EO) based outside of the EU who
engage in activities covered Customs legislation in the EU
Version 1.2 04 Feb. 2009 16
Which country issues an EORI Number?
 If the Economic Operators (EO) is Based in a specific EU
Member State then this state shall issue the EORI #
 If based outside of the EU the EORI # will be issued by the
State where the EO performs its 1st Customs activities e.g.
 Customs Declaration
 Exit or entry summary declaration
 Apply for AEO status
 Multinational companies often consist of parent company
with several legal entities which can obtain their EORI #
Version 1.2 04 Feb. 2009 17
How to get an EORI Number?
 EO who already deals with customs authorities in their own country
should have an identification number
 Unless you have received an EORI number contact your Customs
 If you never registered and need an EORI # then apply:
 In your country if based in the EU
 In the EU where you are required to register if based outside of the EU
 The list of authorities who assign EORI and project managers are
available on the EC website Adobe Acrobat Adobe Acrobat
Document Document
 Public interface is available via the Europa web portal with EORI #,
name and address of EO who agreed to share such information
Version 1.2 04 Feb. 2009 18
 Having an EORI does not grant Authorised Economic Operator
(AEO) Status
 AEO status is granted to entities who meet certain criteria and
grants them customs facilitations such as:-
• Reduced scrutiny on shipments
• Reduced advance data requirement for Safety and Security checks (if
all parties involved have AEO status)
 EU has initiated mutual AEO recognition programmes with various
non-EU states e.g. US, Japan
Version 1.2 04 Feb. 2009 19
Meeting Agenda
1. Background
3. Export Systems
Version 1.2 04 Feb. 2009 20
Management Systems
Part 3 – Export Systems
1968-2008
EU Export Systems
Rules applicable
• Goods leaving the customs territory of the Community

have to be covered by one of the following:
– Export declaration
– Exit summary declaration
– Re-export notification
• Regulation (EC) No 2913/92, OJ L 302, 1992, p. 1
Version 1.2 04 Feb. 2009 22
EU Export Systems
Export declaration
 Required for:
– EU goods to be brought to a destination outside EU
– EU goods brought to special fiscal territories within EU
– Ship and aircraft supplies
– Non-EU goods that are re-exported
 Lodged by exporter or his representative
 Export declarations are lodged at the office of export
 For export declarations that contain safety and security
data deadlines for lodgement apply (30 min. before
aircraft that will carry goods out of EU leaves)
 Export procedure is discharged once the goods exit EU
and confirmation of exit is sent by the office of exit
Version 1.2 04 Feb. 2009 23
EU Export Systems
Exit summary declaration
 Lodged for goods that are exiting and for which no

export declaration is required:
• Goods moved between two MS via a territory of a third country
• Goods transiting EU
 Responsible for lodgement – carrier (other person can
lodge with knowledge and consent of the carrier)
 Deadlines for lodgement apply (30 min. before aircraft
that will carry goods out of EU leaves)
Version 1.2 04 Feb. 2009 24
EU Export Systems
Re-export notification
 Lodged for goods that exit directly from a free zone or

temporary storage
 Responsible for lodgement – carrier (other person can
lodge re-export notification with knowledge and consent
of the carrier)
 Notification should be lodged at the office of exit
following national specifications
 No deadlines apply
Version 1.2 04 Feb. 2009 25
Meeting Agenda
1. Background
3. Export Control System (ECS)
Version 1.2 04 Feb. 2009 26
Management Systems
Part 4 – Import Control System (ICS)
1968-2008
Legal Basis (1) Adobe Acrobat
Document
Regulation 648/05 (Amendment to Customs Code)

 Authorised Economic Operators (AEO)
 Common risk management framework/Customs controls
 Electronic pre-arrival declarations (Entry Summary Declarations,

ENS) for goods entering the EU  ICS
Version 1.2 04 Feb. 2009 28
Legal Basis (2)
Regulation 648/05 (Amendment to Customs Code)
 Responsibility for providing the ENS (Reg. 648/05, Art. 36b 3 & 4):
“The person who brings the goods or who assumes responsibility for the
carriage of the goods into the customs territory of the Community”.
Or
“with his knowledge and consent (agreed interpretation):
• the person who acts in his name, or
• any person who is able to present the goods in question or
to have them presented to the competent customs authority, or
• a representative”
Version 1.2 04 Feb. 2009 29
Legal Basis (3) Adobe Acrobat
Document
Regulation 1875/06 (Amendment to the CC implementing

provisions)
 Implementing provisions for Reg. 648/05 (e.g. time limits)

• 31 December 2010
 Includes Annex 30A (data requirement for ENS and EXS);
 Relevant for air transportation:
• Explanatory notes
• Table 1 (default data set)
• Table 5 (AEO reduced dataset)
• New table 6 to be introduced for ‘diversion request’
Version 1.2 04 Feb. 2009 30
Business Process
Business Process: Import within the EU
Step 1 Step 2 only if needed! Step 3 Step 4
Entry summary Diversion request Arrival notification Presentation
declaration of goods
Covered by functional Covered by functional specs To be defined and To be defined and
specs ICS phase 1 ICS phase 1 implement by Member implement by Member
States States
Reg. 1875/06 Reg. 1875/06 Reg. 1875/06 Reg. 1875/06
Art 181b Art 183e Art 184g Art 186 (1)
(new process) (new process)
Short haul: take off When diversion is Upon arrival Unloading of goods
Long haul: 4 hours prior to confirmed, prior to arrival
arrival
For all the goods on board, For the aircraft For the aircraft For the goods to be
including FROB for third (for parts of the cargo if MRN (for parts of the cargo if unloaded
countries /MRN item number of the MRN /MRN item number of (for parts of the cargo if
(one or multiple ENS) ENS is provided) the ENS is provided) MRN /MRN item number of
the ENS is provided)
Version 1.2 04 Feb. 2009 32
Step 1a: Send ENS to Customs
 Standardised electronic ICS message defined by EC (same data in all the
MS) but format defined at national level
 Sent to:
• Office of first Entry and possibly to the Office of Lodgement in another MS
(if accepted there)
 Prior to arrival (legal time limits!)

• 4hrs prior to arrival for long haul
• Prior/at departure (“wheels up”) for short haul
 Must contain Annex 30A data, including entry key data:

• Mode of transport at border
• Identity of means of transport: IATA or ICAO flight number
• Expected date (and time) of arrival
• Office of first Entry
Version 1.2 04 Feb. 2009 33
Step 1b: Customs registers ENS
 Customs generates Movement Reference Number (MRN) upon registration of
the ENS
 Confirmation of ENS registration communicated electronically by Customs to:

1. Person lodging ENS and
2. Carrier declared in ENS (if connected to ICS & if EORI number declared)
 This confirmation contains information such as:

• Person lodging the ENS (e.g. forwarder);
• Carrier’s transport document;
• MRN; and
• other elements
 Enable carrier to make sure that an ENS has been lodged

Version 1.2 04 Feb. 2009 34
States States
Reg. 1875/06 Reg. 1875/06 Reg. 1875/06 Reg. 1875/06
arrival
Version 1.2 04 Feb. 2009 36
States States
Reg. 1875/06 Reg. 1875/06 Reg. 1875/06 Reg. 1875/06
arrival
Version 1.2 04 Feb. 2009 40
Structure of Information
Structure of Information (1)
Customs Messages
The EC as well as each Member State are providing specifications:
 High level list of data elements for Entry Summary declarations

are defined in Annex 30A of EC regulation 1875/06
 Detailed list of Data elements of the Entry Summary Declaration
as well as Customs responses are provided by the EC
 Format (e.g. EDIFACT, XML) and detailed list of data elements for
all messages are provided by each Member State
Microsoft Excel
Worksheet
 List of ICS specifications per counties are now available
Acrobat Documen
Version 1.2 04 Feb. 2009 47
Structure of Information (2)
Industry Messages
IATA has emended its standard CIMP & CXML messages:
 House Waybill, Air Waybill, House Manifest and Flight Manifest messages have
been updated to support the EC requirements
 Key changes related to the EU requirements are:
 Additional Customs Information Identifiers;
 A more flexible Other Customs Information (OCI) line;
 Inclusion of the OCI line in the Consolidation List (FHL) message
 As examples, these changes will facilitate the exchange of:
 The Movement Reference Number (MRN)
 The Economic Operators Registration Identification (EORI) number
 The scheduled arrival date & time at first point of entry
 IATA CIMP available at: http://www.iata.org/ps/publications/Pages/cimp.aspx
Version 1.2 04 Feb. 2009 48
Guidelines
Industry Roles & Responsibilities (1)
Carrier reports ENS Microsoft Word
Document
Carrier (or its representative e.g. GHA) reports the Entry Summary
Declaration (ENS)
 Forwarder will send FWB & FHL containing the required
information to the Carrier
 Using this information the Carrier will compose and submit the
ENS to Customs e.g. BE Customs
 Customs performs risk assessment and provides the MRN back as
well as the notification of controls if applicable
Version 1.2 04 Feb. 2009 50
Industry Roles & Responsibilities (2)
Forwarder reports ENS
F
- orwarder reports the Entry Summary Declaration (ENS) information with Carrier
knowledge and consent
 Forwarder will obtain the Entry Key information (AWB, Flight etc.) and
Carrier EORI # from the Carrier
 Using this information Forwarder will compose and submit the ENS to
Customs e.g. BE Customs
 Customs performs risk assessment and provides the MRN back to the
Forwarder & Carrier and the notification of controls if applicable
 If Carrier EORI # provided & as an EDI connection with Customs
 Forwarder will send FWB & FHL including the MRNs to the Carrier
 Upon arrival the Carrier will provide Customs the Entry Key in the Arrival
Notification rather than the individual MRNs
Version 1.2 04 Feb. 2009 51
Guidelines & Scenario: Import within EU
 IATA has actively participated in a working group organised by the
World Shipping Council to develop guidelines, overseeing the air
mode sections.
Adobe Acrobat
Document
 Scenarios (examples) have also been published by the EC and

the scenario related to Air Mode are available on page
Adobe Acrobat
Document
Version 1.2 04 Feb. 2009 52
National Implementation
Timelines
ICS Timelines (1/2)
Version 1.2 04 Feb. 2009 54
ICS Timelines (2/2)
Version 1.2 04 Feb. 2009 55
National Contacts
ICS National Project Managers
 National project managers can be contacted to have more
information on ICS at national levels
 List of ICS project managers per country is now available
Microsoft Excel
Worksheet
Version 1.2 04 Feb. 2009 57
Other Considerations
Link between HWB/AWB & ENS
At what level an ENS should be created?
 ENS can be created at House Waybill or at Air Waybill level
depending on:
 Arrangements made between the Carriers and the Shipper/Forwarder
 Goods description needs to allow Customs to perform risk analysis
 Merging goods descriptions of different commodities in one single
ENS line item description is possible (356 characters limitation)
 Examples:
1. One ENS per MAWB with line item data equal to a HAWB. Each line
item will have an acceptable goods description or an aggregation of
goods descriptions
2. Same as number 1 but no aggregation of descriptions
3. One ENS per HAWB with ENS line item equal to one good description
Version 1.2 04 Feb. 2009 61
Consignee
Can it be the Forwarder?
 According to Annex 30A the Consignee is the ‘Party to whom
goods are actually consigned’
 The objective is to get the importer address, if possible
 Forwarder info acceptable if actual Consignee is not available to

the Person lodging the ENS
 Not providing the actual Consignee may aim to a higher level of

risk
Version 1.2 04 Feb. 2009 62
Goods Description Microsoft Word
Non acceptable goods descriptions

Document
 Document TAXUD 1402/2007 rev. 2 published on CIRCA (SAD

section)
 Document provides guidelines
 Non acceptable goods descriptions may trigger results in the risk

analysis
 Merging goods of different commodities (e.g. shoes and engines)

in one single goods item of an ENS should be avoided
Version 1.2 04 Feb. 2009 66
FROB
Do I need an ENS?
 Freight remaining on board for a third country will need an Entry
Summary declaration
 The Arrival Notification will also cover FROB
Version 1.2 04 Feb. 2009 67
Primary Trade Issues
 Where the FF is expecting the Carrier to submit the ENS data required as
part of the legal obligation, the Carrier will need quality data from the FF
at origin to be able to:-
 Ensure the data submission is made within the laid down time limits
 Provide data at a level which will ensure the shipments are not subjected to
undue scrutiny, e.g. HAWB Level Data not MAWB Level Data
 Receiving such data in paper format from the FF at origin will not allow
the Carrier to consolidate the flight data, prepare it and send it forward to
the EU Customs Office of first entry within the time limits
 Where a FF, with the Carriers knowledge and consent undertakes to
submit the data to the EU Customs Office of First Entry themselves, they
will need to:-
• Be aware where the aircraft is first entering the EU (First Airport of Arrival)
• Be aware of the Carriers EORI to quote in the ENS
• Be able to receive back the MRN issued by the EU Customs Authority
Version 1.2 04 Feb. 2009 68
Meeting Agenda
1. Background
3. Export Control System (ECS)
Version 1.2 04 Feb. 2009 69
EU Aviation Security Legislation
 Legal Basis
• Regulation (EC) No 300/2008 of the European Parliament
and of the Council Adobe Acrobat
Document
• EU Commission Regulation (EC) No 185/2010

•
Adobe Acrobat
Document
• EU Commission Regulation (EC) No 272/2009
Adobe Acrobat
Document
Version 1.2 04 Feb. 2009 70
 Key Factors (1)
• Requires Member States to Implement enhanced Aviation
Security Programmes
• Lays down requirements for Cargo Screening
• Lays down requirements for Known Consignor/Shipper and

Regulated Agent accreditation
• Lays down requirements for Cargo Security Certification

including data elements
Version 1.2 04 Feb. 2009 71
 Key Factors (2)
• Leaves many decisions on how to implement the Aviation
Security to the MS Administrations e.g
 Known Consignor / Regulated Agent accreditation methodology
 Cargo Security Certification

– May be in a separate CSC document or in the Transport Document
– May be in paper or electronic format
 CSC Archiving and Audit rules
Version 1.2 04 Feb. 2009 72
 Current Situation
 Many Member States are not yet able to properly inform
trade on their requirements
 Those Member States that have implemented the

Regulation have done so differently, e.g.
• France require a CSC in a separate paper declaration
• Luxembourg accept CSC in the e-AWB
 Known Consignor / Regulated Agent Accreditation is

more difficult to obtain in some MS’s than others
Version 1.2 04 Feb. 2009 73
 Speaking at Air Cargo Handling Conference 2010, held
in Brussels, Belgium, Dr Andrew Traill, Policy Director for
the European Shippers Council said:-
“ Many shippers would not become Known Consignors

because the EU regulations and requirements were
confusing, left shippers unsure of any tangible benefits and
unsure of the costs involved.”
Version 1.2 04 Feb. 2009 74
 IATA Proposal
 Formulate a Working Group to identify a common

recommended method of implementation to include
• Member State Administrations (Aviation or Transport Ministries)
• Airlines
• Shippers
• GHA’s
 Address the requirement for standard Known Consignor and

Regulated Agent accreditation to be harmonised / standardised
 Address the requirement for CSC to be harmonised /

standardised
Version 1.2 04 Feb. 2009 75

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EU Safety and Security Risk

Industry Session, Tel Aviv

 This presentation contains excerpts from certain European

 In the event of any discrepancies between this information and

2. Economic Operator Systems

4. Import Control System (ICS)

5. Aviation Security Legislation

IATA FIATA Customs Working Group (IFCWG)

Advance Security Notification (extract)

2. Economic Operator Registration

4. Import Control System (ICS)

5. Aviation Security Legislation

EC 312/2009 legislation answers the following questions:

EORI website is available including EORI online training

2. Economic Operator Systems

4. Import Control System (ICS)

5. Aviation Security Legislation

• Goods leaving the customs territory of the Community

Exit summary declaration

 Lodged for goods that are exiting and for which no

 Lodged for goods that exit directly from a free zone or

2. Economic Operator Systems

3. Export Control System (ECS)

4. Import Control System (ICS)

5. Aviation Security Legislation

Regulation 648/05 (Amendment to Customs Code)

 Common risk management framework/Customs controls

 Electronic pre-arrival declarations (Entry Summary Declarations,

Regulation 1875/06 (Amendment to the CC implementing

 Implementing provisions for Reg. 648/05 (e.g. time limits)

 Prior to arrival (legal time limits!)

 Must contain Annex 30A data, including entry key data:

 Confirmation of ENS registration communicated electronically by Customs to:

 This confirmation contains information such as:

 Enable carrier to make sure that an ENS has been lodged

 High level list of data elements for Entry Summary declarations

 Scenarios (examples) have also been published by the EC and

 List of ICS project managers per country is now available

 The objective is to get the importer address, if possible

 Forwarder info acceptable if actual Consignee is not available to

 Not providing the actual Consignee may aim to a higher level of

Non acceptable goods descriptions

 Document TAXUD 1402/2007 rev. 2 published on CIRCA (SAD

 Document provides guidelines

 Non acceptable goods descriptions may trigger results in the risk

 Merging goods of different commodities (e.g. shoes and engines)

 The Arrival Notification will also cover FROB

2. Economic Operator Systems

3. Export Control System (ECS)

4. Import Control System (ICS)

5. Aviation Security Legislation

• EU Commission Regulation (EC) No 185/2010

• EU Commission Regulation (EC) No 272/2009

• Lays down requirements for Cargo Screening

• Lays down requirements for Known Consignor/Shipper and

• Lays down requirements for Cargo Security Certification

 Known Consignor / Regulated Agent accreditation methodology

 Cargo Security Certification

 CSC Archiving and Audit rules

 Those Member States that have implemented the

 Known Consignor / Regulated Agent Accreditation is

“ Many shippers would not become Known Consignors

 Formulate a Working Group to identify a common

 Address the requirement for standard Known Consignor and