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DG TAXUD – EXCISE COMPUTERISATION PROJECT REF: ECP1-ESS-FESS-S.IV
FESS - SECTION IV - FOLLOW-UP AND COLLABORATION VERSION: 3.91-EN
ECP1-ESS-FESSv3.91-4-SECTION IV FOLLOW-UP AND COLLABORATION Page 1 of 132
SECTION IV: FOLLOW-UP AND COLLABORATION
DG TAXUD – EXCISE COMPUTERISATION PROJECT REF: ECP1-ESS-FESS-S.IV
FESS - SECTION IV - FOLLOW-UP AND COLLABORATION VERSION: 3.91-EN
DOCUMENT HISTORY
ECP1-ESS-FESSv3.91-4-SECTION IV FOLLOW-UP AND COLLABORATION Page 2 of 132
Document History
Edi. Rev. Date Description Action (*) Sections
0 01 26/08/2004 Creation I All
0 02 13/08/2004 Updated after internal review U All
0 03 20/09/2004 Updated after feedback DG TAXUD U All
0 04 01/10/2004 Updated after SEVE quality review, SfR U All
0 05 10/11/2004 SfR visibility check point U All
0 06 21/01/2005 Updated after SEVE quality review, SfR U All
1 0 21/03/2005 Updated for SfA U All
1 01 18/04/2005 SfA v 1.b U All
1 02 29/04/2005 SfA verification U All
1 03 14/03/2006 Updated for internal review U All
1 04 27/03/2006 SfR U All
2 00 04/05/2006 SfA U All
2 01 25/08/2006 Corrective Maintenance following DG TAXUD
request with MS comments received on 4/07/2006
U All
2 02 30/03/2007 Internal review U All
2 02a 19/04/2007 Updated for internal review U All
2 03 27/04/2007 SfR U All
2 10 01/06/2007 SfA U All
2 11 17/09/2007 Incorporating FESS v2.10 Workshop Decisions
(ECWP 31).
Submitted for review to DG TAXUD.
U All
2 12 28/09/2007 Incorporating DG TAXUD comments.
Submitted for acceptance to DG TAXUD.
U All
2 13 03/10/2007 Implementing verification comments.
Re-submitted for acceptance to DG TAXUD.
U All
2 14 22/10/2007 Submitted for review to DG TAXUD. U All
2 15 05/11/2007 Submitted for acceptance to DG TAXUD. U All
3 00 08/11/2007 Submitted for publication to DG TAXUD. U All
3 01 26/03/2008 Implementing ECWP#35 WDs and FESS Known
Issues version 1.10. Submitted for review to DG
TAXUD.
U All
3 02 16/04/2008 Submitted for acceptance to DG TAXUD. U All
3 03 18/04/2008 Re-submitted for acceptance to DG TAXUD. U All
DG TAXUD – EXCISE COMPUTERISATION PROJECT REF: ECP1-ESS-FESS-S.IV
FESS - SECTION IV - FOLLOW-UP AND COLLABORATION VERSION: 3.91-EN
DOCUMENT HISTORY
ECP1-ESS-FESSv3.91-4-SECTION IV FOLLOW-UP AND COLLABORATION Page 3 of 132
3 10 05/10/2009 Evolutive Maintenance incorporating RFCs FESS-
001, FESS-002-REV1, FESS-004, FESS-005,
FESS-007, FESS-010, FESS-011-REV1, FESS-
013, FESS-015, FESS-016, FESS-017, FESS-018,
FESS-020, FESS-022, FESS-023, FESS-024,
FESS-026-REV1, FESS-027, FESS-028, FESS-
029, FESS-030, FESS-031, FESS-032-REV1,
FESS-033, FESS-034, FESS-035-REV1, FESS-
037-REV1, FESS-040 and FESS-041.
Submitted for review to DG TAXUD.
U All
3 11 02/11/2009 Implementing DG TAXUD comments and RFC
FESS-014.
Submitted for acceptance to DG TAXUD.
U All
3 12 04/11/2009 Submitted for information to DG TAXUD. U All
3 20 11/03/2010 Evolutive Maintenance incorporating RFCs FESS-
006, FESS-008, FESS-009, FESS-012, FESS-019,
FESS-021, FESS-025, FESS-036, FESS-038,
FESS-039, FESS-042, FESS-044, FESS-045,
FESS-046, FESS-047, FESS-048, FESS-049,
FESS-052, FESS-053 and FESS-054.
Submitted for review to DG TAXUD.
U All
3 21 29/03/2010 Implementing DG TAXUD comments.
Submitted for acceptance to DG TAXUD.
U All
3 22 12/07/2010 Evolutive Maintenance incorporating RFCs FESS-
003-REV2, FESS-050, FESS-051, FESS-055,
FESS-056, FESS-060, FESS-061, FESS-062,
FESS-063, FESS-064, FESS-065, FESS-066,
FESS-067 and FESS-068.
Submitted for review to DG TAXUD.
U All
3 23 26/07/2010 Implementing DG TAXUD comments.
Submitted for acceptance to DG TAXUD.
U All
3 30 29/07/2010 Submitted for information to DG TAXUD. U All
3 31 29/09/2010 Evolutive Maintenance incorporating RFC FESS-
070.
Submitted for review to DG TAXUD.
U All
3 32 04/10/2010 Submitted for acceptance to DG TAXUD. - -
3 33 20/12/2010 Evolutive Maintenance incorporating RFCs FESS-
072, FESS-073, FESS-075, FESS-076, FESS-077,
FESS-078, FESS-079, FESS-080, FESS-081,
FESS-083, and FESS-084.
Submitted for review to DG TAXUD.
U All
3 34 11/01/2011 Implementing DG TAXUD comments.
Submitted for acceptance to DG TAXUD.
U All
3 40 17/01/2011 Submitted for information to DG TAXUD. U All
3 41 04/02/2011 Removal of implementation of RFC FESS-080.
Re-submitted for information to DG TAXUD.
U All
3 42 05/01/2012 Evolutive Maintenance incorporating RFCs FESS-
085, FESS-086, FESS-089 and FESS-095.
Submitted for review to DG TAXUD.
U All
DG TAXUD – EXCISE COMPUTERISATION PROJECT REF: ECP1-ESS-FESS-S.IV
FESS - SECTION IV - FOLLOW-UP AND COLLABORATION VERSION: 3.91-EN
DOCUMENT HISTORY
ECP1-ESS-FESSv3.91-4-SECTION IV FOLLOW-UP AND COLLABORATION Page 4 of 132
3 43 20/01/2012 Submitted for acceptance to DG TAXUD. U All
3 50 30/01/2012 Submitted for information to DG TAXUD. U All
3 51 15/06/2012 Evolutive Maintenance incorporating RFCs FESS-
057, FESS-071, FESS-074, FESS-087, FESS-088,
FESS-090, FESS-091, FESS-092, FESS-093,
FESS-094, FESS-096, FESS-097, FESS-099,
FESS-100, FESS-101, FESS-102, FESS-103,
FESS-104, FESS-105, FESS-106, FESS-107,
FESS-108, FESS-110, FESS-111, FESS-112,
FESS-113, FESS-114, FESS-116, FESS-117,
FESS-118, FESS-122, FESS-123, FESS-124,
FESS-125, FESS-126 and FESS-127.
Submitted for review to DG TAXUD.
U All
3 52 09/07/2012 Submitted for acceptance to DG TAXUD. U All
3 60 11/07/2012 Submitted for information to DG TAXUD. U All
3 61 24/09/2012 Incorporating internal review comments and MS
verification comments:
• Update of Rule025 (Appendix D) to add the
items ‘37 = Movement verification request
reasons’ and ‘38 = Movement verification
actions’;
• Implementation of FESS CPs #4 and #8.
Submitted for information to DG TAXUD.
U All
3 62 29/10/2013 Evolutive Maintenance incorporating RFCs FESS-
128, FESS-129, FESS-133, FESS-134, FESS-135,
FESS-136, FESS-138 and FESS-139.
Submitted for review to DG TAXUD.
U All
3 63 13/11/2013 Implementing DG TAXUD comments.
Submitted for acceptance to DG TAXUD.
U All
3 64 19/08/2014 Evolutive Maintenance incorporating RFCs FESS-
059, FESS-121, FESS-131, FESS-132, FESS-140,
FESS-141, FESS-142, FESS-143, FESS-144,
FESS-145, FESS-146, FESS-147, FESS-148,
FESS-149, FESS-150, FESS-151, FESS-152,
FESS-153 and FESS-154.
Submitted for review to DG TAXUD.
U All
3 65 16/09/2014 Submitted for acceptance to DG TAXUD. U All
3 66 31/05/2016 Evolutive Maintenance incorporating RFCs FESS-
161, FESS-162, FESS-163, FESS-164, FESS-165,
FESS-170, FESS-171, FESS-172, FESS-173,
FESS-174, FESS-175, FESS-178 and FESS-180.
Submitted for review to DG TAXUD.
U All
3 67 16/06/2016 Submitted for acceptance to DG TAXUD. U All
3 68 09/08/2016 Evolutive Maintenance incorporating RFCs FESS-
199, FESS-203 and FESS-204.
Submitted for review to DG TAXUD.
U All
3 69 16/08/2016 Submitted for acceptance to DG TAXUD. U All
DG TAXUD – EXCISE COMPUTERISATION PROJECT REF: ECP1-ESS-FESS-S.IV
FESS - SECTION IV - FOLLOW-UP AND COLLABORATION VERSION: 3.91-EN
DOCUMENT HISTORY
ECP1-ESS-FESSv3.91-4-SECTION IV FOLLOW-UP AND COLLABORATION Page 5 of 132
3 70 07/09/2016 Evolutive Maintenance incorporating RFCs FESS-
156, FESS-157, FESS-158, FESS-159, FESS-160,
FESS-166, FESS-167, FESS-169, FESS-176,
FESS-179, FESS-181, FESS-182, FESS-183,
FESS-184, FESS-185, FESS-186, FESS-187,
FESS-188, FESS-189, FESS-190, FESS-191,
FESS-192, FESS-193, FESS-194, FESS-195,
FESS-196, FESS-197, FESS-198.
Submitted for review to DG TAXUD.
U All
3 80 26/09/2016 Submitted for acceptance to DG TAXUD. U All
3 81 19/12/2016 Submitted for Information under corrective
maintenance to DG TAXUD.
U All
3 82 24/03/2017 Corrective Maintenance incorporating RFCs FESS-
202, FESS-205, FESS-206, FESS-207, FESS-208,
FESS-209.
Submitted for Information to DG TAXUD.
U All
3 89 08/10/2018 Evolutive Maintenance incorporating RFCs FESS-
201, FESS-210, FESS-211, FESS-212, FESS-213,
FESS-214, FESS-215, FESS-216, FESS-217,
FESS-218, FESS-219, FESS-220, FESS-221,
FESS-222, FESS-223, FESS-224, FESS-225,
FESS-226, FESS-227, FESS-228, FESS-229,
FESS-230, FESS-231, FESS-232, FESS-233,
FESS-234, FESS-235, FESS-236, FESS-237,
FESS-238, FESS-239, FESS-240, FESS-241,
FESS-242, FESS-243.
Submitted for review to DG TAXUD.
U All
3 90 29/10/2018 Submitted for acceptance to DG TAXUD. U All
3 91 13/12/2018 Incorporating MS verification comments.
Submitted for acceptance to DG TAXUD.
U All
(*) Action: I = Insert, R = Replace, U = Update, D = delete
DG TAXUD – EXCISE COMPUTERISATION PROJECT REF: ECP1-ESS-FESS-S.IV
FESS - SECTION IV - FOLLOW-UP AND COLLABORATION VERSION: 3.91-EN
TABLE OF CONTENTS
ECP1-ESS-FESSv3.91-4-SECTION IV FOLLOW-UP AND COLLABORATION Page 6 of 132
Table of contents
1 ......... Introduction ......................................................................................................... 8
2 ......... General Process Threads .................................................................................... 9
2.1 Administrative cooperation .............................................................................................. 9 2.2 Events and controls during movements, interruption of a movement ........................ 10
3 ......... Follow-up use cases ........................................................................................... 12
3.1 Submission of an event report (UC3.24) ........................................................................ 13 3.2 Control and submission of the control report (UC3.03) ............................................... 22 3.3 Interruption of a movement (UC3.05) ........................................................................... 30 3.4 Manual closure of a movement (UC3.06) ...................................................................... 36
4 ......... Risk assessment ................................................................................................. 45
4.1 Risk Assessment (UC2.14) .............................................................................................. 46
5 ......... Administrative cooperation .............................................................................. 50
5.1 Administrative cooperation - spontaneous information (UC3.01) .............................. 51 5.2 Administrative cooperation - request for assistance (UC3.07) .................................... 55 5.3 Administrative cooperation - deadline for results (UC3.09) ........................................ 65
6 ......... Access to the history of movements ................................................................. 68
6.1 Request for history information (UC3.29) ..................................................................... 69 6.2 History - deadline for results (UC3.14) .......................................................................... 77
7 ......... Movement Verification for Duty Paid Movements ........................................ 80
7.1 Movement Verification – Request (UC3.15).................................................................. 81 7.2 Movement Verification – Reminder (UC3.16) .............................................................. 90 7.3 Movement Verification for Duty Paid Movements - spontaneous information
(UC3.17) ........................................................................................................................... 93
8 ......... Status synchronisation mechanism ................................................................. 97
8.1 Status synchronisation mechanism (UC3.30) ................................................................ 97
9 ......... Download of an e-AD ...................................................................................... 104
9.1 Download of an e-AD (UC3.31) .................................................................................... 104
10 ....... General query to retrieve an e-AD ................................................................ 111
10.1 General query to retrieve an e-AD (UC3.32) .............................................................. 111
11 ....... State-transition diagrams ............................................................................... 117
11.1 Request for assistance and request for history ........................................................... 117 11.2 e-AD : interruption of a movement .............................................................................. 121 11.3 Movement Verification Request ................................................................................... 125 11.4 e-AD: Manual closure of a movement ......................................................................... 127
12 ....... Index of EBPs .................................................................................................. 130
DG TAXUD – EXCISE COMPUTERISATION PROJECT REF: ECP1-ESS-FESS-S.IV
FESS - SECTION IV - FOLLOW-UP AND COLLABORATION VERSION: 3.91-EN
TABLE OF FIGURES
ECP1-ESS-FESSv3.91-4-SECTION IV FOLLOW-UP AND COLLABORATION Page 7 of 132
Table of figures
FIGURE 1 ADMINISTRATIVE COOPERATION - SPONTANEOUS INFORMATION ......................................... 9 FIGURE 2 ADMINISTRATIVE COOPERATION - REQUEST FOR ASSISTANCE ............................................ 10 FIGURE 3 EVENT, CONTROL AND/OR INTERRUPTION OF A MOVEMENT ............................................... 11 FIGURE 4 PARTICIPANTS OF <UC3.24> SUBMISSION OF AN EVENT REPORT ....................................... 14 FIGURE 5 SUBMISSION OF AN EVENT REPORT – PROCESS FLOW DIAGRAM (PART 1) ........................... 15 FIGURE 6 SUBMISSION OF AN EVENT REPORT – PROCESS FLOW DIAGRAM (PART 2) ........................... 16 FIGURE 7 SUBMISSION OF AN EVENT REPORT – PROCESS FLOW DIAGRAM (PART 3) ........................... 16 FIGURE 8 PARTICIPANTS OF <UC3.03> CONTROL AND SUBMISSION OF THE CONTROL REPORT ......... 23 FIGURE 9 CONTROL AND SUBMISSION OF THE CONTROL REPORT – PROCESS FLOW DIAGRAM ............ 24 FIGURE 10 PARTICIPANTS OF <UC3.05> INTERRUPTION OF A MOVEMENT .......................................... 31 FIGURE 11 INTERRUPTION OF A MOVEMENT – PROCESS FLOW DIAGRAM ............................................. 32 FIGURE 12 PARTICIPANTS OF <UC3.06> MANUAL CLOSURE OF A MOVEMENT .................................... 37 FIGURE 13 MANUAL CLOSURE OF A MOVEMENT – PROCESS FLOW DIAGRAM ...................................... 38 FIGURE 14 EXCISE OFFICER OF MS OF DISPATCH INITIATES MANUAL CLOSURE (FLOW 1) ................. 39 FIGURE 15 EXCISE OFFICER OF MS OF DESTINATION REQUESTS MANUAL CLOSURE (FLOW 2) .......... 39 FIGURE 16 PARTICIPANTS OF <UC2.14> RISK ASSESSMENT ............................................................... 46 FIGURE 17 RISK ASSESSMENT – PROCESS FLOW DIAGRAM .................................................................. 47 FIGURE 18 PARTICIPANTS OF <UC3.01> ADMINISTRATIVE COOPERATION - SPONTANEOUS
INFORMATION ..................................................................................................................... 51 FIGURE 19 ADMINISTRATIVE COOPERATION - SPONTANEOUS INFORMATION – PROCESS FLOW
DIAGRAM ............................................................................................................................ 52 FIGURE 20 PARTICIPANTS OF <UC3.07> ADMINISTRATIVE COOPERATION - REQUEST FOR
ASSISTANCE ........................................................................................................................ 56 FIGURE 21 ADMINISTRATIVE COOPERATION - REQUEST FOR ASSISTANCE – PROCESS FLOW
DIAGRAM ............................................................................................................................ 58 FIGURE 22 PARTICIPANTS OF <UC3.09> ADMINISTRATIVE COOPERATION - DEADLINE FOR RESULTS . 65 FIGURE 23 ADMINISTRATIVE COOPERATION - DEADLINE FOR RESULTS – PROCESS FLOW DIAGRAM .... 66 FIGURE 24 PARTICIPANTS OF <UC3.29>REQUEST FOR HISTORY INFORMATION .................................. 70 FIGURE 25 REQUEST FOR HISTORY INFORMATION – PROCESS FLOW DIAGRAM .................................... 71 FIGURE 26 PARTICIPANTS OF <UC3.14> HISTORY - DEADLINE FOR RESULTS ...................................... 77 FIGURE 27 HISTORY - DEADLINE FOR RESULTS – PROCESS FLOW DIAGRAM ......................................... 78 FIGURE 28 PARTICIPANTS OF <UC3.15> MOVEMENT VERIFICATION – REQUEST ................................ 82 FIGURE 29 MOVEMENT VERIFICATION - REQUEST – PROCESS FLOW DIAGRAM .................................... 84 FIGURE 30 PARTICIPANTS OF <UC3.16> MOVEMENT VERIFICATION -REMINDER .............................. 90 FIGURE 31 MOVEMENT VERIFICATION - REMINDER – PROCESS FLOW DIAGRAM ................................ 91 FIGURE 32 PARTICIPANTS OF <UC3.17> MOVEMENT VERIFICATION FOR DUTY PAID MOVEMENTS -
SPONTANEOUS INFORMATION ............................................................................................. 93 FIGURE 33 MOVEMENT VERIFICATION FOR DUTY PAID MOVEMENTS - SPONTANEOUS INFORMATION –
PROCESS FLOW DIAGRAM ................................................................................................... 94 FIGURE 34 PARTICIPANTS OF <UC3.30> MANUAL STATUS REQUEST/RESPONSE ....................................... 98 FIGURE 35 STATUS/ STATUS SYNCHRONISATION MECHANISM – PROCESS FLOW DIAGRAM .......................... 99 FIGURE 36 PARTICIPANTS OF <UC3.31> DOWNLOAD OF AN E-AD ........................................................... 105 FIGURE 37 DOWNLOAD OF AN E-AD – PROCESS FLOW DIAGRAM ...................................................... 106 FIGURE 38 PARTICIPANTS OF <UC3.32> GENERAL QUERY TO RETRIEVE AN E-AD ........................... 112 FIGURE 39 GENERAL QUERY TO RETRIEVE AN E-AD – PROCESS FLOW DIAGRAM .............................. 113 FIGURE STD 1 REQUESTS – REQUESTING MSA ....................................................................................... 118 FIGURE STD 2 REQUESTS – REQUESTED MSA ........................................................................................ 120 FIGURE STD 3 INTERRUPTION OF MOVEMENT – MSA OF DISPATCH AND OF INTERRUPTION .................... 122 FIGURE STD 4 INTERRUPTION OF MOVEMENT – MSA OF DISPATCH (NOT OF INTERRUPTION) .................. 123 FIGURE STD 5 INTERRUPTION OF MOVEMENT – MSA OF INTERRUPTION ................................................. 124 FIGURE STD 6 INTERRUPTION OF MOVEMENT – OTHER MSAS................................................................. 125 FIGURE STD 7 MOVEMENT VERIFICATION REQUESTS – REQUESTING MSA............................................ 126 FIGURE STD 8 MOVEMENT VERIFICATION REQUESTS – REQUESTED MSA ............................................. 127 FIGURE STD 9 MANUAL CLOSURE OF MOVEMENT – MSA OF DISPATCH ................................................. 128 FIGURE STD 10 MANUAL CLOSURE OF MOVEMENT – MSA OF DESTINATION ....................................... 129
DG TAXUD – EXCISE COMPUTERISATION PROJECT REF: ECP1-ESS-FESS-S.IV
FESS - SECTION IV - FOLLOW-UP AND COLLABORATION VERSION: 3.91-EN
INTRODUCTION
ECP1-ESS-FESSv3.91-4-SECTION IV FOLLOW-UP AND COLLABORATION Page 8 of 132
1 Introduction
Section IV of the FESS addresses functionality aiming to support monitoring of
movements and the administrative cooperation among MSAs. It contains the following
chapters:
Chapter 1 is the present Introduction.
Chapter 2, entitled General Process Threads, is a summary description of the major
process threads that may be built on the basis of the use cases that compose the other
chapters of this Section.
Chapter 3 addresses the Follow-up functionality, composed of:
• reporting on controls applied on a particular movement; these are usually physical
checks, but documentary controls are possible as well;
• reporting from events that occurred during the movement;
• the ability given to MSAs to interrupt a movement following findings of controls, or
following some events, or from any other source of information.
Chapter 4 is dedicated to the Risk Assessment that constitutes a specific category. In
EMCS, this functionality is a requisite for (at least) request for assistance and possibly
for the other cases of collaboration. More precisely, Risk Assessment is proposed to be
applied in many places of the core business.
Chapter 5 addresses administrative cooperation, covering:
• the exchange of spontaneous information between Administrations;
• the issuance of requests for assistance and the replies to be sent between
Administrations.
Chapter 6 is dedicated to exchanges of historical information on past movements.
Chapter 7 presents the State-transition diagram common to all query/answer schemes
presented in the Section.
Chapter 8 is an Index of EBPs (Elementary Business Processes) that compose the
functionality; in that Chapter, the Use cases and their EBPs are presented in numeric
order.
DG TAXUD – EXCISE COMPUTERISATION PROJECT REF: ECP1-ESS-FESS-S.IV
FESS - SECTION IV - FOLLOW-UP AND COLLABORATION VERSION: 3.91-EN
GENERAL PROCESS THREADS
ECP1-ESS-FESSv3.91-4-SECTION IV FOLLOW-UP AND COLLABORATION Page 9 of 132
2 General Process Threads
2.1 Administrative cooperation
The Administrative cooperation in the field of Excise duties is currently ruled by the
Council Regulation (EU) No 389/2012 of 2 May 2012 on administrative cooperation in
the field of excise duties, hereafter referred to as "the Regulation".
Among others, that Regulation lays down rules and procedures for the exchange of
certain types of information by electronic means, and in particular as regards intra-
Community trade in excisable products.
Besides the registers of authorised traders commonly known as the SEED data base, the
Regulation describes two classes of information exchange, namely:
• spontaneous information consists in an issuing MSA, following findings concerning
a movement or any other subject, spontaneously sending the results to an addressed
MSA;
• request for assistance consists in a requesting MSA sending a message to an
addressed MSA to obtain information to be returned and/or any kind of actions to be
carried out, such as enquiries, controls, etc.
Spontaneous information
Upon Risk Assessment (following for instance the receipt of an e-AD or a change of
destination), or upon any other event, an issuing MSA (typically, the MSA of
destination) selects consignments it considers at risk, performs the relevant verifications
and controls and sends the results to an addressed MSA (typically, the MSA of dispatch)
if an irregularity or an infringement has been established or for any other reason.
The same mechanism allows a MSA to send any information other than results of
verifications and actions, if found relevant.
The issuing MSA does not have the possibility to request feedback from the addressed
MSA.
Issuing MSA Addressed MSA
UC2.14
Risk assessment or
any other reason
Issue results message
--- UC-301-110
Prepare feedback message
Receive results message
--- UC-301-210
R_Results of controls available
MSA MSA
Figure 1 Administrative cooperation - spontaneous information
Request for assistance
Upon risk assessment (following for instance the validation of an e-AD or a change of
destination), or upon any other event, a requesting MSA (typically, the MSA of
DG TAXUD – EXCISE COMPUTERISATION PROJECT REF: ECP1-ESS-FESS-S.IV
FESS - SECTION IV - FOLLOW-UP AND COLLABORATION VERSION: 3.91-EN
GENERAL PROCESS THREADS
ECP1-ESS-FESSv3.91-4-SECTION IV FOLLOW-UP AND COLLABORATION Page 10 of 132
dispatch) sends a request message to a requested MSA. This latter has to finally send
back the results.
The requested MSA has the possibility to send first an answer message to announce a
delay in sending back the results, if the provided deadline for the return of results
cannot be met.
Requesting MSA Requested MSA
Manage administrative cooperation exchange
--- UC-307-110
Prepare request
Manage administrative cooperation exchange
--- UC-307-210 UC-307-230
Analyse request Prepare and send
answer and feedback messages
MSA
Manage administrative cooperation exchange
--- UC-307-120 UC-307-130
Receive answer and feedback
MSA
UC2.14
Risk assessment or
any other reason
Figure 2 Administrative cooperation - request for assistance
The requested MSA has the possibility to request feedback from the requesting MSA.
This later shall send back the requested feedback.
2.2 Events and controls during movements, interruption of a movement
During a movement, many events and controls arise that impact the life of the
consignment.
An event is any occurrence that is considered worth signalling to the MSAs, for instance
loss, destruction or theft of a document, of part, or all, of the goods, etc. It is either
mandatory or conditional depending on the case.
An event report, established by a competent authority, is presented to an Excise office
of the MSA of dispatch or of the MSA of destination, or preferably of the Member State
where the event occurred. The Excise office disseminates the information to all MSAs
concerned by the movement, to the consignor, to the consignee and, if relevant, to the
guarantor.
An event sometimes results in triggering a control. There are many other reasons to
make controls either on the goods or on documents relating to a given movement, or on
both. To do so, the control officer may request information by all means at his disposal,
including EMCS consultation and possibly administrative cooperation requests.
At the end of the control, possibly after a longer evaluation, the control officer issues a
report that is dispatched to all concerned MSAs but not to economic operators.
Either directly following an event report (e.g. total loss of goods), or following a
control, or for any other reason such as an ascertained fraud, a MSA is entitled to
interrupt the movement. Interruption of the movement is notified to all MSAs
DG TAXUD – EXCISE COMPUTERISATION PROJECT REF: ECP1-ESS-FESS-S.IV
FESS - SECTION IV - FOLLOW-UP AND COLLABORATION VERSION: 3.91-EN
GENERAL PROCESS THREADS
ECP1-ESS-FESSv3.91-4-SECTION IV FOLLOW-UP AND COLLABORATION Page 11 of 132
concerned by the movement, to the consignor, to the consignee and, if relevant, to the
guarantor; it is deemed that this will result in further procedures to solve – in particular
– guarantee issues, but this is not addressed by the FESS.
The following diagram summarises a possible chaining of the follow-up functions. Each
of these functions may however apply separately.
Consignee MSA of event/control
Consignor MSA of dispatch MSA of destination
Operator departure
MSA MSA MSA Operator destination
--- UC3.05
R_interruption notified
Receiving and forwarding event
report ---
UC-324-510
Receive event report at MSA of
dispatch
Interrupting movement
--- UC-305-110 UC-305-120
Disseminate stopped e-AD;
update information
Receiving and forwarding event
report ---
UC-324-610
Receive event report at MSA of
destination
--- UC3.24
R_event report received
Control and submission of control report
--- UC-303-410
Performs control and manages raw
control report
--- UC3.03
R_control report received
--- UC3.03
R_control report received
Receiving and forwarding stopped
e-AD ---
UC-305-210
Register interruption
Receiving and forwarding stopped
e-AD ---
UC-305-310
Register interruption
--- UC3.05
R_interruption notified
Submitting event report
--- UC-324-310 UC-324-410
Check and validate event report
--- UC3.24
R_event report received
Figure 3 Event, control and/or interruption of a movement
DG TAXUD – EXCISE COMPUTERISATION PROJECT REF: ECP1-ESS-FESS-S.IV
FESS - SECTION IV - FOLLOW-UP AND COLLABORATION VERSION: 3.91-EN
FOLLOW-UP USE CASES
ECP1-ESS-FESSv3.91-4-SECTION IV FOLLOW-UP AND COLLABORATION Page 12 of 132
3 Follow-up use cases
The use cases presented in this chapter essentially allow the MSAs to monitor the
movements of goods and the actions of economic operators; in particular by providing
them with two essential tools: control and declaration of an event.
Follow-up of movements basically consists in an official entering his findings into the
EMCS application that in turn disseminates the relevant information to all other
concerned MSAs.
Consequently, any MSA is in a position to determine whether it has to undertake
complementary investigations.
Risk Assessment (manually triggered) is a convenient tool to pre-select cases.
Complementary administrative cooperation exchanges (being presented in the Chapter 5
of this section relating to collaboration) are available to get more information.
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3.1 Submission of an event report (UC3.24)
3.1.1 Overview
Many minor or major events arise during excise movements (including exporting
movements), namely, movements under duty suspension, duty paid – Business to
Business (duty paid B2B) movements, duty paid – distance selling (duty paid B2C)
movements or undocumented movements (i.e. movements using a non-European Union
standard document), such as theft or destruction of a vehicle, of goods or of an
accompanying document.
Most times, the person in a position to report such an event is the accompanying person.
If this latter is presently incapable of doing it, any other person being aware of the
procedure does it, hereafter called the "reporting person". As far as possible, a report is
established at the MSA where the event took place with a local competent authority
(such as the police) or with a third person where convenient (for example an accident
report drawn up with the other involved party). The MSA where the event took place is
hereafter called the "MSA of event". In some cases (determined by the MSA of event),
it is mandatory to fulfil a series of precise administrative steps.
Using the report as evidence, a person involved in the movement, hereafter called the
"submitting person" (consignor, consignee or transporter) reports the event to an Excise
office. The MSA of the Excise office, hereafter call the "MSA of submission", can be
the MSA of dispatch, the MSA of destination, or the MSA of event. The Excise officer,
at the Excise office of the MSA of submission, examines the event report evidence and
submits an event report electronically.
It may occur that an event happens in a third country (e.g. destruction of goods caused
by an accident in Switzerland during a transport from Germany to Italy). In that
situation, the consignor can inform the MSA of dispatch, which can submit an event
report to EMCS.
Submission of an event report is mandatory where one of the cases, referred to in points
(a) to (e) of Article 15(1) of Regulation (EU) No 389/2012, is detected and shall be sent
as soon as it has potential consequences on the results of the movement, in particular
significant shortages, within seven days of the moment when the competent authority
becomes aware of the event (as defined in Article 14 of Implementing Regulation (EU)
2016/323). After examination, the MSA of submission considers whether an event is
worth entering into investigation procedures and/or that complementary controls must
be achieved. After examination, the MSA of submission considers whether an event is
worth entering into investigation procedures and/or that complementary controls must
be achieved.
An event report bears a reference to the evidence document(s). A copy of the
evidence(s), possibly under the form of an image, should be as far as possible attached
to the submitted event report or else sent by separate fax or mail.
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3.1.2 Participants, motivations and commitments
MSA dispatch application
MSA destination application
UC3.24-Submission of an event report
Submitting
person
Consignee
MSA event application
MSA submission application
Reporting
person
Excise officer Consignor
validates event
report
observes an event
collects evidences
presents event
information
enters the
event report is informed
is informed
is informed
is informed receives and forwards the event
report to all concerned MSAs
Figure 4 Participants of <UC3.24> Submission of an event report
Main actor
• the reporting person (i.e. accompanying person or any other duly mandated person)
▪ is committed to report any arising serious event to the competent authorities in
the Member State of event
▪ obtains supporting evidence document(s) in the MS of event
Other actors
• the submitting person (consignor, consignee or any other person involved in the
movement)
▪ presents the supporting evidence document(s) relating to an event at an Excise
office of the MSA of submission
• the Excise officer in the MSA of submission
▪ submits draft event report to his MSA application based on the supporting
evidence document(s) presented by the submitting person
• the MSA of submission
▪ formally validates the draft event report
▪ forwards the validated event report to MSA event application
• the MSA event application
▪ assigns a unique reference to the event report
▪ forwards event report to all concerned MSAs
• the MSA dispatch application
▪ is informed of the event
▪ forwards information to the consignor
• the MSA destination application
▪ is informed of the event
▪ forwards information to the consignee
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• the consignor
▪ is informed of the event by his MSA
• the consignee
▪ is informed of the event by his MSA
3.1.3 General conditions
Trigger
• the reporting person is informed of an event; or
• the reporting person observes an event that must be reported according to the
national rules of the Member State where the event arose
Pre–conditions
• the reporting and submitting persons have all the necessary regarding the event.
Post–conditions
• all actors involved in the movement are aware of the event
3.1.4 Process flow diagram
reporting person
(MSA of event)
MSA submission
application
Report rejected (IE704:N_REJ_DAT)
(IE840:C_EVT_DAT)
One or several times
Valid report (IE840:C_EVT_DAT)
UC-324-110
Report to competent local
authority UC-324-210
Submit draft event report
E_Event arose
UC-324-310
Check draft event report
R_Event report rejected
R_Event report received
UC-324-320
Receive event report at MSA of
submission 1 2
(IE840:C_EVT_DAT)
(IE840:C_EVT_DAT)
UC-324-410
Validate event report
R_Event report recorded
R_Event report received
Excise office
(MSA of submission)
MSA event
application
(IE840:C_EVT_DAT)
UC2.51 – Download of an e-AD
UC2.52 – General query to retrieve an e-AD
Figure 5 Submission of an event report – Process flow diagram (part 1)
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MSA dispatch
application
1
Excise office
(MSA of dispatch) Consignor
R_Event report received
UC-324-510
Receive event report at MSA of
dispatch
R_Event report received
R_Event report received
(IE840:C_EVT_DAT) (IE840:C_EVT_DAT)
Figure 6 Submission of an event report – Process flow diagram (part 2)
MSA destination
application
UC-324-610
Receive event report at MSA of
destination
R_Event report received
2
Excise office
(MSA of destination)
R_Event report received
R_Event report received
(IE840:C_EVT_DAT) (IE840:C_EVT_DAT)
Consignee
Figure 7 Submission of an event report – Process flow diagram (part 3)
3.1.5 Major event
E_Event arose
Actor: reporting person
Location: Anywhere during the movement
The reporting person, or any equivalent actor, observes an event that is worth reporting to the tax authorities.
3.1.6 Minor events
None.
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3.1.7 Processes
Report to competent local authority Process: UC-324-110
Actor: reporting person
Location: premises of the competent authority in the Member State of event (i.e. the Member State where the
event took place)
Processing mode: manual
Constraint: none
Description:
The reporting person goes to the competent local authority designated by the Member State where the event
happened and reports the event. The reporting person obtains an official report as evidence document(s) to
support further steps.
The competent local authority takes into account any kinds of evidence, even those that could be judged
insufficient for exemption. Hence, even an unofficial document or an affidavit (written declaration made under
oath) may be accepted.
Final situation:
• the reporting person has the required evidence document(s) to support further steps at an Excise office;
• the reporting person is in a position to transfer that information to the submitting person.
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Submit draft event report Process: UC-324-210
Actor: Excise officer
Location: Excise office in the MSA of submission
Processing mode: Semi-automatic
Constraint: the submitting person has the supporting evidence document(s) available
Description:
The submitting person presents the supporting evidence document(s) to the Excise officer.
The Excise officer enters a draft event report referring to the evidence document(s). As far as possible, he
attaches a copy of the evidence document(s) (e.g. scanned image) to the electronic draft event report. He
submits the draft event report (IE840:C_EVT_DAT) to his MSA application.
The entered information includes:
• the event report type: ▪ will be "Initial submission";
• local reference assigned to the event report;
• reference of the e-AD (ARC) or of other accompanying document number (e.g. SAAD document number);
• if relevant, goods information, and means of transport and traders information (to support requests
concerning non-electronic movements);
• zero, one or several events to be signalled by the report: ▪ type of event (crash, vehicle and goods stolen, goods stolen, goods destroyed, missing document, transhipment, etc.)
▪ associated information (quantity destroyed or stolen, missing document, etc.)
• place of event (Member State, approximate or exact address);
• code of the Excise office where the event is registered;
• identity of the Excise officer;
• identity of the submitting person (name, capacity regarding the movement);
• type and reference of evidence (from list of codes);
• identity of the authority that established the evidence (if relevant);
• reference and description of the evidence document(s) and, where possible, their image;
• possibly, identity of a new transport arranger: ▪ type of arranger;
▪ depending on the type of the new arranger, optional VAT number, name and/or acronym and address;
• possibly, identity of a new transporter (optional VAT number, name and/or acronym and address);
• possibly, new transport details: for each transport unit: ▪ unit type code;
▪ identity of the transport unit;
▪ identity and description of commercial seals, if any;
▪ complementary information, as needed;
• optional comments.
Final situation:
• the draft event report is under validation by the application of the MSA of submission.
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Check draft event report Process: UC-324-310
Actor: MSA submission application
Location: MSA of submission
Processing mode: Automatic
Constraint: none
Description:
The application of the MSA of submission receives the submitted draft event report (IE840:C_EVT_DAT) for
validation.
The application of the MSA of submission formally validates that all fields are correctly filled in.
In case of change of transport arranger:
• if the type or transport arranger imposes so, name and/or acronym and address are given;
In case of change of transporter:
• name and/or acronym and address are given.
If the draft event report is found valid, the MSA submission application transfers the event report
(IE840:C_EVT_DAT) to the MSA event application. If the MSA of submission is the MSA of event, this
transmission is deemed immediately done.
According to the case it may be that the MSA where the event report concerning an e-AD is submitted does not
have the e-AD information (in particular when the MSA where the Event Report is submitted is neither the
MSA of Dispatch nor the MSA of Destination). In that case the MSA ought to consult the latest information of
the e-AD by downloading it from the initiating MSA through “Download of an e-AD (UC3.31)” and “General
query to retrieve an e-AD (UC3.32).
Final situation:
• if the draft event report is found invalid, the list of errors is sent back to the Excise office
(IE704:N_REJ_DAT);
• if the draft event report is found valid, it has been made available for validation to the MSA of event
(IE840:C_EVT_DAT).
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Validate event report Process: UC-324-410
Actor: MSA event application
Location: MSA of event
Processing mode: Semi-automatic
Constraint: none
Description:
Upon receipt of the event report (IE840:C_EVT_DAT), the application of the MSA of event:
• in the case of event report type "Initial submission", assigns a unique reference to the event report;
• updates the event report type to "Validated document"
• disseminates the event report (IE840:C_EVT_DAT): ▪ to the MSA of submission (if the MSA of event is the MSA of submission, the transmission is deemed immediately done);
▪ to the MSA of dispatch (if the MSA of event is the MSA of dispatch, the transmission is deemed immediately done);
▪ to the MSA of destination (if the MSA of event is the MSA of destination, the transmission is deemed immediately done).
If and only if the MSA of submission is the MSA of event, UC-324-320 should be processed. In this case, the
event report (IE840:C_EVT_DAT) transmission is deemed immediately done.
According to the case, it may be that the MSA where the event report concerning an e-AD is submitted does not
have the e-AD information (in particular when the MSA where the Event Report is submitted is neither the
MSA of Dispatch nor the MSA of Destination). In that case, the MSA ought to consult the latest information of
the e-AD by downloading it from the initiator MSA through “Download of an e-AD (UC3.31)” and “General
query to retrieve an e-AD (UC3.32).
It shall be ensured that the latest movement information exists in the system, so that all MSAs concerned by the
movement are known for dissemination purposes of the event report (IE840:C_EVT_DAT). UC3.31
“Download of an e-AD” can be used for the retrieval of the latest history of the e-AD from the initiator MSA.
The application of the MSA of event is free to automatically trigger risk assessment on the concerned
movement.
Final situation:
• all concerned MSAs are informed of the event;
• possibly, the movement is submitted to risk assessment (UC2.14).
Receive event report at MSA of submission Process: UC-324-320
Actor: MSA submission application
Location: MSA of submission
Processing mode: Automatic
Constraint: none
Description:
The application of the MSA of submission receives the event report (IE840:C_EVT_DAT) and forwards it for
acknowledgement to the Excise office where the event report was initially submitted.
The application of the MSA of submission is free to automatically trigger risk assessment on the concerned e-
AD.
Final situation:
• the Excise officer and the submitting person have confirmation that the event was duly registered;
• the MSA of submission has a valid copy of the event report;
• possibly, the e-AD is submitted to risk assessment (UC2.14).
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Receive event report at MSA of dispatch Process: UC-324-510
Actor: MSA dispatch application
Location: MSA of dispatch
Processing mode: Automatic
Constraint: none
Description:
The application of the MSA of dispatch receives the event report (IE840:C_EVT_DAT) and forwards it to the
consignor.
If the MSA of event is the MSA of dispatch, the application forwards the event report (IE840:C_EVT_DAT) for
acknowledgement to the Excise office where the event report was initially submitted.
The application of the MSA of dispatch is free to automatically trigger risk assessment on the concerned e-AD.
Final situation:
• the consignor is informed of the event;
• if applicable, the Excise officer and the submitting person have confirmation that the event was duly
registered;
• possibly, the e-AD is submitted to risk assessment (UC2.14).
Receive event report at MSA of destination Process: UC-324-610
Actor: MSA destination application
Location: MSA of destination
Processing mode: Automatic
Constraint: none
Description:
The application of the MSA of destination receives the event report (IE840:C_EVT_DAT); if the consignee is
an authorised warehouse keeper or a registered consignee, the MSA destination application forwards him the
event report (IE840:C_EVT_DAT); if the consignee is a temporary registered consignee or an exempted
consignee, the MSA of destination and/or the consignor informs him.
If the MSA of event is the MSA of destination, the application forwards the event report (IE840:C_EVT_DAT)
for acknowledgement to the Excise office where the event report was initially submitted.
The application of the MSA of destination is free to automatically trigger risk assessment on the concerned e-
AD.
Final situation:
• as far as possible, the consignee is informed of the event;
• if applicable, the Excise officer and the submitting person have confirmation that the event was duly
registered;
• possibly, the e-AD is submitted to risk assessment (UC2.14).
3.1.8 Major result
R_Event report recorded
Actor: MSA event application
Location: MSA of event
• the event report is safely stored;
• copies of the event report are sent to all concerned parties.
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R_Event report received
Actor: all other actors
Location: all
• all actors involved are aware of the event.
3.1.9 Minor result
R_Event report rejected
Actor: Excise officer
Location: Excise office
• the Excise officer receives an error message following formal validation;
• the Excise officer must correct and re-submit the event report. He has all useful information to do so.
3.1.10 Messages
• IE704:N_REJ_DAT generic refusal message
• IE840:C_EVT_DAT event report
3.2 Control and submission of the control report (UC3.03)
3.2.1 Overview
A control is either started at random (e.g. roadside control) or prepared in advance based
on information coming from risk analysis (and risk assessment) or from intelligence
information.
The control officer performs a physical or documentary control based on the
information available at place of control and draws the first conclusions.
Optionally, the control officer immediately submits to EMCS a raw control report
containing his initial findings.
After the raw control report has possibly been submitted, the investigation following a
control continues until the controlling Administration considers that all the needful
actions have been carried out. Each Administration determines when the control officer
remains responsible for the investigations and when the lead goes to another office.
Depending of the MSA's internal organisation, the term "verification officer" refers to
the control officer or to another official.
The operations described here are achieved either:
• after the movement of excise goods (that is, a movement under duty suspension, duty
paid B2B movement, duty paid B2C movement or an undocumented movement, i.e.
a movement using a non-European Union standard document) has been allowed to
continue; or
• while the goods are temporarily held up waiting for further results; or
• after the movement has been definitely interrupted (see UC3.05 – interruption of a
movement).
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This use case only concerns the way a given control report is established according to
the findings of verification officers. During these investigations, the verification officer
not only analyses the raw results of the control, but he is entitled as well to get
complementary information through any means at his disposal, such as consultations of
electronic records, ad hoc queries, informal exchanges, other controls (either separately
registered in EMCS or internal to the MSA), etc. Conclusions found relevant are taken
into account to produce the control report.
The raw control report, that always remains optional, is actually a first and incomplete
version of the final report; hence, it is conveyed by the same message.
In addition to the findings of the control or verification officers, the control report may
carry indicators to request a control at arrival. In this case, as well as any others case
deemed necessary by the control officer it must be flagged at the receiving MSAs. A
copy of external supporting documents(s), if any, possibly under the form of an image,
should be as far as possible attached to the submitted control report or else sent by
separate fax or mail.
Submission of a control report is mandatory and shall be sent to the Member States
concerned within seven days of the control (as defined in Article 11 of Implementing
Regulation (EU) 2016/323), where one of the cases referred to in points (a) to (e) of
Article 15(1) of Regulation (EU) No 389/2012 is detected, as a result of a documentary
or physical control of goods during a movement.
The processing is iterative, i.e. sending a control report does not close the use case. It is
always possible for the control officer to add complementary sub-records to a control
report and to send them to the concerned MSAs, including when the movement is
considered fully discharged.
3.2.2 Participants, motivations and commitments
UC3.03- control and
submission of a control report
MSA control application
Other MSA application
performs the control evaluates the results
submits the control report
is informed
assesses validity of the control report and forwards it to other MSAs
control /
verification
officer
Figure 8 Participants of <UC3.03> Control and submission of the control report
Main actor
• control/verification officer
▪ performs a physical or documentary control
▪ evaluates the findings
▪ submits the control report to his MSA application
Other actors
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• MSA control application
▪ assess validity of the control report and forwards it to other concerned MSA
• other MSA applications
▪ receive the control report from the MSA control application
3.2.3 General conditions
Trigger
• A control officer is performing controls along the way
Pre–conditions
• Optionally, the control officer has already information on the considered movement
Post–conditions
• the control report is registered and available to all concerned MSAs
3.2.4 Process flow diagram
Control officer MSA control
application
UC-303-110
Perform control
E_Control officer initiates control
R_Control report rejected
UC-303-120
Submit draft control report
UC-303-210
Check draft control report
UC-303-220
Register control report at MSA of
control
Valid
R_Control report recorded
MSA dispatch
application
R_Control report received
MSA destination
application
R_Control report received
Invalid
One or several times according to the course of the control
UC2.51 – Download of an e-AD
UC2.52 – General query to retrieve an e-AD
UC3.07 – Administrative cooperation – request for assistance
(IE717:C_CCR_DAT) (IE717:C_CCR_DAT)
UC-303-310
Register control report at MSA of
dispatch
UC-303-410
Register control report at MSA of
destination
(IE717:C_CCR_DAT)
Figure 9 Control and submission of the control report – Process flow diagram
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3.2.5 Major event
E_Control officer initiates control
Actor: control officer
Location: place of control
The control officer initiates a physical or documentary control concerning an identified e-AD (movement under
duty suspension) or concerning an identified duty paid B2B movement, duty paid B2C movement or an
undocumented movement (i.e. a movement using a non-European Union standard document).
3.2.6 Minor events
None.
3.2.7 Processes
Perform control Process: UC-303-110
Actor: control officer
Location: place of control
Processing mode: Manual
Constraint: none
Description:
The control officer may compare the documentary information with the object of the control, either the physical
state of goods or documentary information related to the movement.
As support of his verifications, he ought to consult the latest state of the movement. After the goods have left
the place of control, the control officer either immediately submits the control report or continues investigations
on the case.
The control officer is entitled to request the competent authorities of another Member State for additional
information. This is achieved through the usage of any of the following use cases:
• in case of a movement under duty suspension, if the accompanying person does not know the ARC of the
movement, search its contents from the supposed initiator MSA that may be inferred from any available
information such as the LRN (Local Reference Number, being a serial number), identity of consignor and/or
of consignee or nature of goods (See UC3.32 - General query to retrieve an e-AD);
• in case of a movement under duty suspension, if the accompanying person knows the ARC but the e-AD is
not available in the MSA of control, download its contents from its initiating MSA (See UC3.31 –
Download of an e-AD);
• in case of any type of movement (movement under duty suspension, duty paid B2B movement, duty paid
B2C movement or an undocumented movement) and for any other information, an administrative
cooperation request for assistance described in use case 3.07.
It is possible that the control officer observes that a severe irregularity could result in an interruption of the
movement. In such a case the control officer either:
• temporarily stops the goods until the control is considered complete; or
• in case of duty suspension movement (e-AD), interrupts the movement using the dedicated use case (see
UC3.05 – interruption of movement); or
• leaves the movement continue and complete the analysis on the basis of the information collected.
Final situation:
• the initial, partial or definitive findings necessary to complete a control report are collected.
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Submit draft control report Process: UC-303-120
Actor: control officer
Location: place of control /or office in the MSA of control
Processing mode: Semi-automatic
Constraint: a terminal connected to the EMCS application is available
Description:
The control officer prepares the control report or an update of the control report, indicating:
• in the header of the report: ▪ when this is not the very first submission of the control report, its reference; ▪ reference of the concerned e-AD (ARC or of other accompanying document number (e.g. SAAD document number);
▪ if relevant, goods information, means of transport and traders information (to support requests concerning non-electronic
movements); ▪ type of control (physical control, documentary control, etc.; it is possible to enrich that list according to agreements taken in the
Excise Committee);
▪ date of control; ▪ place of control;
▪ origin of the control:
❖ reason for control (control started at random, event signalled, warning received, alert received, request from another office, etc. it is possible to enrich that list according to agreements taken in the Excise Committee);
❖ optionally, complementary reference of the origin (reference of the event report, of the requesting office, etc.);
▪ identity of the control officer; ▪ if the control office is listed in the EOL, code of the control office to which the control officer belongs else member state code name
and address of the control office to which the control officer belongs; ▪ global conclusion of the control (control will continue, satisfactory, minor discrepancies found, interruption recommended,
procedure recommended under Article 14, procedure recommended under Article 20);
▪ if any, and as far as possible, copy of the supporting document(s), else a reference and a simple description; ▪ indicator yes/no to request a future control at arrival of the goods;
▪ indicator yes/no to request that the control report will be flagged upon receipt in the other Member States;
▪ list of actions performed (verified counted packs, unloaded, opened packs, etc. it is possible to enrich that list according to agreements taken in the Excise Committee);
▪ list of discrepancies found at global level (goods not conform, broken seal, etc. it is possible to enrich that list according to
agreements taken in the Excise Committee); ▪ optional comments;
▪ possibly, transport details if there are not already mentioned in the e-AD.
• a series of sub-records: ▪ reference of the body records of the e-AD, in case the draft control report concerns a movement under duty suspension;
▪ description of the Goods, CN Code and/or Additional code, in case the draft control report concerns a duty paid B2B movement, duty paid B2C movement or an undocumented movement;
▪ ascertained shortage or excess (in the unit associated with the product code);
▪ discrepancies found for the body records (the same list of codes as at global level); ▪ optional comments.
The control officer submits then the draft of control report (IE717:C_CCR_DAT) to his MSA control
application.
If the control officer estimates it necessary, he continues his analysis (UC-303-110) with the aim to submit a
complementary report.
Final situation:
• the draft of control report is under validation by the MSA control application
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Check draft control report Process: UC-303-210
Actor: MSA control application
Location: premises of MSA of control
Processing mode: Automatic
Constraint: none
Description:
The MSA control application receives the draft of control report submitted by the control officer.
It submits the draft of control report to a formal validation including:
• validity of the identifiers and codes used;
• if shortages are detected, the missing quantities do not exceed the quantity recorded in the e-AD or in the
other accompanying document (e.g. SAAD).
Final situation:
• if the report is found invalid: the application returns an error message to the control officer; the control
officer must correct the report and re-issue it;
• else, processing continues at UC-303-220.
Register control report at MSA of control Process: UC-303-220
Actor: MSA control application
Location: premises of MSA of control
Processing mode: Automatic
Constraint: none
Description:
Upon validation, the MSA control application:
• if this is the first submission for this control, assigns a unique reference to the control report;
• creates the control report or additional parts of the control report and stores it as reference version;
• sends the control report to the MSA of dispatch and to the MSA of destination by a flagged message
(IE717:C_CCR_DAT).
If it is itself already the MSA of dispatch or the MSA of destination, the transmission obviously is deemed
immediately done.
Final situation:
• the validated control report is disseminated to all involved MSA;
• further investigation of the control report may follow under national responsibility;
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Register control report at MSA of dispatch Process: UC-303-310
Actor: MSA dispatch application
Location: premises of the MSA of dispatch
Processing mode: Automatic
Constraint: none
Description:
The application of the MSA of dispatch receives the control report (IE717:C_CCR_DAT).
The application of the MSA of dispatch is free to automatically trigger risk assessment on the concerned
movement.
Final situation:
• possibly, the movement is submitted to risk assessment (UC2.14).
Register control report at MSA of destination Process: UC-303-410
Actor: MSA destination application
Location: premises of the MSA of destination
Processing mode: Automatic
Constraint: none
Description:
The application of the MSA of destination receives the control report (IE717:C_CCR_DAT).
The application of the MSA of destination is free to automatically trigger risk assessment on the concerned
movement.
Final situation:
• possibly, the movement is submitted to risk assessment (UC2.14).
3.2.8 Major result
R_Control report recorded
Actor: MSA control application
Location: premises of the MSA of control
• the control report is updated and safely stored
• copies of the control report are sent to all concerned parties
3.2.9 Minor results
R_Control report rejected
Actor: control officer
Location: place of control / office of control
• the control officer receives an error message following formal validation;
• the control officer has to correct and re-submit the draft control report.
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R_Control report received
R_Control report received
Location: premises of the MSAs
• All involved MSAs have received the control report by a flagged message.
3.2.10 Messages
• IE717:C_CCR_DAT control report
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3.3 Interruption of a movement (UC3.05)
3.3.1 Overview
Where a MSA detects that a movement cannot continue to its destination, it is in a
position to decide to interrupt it and to become the MSA of destination.
This is in particular the case where an event report signals that the totality of goods was
lost, stolen or destroyed, or where a control ascertains a severe offence. Any MSA is
entitled to interrupt a movement when the offence happened in the territory of its
Member State. Where relevant, it attaches a reference to the event report or control
report to the interruption message.
Submission of the interruption message (including the reference of the event or control
report) is mandatory where one of the cases, referred to in points (a) to (e) of Article
15(1) of Regulation (EU) No 389/2012, is detected and shall be sent to the previously
nominated MSA of destination and to the MSA of dispatch, within one day of the
moment when the MSA of interruption becomes aware of the definitive interruption (as
defined in Article 12 of Implementing Regulation (EU) 2016/323).
The MSA of dispatch forwards the interruption message to the consignor and the MSA
of destination forwards it to the previously nominated consignee.
If the consignee is a temporary registered consignee or an exempted consignee, either
the MSA of destination or the consignor informs him.
In case of a temporary registered consignee, if the temporary authorisation is not
reusable, then it cannot be used anymore, as the validation has already taken place.
Hence, a new authorisation needs to be issued. If the temporary authorisation is
reusable, then it can be used for the remaining (unused) part of the quantity.
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3.3.2 Participants, motivations and commitments
UC3.05- Interruption
of a movement
MSA interruption application
consignor
consignee
MSA dispatch application
(former) MSA
destination application
is informed
is informed
registers interruption
is informed
forwards the interruption
is informed
Excise officer
orders interruption
Figure 10 Participants of <UC3.05> Interruption of a movement
Main actor
• Excise (or verification) officer
▪ orders interruption of the movement
Other actors
• MSA interruption
▪ becomes the MSA of destination
• MSA (former) destination application
▪ is informed
▪ forwards the interruption information to the consignee
• consignee
▪ is informed by his MSA
• MSA dispatch application
▪ is informed
• consignor
▪ is informed by his MSA
3.3.3 General conditions
Trigger
• the MSA of interruption decides to physically interrupt a movement following
examination of control report(s) or declared event(s)
Pre–conditions
• the official of the MSA of interruption is authenticated and authorised to submit
interruption messages
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Post–conditions
• the e-AD status is updated to “stopped”
• the interruption information of the “stopped” e-AD is disseminated to all involved
partners.
3.3.4 Process flow diagram
MSA interruption
application Consignee Consignor MSA destination
application MSA dispatch
application
UC-305-210
Register interruption at MSA of dispatch
E_Decide to stop movement
R_Interruption notified/registered
R_Interruption notified/registered
(IE807:C_STP_NOT) UC-305-310
Register interruption at MSA
of destination
UC-305-110
Submit interruption
R_Interruption notified/registered
Excise (or
verification) office
R_Interruption rejected
UC-305-120
Confirm interruption
R_Interruption notified/registered
(IE807:C_STP_NOT)
valid
invalid
R_Interruption notified/registered
R_Interruption notified/registered
UC2.51 – Download of an e-AD
UC2.52 – General query to retrieve an e-AD
Figure 11 Interruption of a movement – Process flow diagram
3.3.5 Major event
E_Decide to stop movement
Actor: an authorised official in the MSA of interruption - potentially any MSA
Location: MSA of interruption
An Excise officer (or a verification officer) in the MSA of interruption decides to interrupt the movement.
3.3.6 Minor events
None.
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3.3.7 Processes
Submit interruption Process: UC-305-110
Actor: MSA of interruption
Location: premises of the MSA of interruption
Processing mode: Semi-automatic
Constraint: none
Description:
The MSA where the interruption is decided submits an interruption message by giving:
• the ARC of the e-AD to be interrupted;
• a reason for the interruption,
• optionally, the reference of one (or several) event report(s) and/or control report(s).
The data is submitted to a formal (local) validation. That validation includes:
• the e-AD exists, it is in accepted, refused, rejected, partially refused or exporting state (it is not possible to
interrupt a movement that has any other state);
• if any, the referenced event or control reports exist in the system (including the case when they are received
through “Download of an e-AD (UC3.31)”) and refer to the e-AD to be stopped.
According to the case it may be that the MSA of Interruption is not involved in the movement as MSA of
Dispatch or MSA of Destination. In order to validate the correct state of the movement and forward the
validated interruption message to the MSA of Destination, the MSA of Interruption ought to consult the latest
information for the e-AD by downloading its contents from the initiating MSA through “Download of an e-AD
(UC3.31)” and “General query to retrieve an e-AD (UC3.32).
Final situation:
• if the interruption is formally validated, processing continues with UC-305-120
• else, the refusal of interruption is notified to the submitting officer.
Confirm interruption Process: UC-305-120
Actor: MSA interruption application
Location: MSA of interruption
Processing mode: Automatic
Constraint: none
Description:
If the submitted interruption was found valid, the MSA of interruption updates the e-AD by changing its state to
stopped
The application of the MSA of interruption builds the interruption message (IE807:C_STP_NOT) and sends it
to the MSA of dispatch and to the MSA of destination.
Note: where the MSA of interruption is one of these Member States, the message is internally transferred but the
processing described in the following relevant processes (in particular forwarding to economic operators) must
be achieved.
It sends back a confirmation to the requesting Excise officer.
Final situation:
• The e-AD status is updated to “stopped”
• the interruption information of the stopped e-AD is disseminated to all involved partners
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Register interruption at MSA of dispatch Process: UC-305-210
Actor: MSA dispatch application
Location: MSA of dispatch
Processing mode: Automatic
Constraint: none
Description:
Upon receipt of the interruption message (IE807:C_STP_NOT), the MSA of dispatch updates the e-AD by
changing its state to stopped.
It forwards the message to the consignor.
Final situation:
• The e-AD status is updated to “stopped”
• The interruption has been forwarded to the consignor
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Register interruption at MSA of destination Process: UC-305-310
Actor: MSA destination application
Location: MSA of destination
Processing mode : Automatic
Constraint: none
Description:
Upon receipt of the interruption message (IE807:C_STP_NOT), the MSA of destination updates the e-AD by
changing its state to stopped.
It forwards the message to the consignee.
If the consignee is a temporary registered consignee or an exempted consignee, the MSA of destination and/or
the consignor informs him.
Final situation:
• The e-AD status is updated to “stopped”.
• The interruption has been forwarded to the consignee
3.3.8 Major result
R_Interruption notified/registered
Actor: all
Location: all
• the e-AD is now stopped, all partners are informed.
3.3.9 Minor results
R_Interruption rejected
Actor: Excise (or verification officer)
Location: Excise (or verification) office
• the submitted interruption has been found formally invalid; the Excise officer is free to re-submit it with
corrected information.
3.3.10 Messages
• IE807:C_STP_NOT interruption of movement
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3.4 Manual closure of a movement (UC3.06)
3.4.1 Overview
Where a MSA detects that a movement cannot be closed in the system because the procedure
to be followed is not supported electronically, the manual closure functionality can be used by
an MSA as an exception handling mechanism in order to manually close such movements.
In cases of Refusal, Partial Refusal or Rejection, i.e. codes '3', '4' or '23' in Global Conclusion
Manual Closure, the follow up would have to be done via other ACO mechanism (e.g. ACO
Request/Result) or outside EMCS.
The recommended solution is that an Excise Officer of the MSA of Dispatch initiates a
manual closure or the MSA of Destination submits a manual closure request to the MSA of
Dispatch, including any supporting documentation or complementary information related to
the manual closure.
Upon reception of the manual closure request, the MSA of Dispatch validates the received
manual closure request message (IE880: C_MNC_SUB) and if found valid, updates the state
of the concerned movement to ‘e-AD Manually Closed’ and sends the manual closure
response message (IE881: C_MNC_RES) to the MSA destination application as a notification
that the movement has been manually closed at Dispatch. The MSA of Dispatch will also
notify the relevant Consignor about the manual closure of the movement as will the MSA
Destination notify the Consignee of the movement.
It shall be noted that even though the MSA of Destination is entitled to request a manual
closure of a movement, the decision of manual closure acceptance or rejection resides at the
MSA of Dispatch.
It shall be noted that in the manual closure process described below, everything that applies to
the MSA of Destination applies also to the MSA of Export in case the movement’s
destination is “Export”; in the latter case, there is no consignee to be informed.
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3.4.2 Participants, motivations and commitments
UC3.06- Manual closure
of a movement
consignee consignor
MSA dispatch application
MSA destination
application
is informed
is informed
is informed
forwards the manual closure Validates request
forwards the manual closure
Excise officer (MSA Dispatch)
registers manual closure is informed
Excise officer
(MSA Destination)
requests manual closure is informed
Figure 12 Participants of <UC3.06> Manual closure of a movement
Main actor
• Excise (or verification) officer of MSA of Dispatch
▪ registers manual closure of the movement
▪ is informed
• Excise (or verification) officer of MSA of Destination
▪ requests manual closure of the movement
▪ is informed
• Consignee
▪ is informed by his MSA
• Consignor
▪ is informed by his MSA
Other actors
• MSA dispatch application
▪ validates the manual closure request
▪ forwards the manual closure response to the MSA destination application
▪ forwards the manual closure response to the consignor
• MSA destination application
▪ is informed
▪ forwards the manual closure request to the MSA dispatch application (if manual
closure is requested by an Excise Officer at MS of destination)
▪ forwards the manual closure response to the consignee
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3.4.3 General conditions
Trigger
• The Excise Officer of MSA of Dispatch initiates a manual closure or the Excise
Officer of MSA of Destination decides to request a manual closure of a movement
because the normal closure of the movement is not supported electronically and it
shall be manually closed
Pre–conditions
• the requestor/initiator of the manual closure is authenticated and authorised to submit
manual closure request messages
Post–conditions
• the e-AD status is updated to “e-AD Manually Closed”
• the Manual Closure information of the “e-AD Manually Closed” e-AD is
disseminated to all involved partners.
3.4.4 Process flow diagram
MSA dispatch application
MSA destination application
Consignee Consignor
UC-306-230 Register Manual
Closure at MSA of dispatch
E_Initiate the manual closure of
the movement
R_Manual Closure notified/registered
(IE881:C_MNC_RES) UC-306-310
Register Manual Closure at MSA of
destination
R_Manual Closure
notified/registered
Excise officer (MS of Dispatch)
R_Maunal Closure notified/registered
R_Manual Closure notified/registered
1
R_Manual Closure notified/registered
if initiated by
Excise Officer at MS
of Dispatch
R_Manual Closure request received
Excise Officer (MS of Destination)
R_Manual Closure request received
E_Decide to request the
manual closure of
the movement
2
R_Manual Closure notified/registered
if initiated by Excise Officer
at MS of Destination
(IE881:C_MNC_RES) (IE881:C_MNC_RES)
Figure 13 Manual Closure of a movement – Process flow diagram
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MSA dispatch application
UC-306-110 Submit Manual
Closure Request
Excise officer (MS of Dispatch)
R_Manual closure rejected
UC-306-210 Check Manual
Closure request at MSA of dispatch
R_Manual closure recorded
valid
invalid
1
IE880:C_MNC_SUB (optional) _
Figure 14 Excise Officer of MS of Dispatch initiates Manual Closure (Flow 1)
MSA destination application
MSA dispatch application
UC-306-110 Submit Manual
Closure Request
Excise Officer (MS of Destination)
R_Manual closure rejected
UC-306-320 Check Manual
Closure request at MSA of destination
R_Manual closure recorded
valid
invalid
2
UC-306-210 Check Manual
Closure request at MSA of dispatch
IE880:C_MNC_SUB
_xxxx
R_Manual closure
rejected
R_Manual closure
recorded
invalid
valid
IE880:C_MNC_SUB
_xxxx
Figure 15 Excise Officer of MS of Destination requests Manual Closure (Flow 2)
3.4.5 Major event
E_Initiate the manual closure of the movement
Actor: An Excise officer of MSA of Dispatch
Location: MSA of Dispatch
An Excise officer of MSA of Dispatch initiates a manual closure of the movement.
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E_Decide to request the manual closure of the movement
Actor: An Excise officer of MSA of Destination
Location: MSA requesting manual closure premises
An Excise officer of MSA Destination decides to request a manual closure of the movement.
3.4.6 Minor events
None.
3.4.7 Processes
Submit manual closure request Process: UC-306-110
Actor: Excise Officer (of MSA of Dispatch or MSA of Destination)
Location: premises of the MSA of the Excise Officer
Processing mode: Semi-automatic
Constraint: none
Description:
The requestor of the manual closure submits a Manual Closure Request message by giving:
• the ARC of the e-AD to be manually closed;
• the sequence number of the e-AD to be manually closed;
• the reason for requesting the manual closure;
• optionally, any supporting documentation related to manual closure request;
• optionally, for each body record (line) for which an anomaly, shortage or excess has been ascertained:
▪ Reference of the body record of the e-AD
▪ excise product code;
▪ observed shortage (negative value) or excess (positive value) of quantity (expressed in the unit
associated with the product code);
▪ optionally, and if the global indicator is "partially refused", refused quantity concerning the body record
(expressed in the unit associated with the product code);
▪ Complementary Information.
The data is submitted to a formal (local) validation. That validation includes:
• the e-AD exists, it is in accepted, refused, rejected, partially refused or exporting state (it is not possible to
manually close a movement that has any other state);
Note: In cases where the manual closure process is initiated by an Excise Officer at the MSA of Dispatch, then
there is no obligation to submit a IE880:C_MNC_SUB message. In such cases, the process is initiated with UC-
306-230.
Final situation:
• if the manual closure is validated successfully and the manual closure request was initiated at the MSA of
Dispatch, processing continues with UC-306-210;
• if the manual closure is validated successfully and the manual closure request was initiated at the MSA of
Destination, processing continues with UC-306-320;
• else, the rejection of manual closure is notified to the requestor of the manual closure.
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Check manual closure request at MSA of dispatch Process: UC-306-210
Actor: MSA Dispatch application
Location: MSA of dispatch
Processing mode: Automatic
Constraint: none
Description:
The MSA dispatch application receives the submitted manual closure request and submits it to a formal
validation.
Final situation:
• if the manual closure request is found invalid: the application returns an error message to the requestor of the
manual closure;
• else, processing continues at UC-306-230.
Check manual closure request at MSA of destination Process: UC-306-320
Actor: MSA Destination application
Location: MSA of destination
Processing mode: Automatic
Constraint: none
Description:
The MSA destination application receives the submitted manual closure request from the Excise Officer and
submits it to a formal validation.
Final situation:
• if the manual closure request is found invalid: the application returns an error message to the requestor of the
manual closure;
• else, processing continues at UC-306-210.
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Register manual closure at MSA of dispatch Process: UC-306-230
Actor: MSA dispatch application
Location: MSA of dispatch
Processing mode: Semi-automatic
Constraint: none
Description:
The MSA of Dispatch has received a valid (i.e. syntactically and semantically) manual closure request message
(IE880:C_MNC_SUB) from the MSA of Destination or has initiated a Manual Closure.
Note: In cases of Refusal, Partial Refusal or Rejection, i.e. codes '3', '4' or '23' in Global Conclusion Manual
Closure, the follow up would have to be done via other ACO mechanism (e.g. ACO Request/Result) or outside
EMCS.
If the MSA of Dispatch decides to accept a received manual closure request, or initiates a Manual Closure, then
it registers the manual closure by submitting a IE881: C_MNC_RES message. In more details, the MSA of
Dispatch:
• updates the e-AD by changing its state to e-AD Manually Closed;
• builds the Manual Closure Response message (IE881:C_MNC_RES) and sends it to the MSA of Destination
(see UC-306-310) including:
• the ARC of the e-AD to be manually closed (as included in the corresponding request message);
• the sequence number of the e-AD to be manually closed;
• optionally, the date of arrival of goods;
• optionally, the global indicator of receipt;
• the reason for requesting the manual closure;
• the manual closure request set to accepted;
• optionally, any supporting documentation related to manual closure response;
• optionally, for each body record (line) for which an anomaly, shortage or excess has been ascertained:
▪ Reference of the body record of the e-AD
▪ excise product code;
▪ observed shortage (negative value) or excess (positive value) of quantity (expressed in the unit
associated with the product code);
▪ optionally, and if the global indicator is "partially refused", refused quantity concerning the body
record (expressed in the unit associated with the product code);
▪ Complementary information.
• It forwards the message to the consignor.
If the MSA of Dispatch decides to reject a received manual closure request, then it registers the IE881:
C_MNC_RES message with corresponding information. In more details, the MSA of Dispatch:
• does not update the state of the e-AD;
• builds the Manual Closure Response message (IE881:C_MNC_RES) including:
• the ARC of the e-AD to be manually closed (as included in the corresponding request message);
• the sequence number of the e-AD to be manually closed;
• optionally, the date of arrival of goods;
• optionally, the global indicator of receipt;
• the reason for requesting the manual closure;
• the manual closure request set to rejected;
• provides the reason code for the rejection of the manual closure request and complementary text if
applicable;
• optionally, any supporting documentation related to manual closure response;
• optionally, for each body record (line) for which an anomaly, shortage or excess has been ascertained:
▪ Reference of the body record of the e-AD
▪ excise product code;
▪ observed shortage (negative value) or excess (positive value) of quantity (expressed in the unit
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associated with the product code);
▪ optionally, and if the global indicator is "partially refused", refused quantity concerning the body
record (expressed in the unit associated with the product code);
▪ Complementary information.
• If the manual closure requestor was an Excise Officer at MSA of Destination, it forwards the message to the
MSA of Destination (see UC-306-310).
Final situation:
• If the manual closure request is accepted, the e-AD status is updated to “e-AD Manually Closed” and the
manual closure information is disseminated to the involved partners;
• If the manual closure request is rejected, the e-AD status remains unchanged and the manual closure
information is forwarded to the requestor.
Register manual closure at MSA of destination Process: UC-306-310
Actor: MSA destination application
Location: MSA of destination
Processing mode: Automatic
Constraint: none
Description:
The MSA of Destination receives the manual closure response message (IE881:C_MNC_RES) from the MSA
of Dispatch.
If the received manual closure response message concerns an accepted manual closure request (i.e. ‘Manual
Closure Request Accepted set to ‘1’), then:
• MSA of Destination updates the e-AD by changing its state to e-AD Manually Closed;
• Forwards the manual closure response message to the consignee.
• If the initial manual closure requestor was an excise officer at the MS of Destination, informs the
excise officer who requested the manual closure about the acceptance of the manual closure request.
If the consignee is a temporary registered consignee or an exempted consignee, the MSA of destination
determines how he receives back confirmation of the registration of the manual closure request.
If the received manual closure response message concerns a rejected manual closure request (i.e. ‘Manual
Closure Request Accepted’ set to ‘0’), then:
• MSA of Destination does not update the state of the e-AD to e-AD Manually Closed;
• If the initial manual closure requestor was an excise officer at the MS of Destination, informs the
excise officer about the rejection of the manual closure request.
Final situation:
• If the manual closure request is accepted, the e-AD status is updated to “e-AD Manually Closed” and the
manual closure has been forwarded to the consignee and, if applicable, the requestor excise officer at MSA
of Destination is informed;
• If the manual closure request is rejected, the e-AD status remains unchanged and if applicable, the relevant
manual closure requestor (i.e. excise officer at MSA of Destination) is informed.
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3.4.8 Major result
R_Manual closure notified/registered
Actor: all
Location: all
• Manual closure request has been registered; manual closure information is disseminated to all involved
partners
3.4.9 Minor results
R_Manual Closure rejected
Actor: Excise officer
Location: premises of the MSA of the Excise Officer
• the submitted manual closure request has been found formally invalid;
• the requestor of the manual closure is free to re-submit it with corrected information.
R_Manual closure recorded
Actor: MSA application
Location: MSA’s premises
• the submitted manual closure request message has been found formally valid.
R_Manual closure request received
Actor: MSA application
Location: MSA’s premises
• the request for manual closure has been submitted.
3.4.10 Messages
• IE880:C_MNC_SUB Manual Closure Request
• IE881:C_MNC_RES Manual Closure Response
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4 Risk assessment
This chapter is dedicated to one unique use case named Risk Assessment.
Risk Assessment is the central tool that allows an Administration to select particular
movements that meet a given series of criteria.
It consists in applying a series of so-called risk profiles to a given movement and in
validating the suggested consequences
Risk profiles are defined at national level.
A risk profile is composed of:
• an application point, i.e. an event of the life cycle of the movement associated with
the role of the submitting MSA;
• a criterion, i.e. a logical evaluation where some attributes of the considered e-AD are
compared and combined to give an answer (yes or no);
• a resulting action where a message is sent to a national office, possibly suggested to
be sent to the ELO of another Member State.
A risk profile is a logical expression evaluated from the attributes of a given subject,
made of an e-AD and of related objects (such as linked e-ADs and economic operators).
It may be applied at several points in the life cycle of an e-AD and returns a yes/no
answer. If the expression returns a positive result, subsequent actions are suggested such
as raising alerts to different addressees, usually to an office of the applying MSA but
possibly an office of another MSA (most often the ELO).
When the suggested action consists in sending an administrative cooperation message
to another MSA, it has to be submitted to a prior human validation, i.e. the
application can prepare the message and submit it to the competent official but not
send it automatically.
Risk profiles are normally defined as results of Risk Analysis. Risk analysis is a set of
methods applied to detect most likely causes of frauds and of incidents whereas the risk
assessment analyses movement data to detect most sensitive movements.
Common risk profiles may be defined by the competent Committee at European level.
The elaboration procedure is outside the scope of the FESS.
It is recommended that the MSAs define and apply their own national risk profiles to
detect particular movements, possibly resulting in targeted controls.
When the risk assessment raises an alert, the actions triggered differ according to the
calling process.
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4.1 Risk Assessment (UC2.14)
4.1.1 Overview
Each MSA may implement risk assessment on movements of goods under excise duty
suspension arrangements. There is no obligation to do it by computerised means;
however the system specification includes that function.
Three ways to trigger Risk Assessment are proposed to the Member States:
• automatically, each time that the state of a movement changes; according to the role
of the MSA in the operation, the criteria and resulting actions differ; according to the
context (called application point), that way of applying Risk Assessment is either
mandatory or optional;
• in batch mode, for instance daily, for a deeper examination of the movements of
which state changed; according to the role of the MSA in the operation, the criteria
and resulting actions differ;
• manually, an Excise or verification officer submits a given range of movements to
selected profiles; the resulting action being defined by the submitting official.
The risk assessment criteria in each MSA are established and managed by the national
authorities.
4.1.2 Participants, motivations and commitments
MSA
verification
officer
UC2.14-Risk Assessment
spontaneously triggers
MSA application
receives alerts
MSA risk
assessment
addressee automatically performs
Figure 16 Participants of <UC2.14> Risk Assessment
Main actor
• The MSA application
▪ may perform Risk Assessment automatically following a business process
Other actors
• The verification officer (manually) or the business process (automatically)
▪ applies risk profiles and triggers risk assessment for selected e-ADs
• The risk assessment addressee (Excise officer in the MSA of risk assessment)
▪ receives diagnostics or alerts following a positive return of Risk Assessment
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4.1.3 General conditions
Trigger
• upon each event identified as an application point in a business process; or
• in deferred mode (batch), after an event identified as an application point in a
business process has arisen; or
• a verification officer submits a subject of assessment to the risk assessment process
Pre–conditions
• the list of risk profiles applicable in the MSA is identified.
Post–conditions
• the list of actions following the matching Risk Assessment has been identified and is
submitted to human evaluation for further action.
4.1.4 Process flow diagram
MSA risk assessment
addressee
UC-214-210 Perform risk assessment
E_Application point occurs
R_Risk alerts raised
MSA verification officer MSA application
E_Verification officer submits a subject
(Diagnostic)
Figure 17 Risk Assessment – Process flow diagram
4.1.5 Major events
E_Application point conditions occurs
Actor: MSA application
Location: MSA's premises
• an application point requiring immediate risk assessment evaluation arises in an EMCS process; or
• an application point requiring deferred risk assessment evaluation has arisen in an EMCS process, and it is
time to apply batch evaluations.
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4.1.6 Minor events
E_Verification officer submits a subject
Actor: Verification officer
Location: MSA Office
• the Verification Officer selects a subject and submits it to the risk assessment process.
4.1.7 Processes
Perform risk assessment Process: UC-214-210
Actor: MSA application
Location: MSA's premises
Processing mode: Semi-automatic or automatic (according to the case)
Constraint: none
Description:
Upon each event identified as a possible application point, the business process or batch session (automatically)
or the verification officer (manually) submits the subject of assessment to the risk assessment process.
The application selects all risk profiles associated with the application point.
The application evaluates successively each criterion against the subject of the evaluation.
If the requirement is met, the application registers the resulting action but does not trigger processing yet.
After completion of all evaluations, the application synthesises all registered actions into a unique alert per
addressee, who is always an official.
There is no automatic application of the proposed actions. They are submitted first to confirmation by an
official.
Upon that confirmation, the application executes the actions resulting from each profile found matching during
the examination.
Final situation:
• all risk profiles related to the application point have been evaluated; or
• all risk profiles related to the subject have been evaluated.
4.1.8 Major result
R_Risk alerts raised
Actor: Risk Assessment addressee
Location: MSA's premises
• the risk assessment addressee is informed of the suggested actions;
• he is in a position to make the relevant steps.
4.1.9 Minor results
None
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4.1.10 Messages
• Each MSA is responsible of the format of the diagnostic; it may be in particular a
draft or a set of drafts of administrative cooperation message (IE721:C_COO_SUB).
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5 Administrative cooperation
The same mechanisms apply to all cases of administrative cooperation, namely two
types of scenarios:
Spontaneous information
Without being solicited, the issuing MSA sends a message to the addressed MSA
without waiting for any further action; it is up to the addressed MSA to undertake
actions if their own analysis determines so.
The contents of the message may be the summary of a situation or the results of prior
actions that could be of interest for the addressed MSA.
There may be several addressed MSAs to which the issuing MSA sends the same
message.
The issuing MSA may not request feedback from the addressed MSA on the follow up
actions taken based on the input provided.
Request for assistance
The requesting MSA sends a request to a single identified requested MSA with as much
information as possible on a situation and possibly a list of requested actions of which
the results are to be communicated back by a given deadline.
The requested MSA has the opportunity to delay that deadline through an answer
message.
In all cases, the requested MSA is committed to give the results of their actions,
possibly that they could not perform all or part of the requested actions or that they
could not retrieve the requested information.
The requested MSA may request feedback from the requesting MSA on the follow up
action taken based on the results provided, to which the requesting MSA should reply
back by sending the feedback.
If the results are not received back by the deadline, the requesting MSA sends a
reminder to the requested MSA.
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5.1 Administrative cooperation - spontaneous information (UC3.01)
5.1.1 Overview
This use case intends at providing an electronic tool integrated with the core business of
EMCS with the aim to support the provisions of the Regulation.
To that end, Article 3 of the Regulation provides for one central liaison office per
Member State, possibly supplemented by liaison departments with specific
competences. The term ELO designates hereafter any of these authorities, each for its
part of competence.
Upon any event, among which the outcome of risk assessment, the ELO of an issuing
MSA may find it relevant to achieve investigations and/or actions and to send the
results to the ELO of one or several addressed MSAs.
Submission of an administrative cooperation results message is mandatory and shall be
sent to the addressed Member States within seven days of the control (as defined in
Article 10 of Implementing Regulation (EU) 2016/323), where one of the cases referred
to in points (a) to (d) of Article 15(1) of Regulation (EU) No 389/2012 is detected, as a
result of a documentary or physical control of goods, at the premises of a registered
consignee, of a temporary registered consignee or of an authorised warehouse keeper.
No further actions are expected from the addressed MSA(s).
5.1.2 Participants, motivations and commitments
ELO - issuing
MSA UC3.01- Administrative cooperation -
spontaneous information
receives information
ELO – addressed
MSA
performs controls and actions –
sends information
Figure 18 Participants of <UC3.01> Administrative cooperation - spontaneous information
Main actor
• the ELO of the issuing MSA
▪ discovers information worth communicating to one or several other MSAs
▪ decides to undertake controls
▪ sends a message reporting the found information and/or the results of the actions
performed
Other actors
• the ELO of the addressed MSA
▪ receives the information and/or results of the controls performed by the issuing
MSA
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5.1.3 General conditions
Trigger
• the ELO of the issuing MSA has discovered information and/or completed a series of
controls on a particular subject (in particular, but not exclusively, an e-AD)
Pre–conditions
• the relevant information has been collected and is ready to be sent to the addressed
MSA(s)
Post–conditions
• the addressed MSA(s) is(are) informed of the results of actions and controls
completed by the issuing MSA
5.1.4 Process flow diagram
N_TAU_REF Issuing MSA (ELO) Addressed MSA (ELO)
UC-301-110
Prepare results message
UC-301-210
Receive results message
(IE867:C_COO_RES)
E_Significant information or results
R_Results available in the addressed
MSA
For each addressed MSA
Figure 19 Administrative cooperation - spontaneous information – Process flow diagram
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5.1.5 Major event
E_Significant information or results
Actor: ELO of the issuing MSA
Location: premises of the issuing MSA
The actions and controls completed by the issuing MSA have resulted in establishing suspicion or irregularity or
infringement or any other situation considered of interest for the addressed MSA(s)
5.1.6 Minor events
None
5.1.7 Processes
Prepare results message Process: UC-301-110
Actor: ELO of the issuing MSA
Location: premises of the issuing MSA
Processing mode: Semi-automatic
Constraint: none
Description:
The ELO of the issuing MSA summarises their findings into an administrative cooperation results message
(IE867:C_COO_RES). If relevant, they may attach supporting document(s) to the results message.
The message is sent to the competent ELO of the addressed MSA(s).
Final situation:
• the information has been sent to the addressed MSA(s)
Receive results message Process: UC-301-210
Actor: ELO of the addressed MSA
Location: premises of the addressed MSA
Processing mode: Semi-automatic
Constraint: none
Description:
Upon receipt of an unsolicited results message, the ELO of the addressed MSA is free:
• to order further controls; and/or
• to communicate the information to the relevant persons; or
• to keep the information for later use; or
• to simply ignore the information if they judge it irrelevant for them.
Final situation:
• the addressed MSA is informed on anomalies, discrepancies or offences that might impact their Member
State;
• it is in a position to continue exchanges if they find it relevant; these further exchanges may be with or
without support of EMCS.
5.1.8 Major result
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5.1.9 Minor results
None
5.1.10 Messages
• IE867:C_COO_RES Administrative cooperation results
R_Results available in the addressed MSA
Actor: ELO of the addressed MSA
Location: premises of the addressed MSA
The received information is ready to serve for further actions in the addressed MSA.
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5.2 Administrative cooperation - request for assistance (UC3.07)
5.2.1 Overview
This use case intends at providing an electronic tool integrated with the core business of
EMCS with the aim to support the provisions of the Regulation.
To that end, Article 3 of the Regulation provides for one central liaison office per
Member State, possibly supplemented by liaison departments with specific
competences. The term ELO designates hereafter any of these authorities, each for its
part of competence.
Upon any event, among which the outcome of risk assessment, the requesting ELO
prepares a request message describing the subject.
In case of movements under duty suspension, the Requesting MSA is legally obliged
(see Article 25(1) of Regulation (EU) No 389/2012) to consult the concerned movement
information through the use cases (UC3.31 - Download of an e-AD), (UC3.32 - General
query to retrieve an e-AD), (UC3.30 - Manual status request/response) and/or (UC3.31 -
Manual status synchronisation request), prior launching a request via the current
(UC3.07 - Administrative cooperation - request for assistance).
The request message may be initiated automatically on the basis of common criteria. In
all cases a human intervention is required to complete and validate the message and
finally to send the request to the requested ELO.
Upon receipt of the request message, the ELO of the requested MSA is committed to
undertake the requested actions and controls and give back results by the requested
deadline and no later than three months following the date of receipt of the request (see
Article 11(1) of Regulation (EU) No 389/2012). Where the requested MSA is already in
possession of that information, the ELO of the requested MSA ought to provide the
results within one month following the date of receipt of the request (see Article 11(1)
of Regulation (EU) No 389/2012). In certain special categories of cases, different time
limits may be agreed between the requested MSA and the requesting MSA (see Article
11(2) of Regulation (EU) No 389/2012).
However:
• if the ELO of the requested MSA feels the deadline is too short, they may send,
within one month following the date of receipt of the request, an intermediate
message called answer message, where they give a new deadline and their
reasons to delay the results message (see Article 11(3) of Regulation (EU) No
389/2012).
• if the ELO of the requested MSA does not agree with the contents of the request
message, they may send an answer message, mentioning that they refuse or are
not in a position for carrying out the requested controls or actions and/or giving
the requested information, the date of the decision to refuse the request and the
grounds for refusal.
Unless the requested ELO does not agree with the contents of the request message, after
completion of the requested actions and investigations, the requested ELO sends back
the results of actions and controls in a results message.
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The results message does not contain the detailed results of controls, if any are carried
out following the request; it gives only the summary of the results and can be
complemented by a standard control report to which it refers.
Via this results message, the requested ELO may request the requesting ELO to provide
feedback on the follow-up action taken by the requesting MSA, on the basis of the
provided results (see Articles 8(5), 15(2) and 16(2) of Regulation (EU) 389/2012,
Articles 8, 15 and 16). In case such feedback is requested, the requesting ELO shall
send back their feedback as soon as possible via another results message, that shall
include information which is relevant to the requested feedback.
5.2.2 Participants, motivations and commitments
requesting ELO UC3.07 - Administrative cooperation -
request for assistance
needs to consult
requested ELO
builds the results message
Figure 20 Participants of <UC3.07> Administrative cooperation - request for assistance
Main actor
• the ELO of the requesting MSA
▪ requests the requested MSA to perform controls or other actions
▪ receives the results of the controls or actions performed by the requested MSA
▪ if requested, sends to the requested ELO feedback on the follow-up action taken
by the requesting MSA, on the basis of the provided results
Other actors
• the ELO of the requested MSA
▪ is responsible for sending an answer message to the requesting ELO either to
request an extension of time to deliver results or to indicate that they refuse or are
not in a position for carrying out the requested controls or actions and/or giving
the requested information
▪ performs the requested controls and actions
▪ reports the results of the controls and actions performed
▪ possibly requests the requesting ELO to provide feedback on the follow-up action
taken by the requesting MSA, on the basis of the provided results
5.2.3 General conditions
Trigger
• the requesting ELO validated the fact that controls or actions concerning particular
economic operators or movements were necessary in the requested MSA
Pre–conditions
• none.
Post–conditions
• the requesting ELO is informed of the results of actions and controls completed by
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the requested MSA.
• if feedback is requested, the requested ELO receives from the requesting ELO
feedback on the follow-up action taken by the requesting MSA, on the basis of the
provided results.
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5.2.4 Process flow diagram
requesting MSA (ELO) requested MSA (ELO)
UC-307-210
Analyse request (IE721:C_COO_SUB)
UC-307-120
Receive answer message
R_Answer received
UC-307-230
Prepare and send results message
R_Results available in the requesting MSA
UC-307-130
Receive results message
(IE867:C_COO_RES)
E_Information, controls or actions required
UC-307-110
Prepare request message
UC-307-240
Send answer message
UC-307-140 Send feedback
R_Feedback received
IE867:C_COO_RES)
Received results message indicated
that feedback is requested
UC-307-250 Receive feedback
(IE868:C_COO_ANS)
(IE868:C_COO_ANS)
Information not immediately
available
Figure 21 Administrative cooperation - request for assistance – Process flow diagram
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5.2.5 Major event
E_Information, controls or actions required
Actor: ELO of the requesting MSA
Location: premises of the requesting MSA
Upon any event that draws their attention on a particular movement (in particular risk assessment, but possibly
any other information coming from external sources), the ELO of any Member State sends a request message
to another ELO for actions and information on any subject related to given operator(s) or movement(s)
5.2.6 Minor events
None
5.2.7 Processes
Prepare request message Process: UC-307-110
Actor: ELO of the requesting MSA
Location: premises of the requesting MSA
Processing mode: Semi-automatic
Constraint: none
Description:
The requesting ELO creates and fills the request message (IE721:C_COO_SUB).
The request message contains in particular:
• a deadline for the return of results;
• possibly, the identification of one or more movements (ARC);
• possibly, the identification of one or more economic operators (Excise number, VAT number, name…);
• possibly, a warning flag to particularly draw the attention of the requested ELO on the request;
• a possible list of requested actions;
• a free text zone to describe more the request;
• if relevant, a list of supporting documents, at least a reference, possibly either an image attached to the
request or sent by separate fax or mail.
The message is sent to the competent ELO of the requested MSA and the request is stored in the open state.
The requesting MSA application starts a timer TIM_ACO to expire at the expected deadline for receiving back
the results and send a reminder message to the requested MSA through UC3.09.
Final situation:
• the status of the request is set to open;
• the request message is sent to the requested ELO (IE721:C_COO_SUB);
• the requesting ELO is waiting for a results message and optionally for an answer message containing a
request to extend the time limit for sending the results.
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Analyse request Process: UC-307-210
Actor: ELO of the requested MSA
Location: premises of the requested MSA
Processing mode: Semi-automatic
Constraint: none
Description:
Upon receipt of the request message (IE721:C_COO_SUB) the application of the requested MSA stores the
request in the open state. The requested ELO analyses the request and estimates whether it is possible or not to
give the requested information in the time limit given in the request message.
Depending on the outcome of his analysis the following cases exist:
• If the requested ELO agrees with the contents of the request message and feels able to respect the deadline
given in the request message, processing continues with UC-307-230.
• If the requested ELO agrees with the contents of the request message but does not feels able to respect the
deadline given in the request message, they prepare an answer message (IE868:C_COO_ANS) to extend
the time limit for the requested controls. In that case, processing continues with UC-307-240.
• If the requested ELO does not agree with the contents of the request message it prepares an answer message
(IE868:C_COO_ANS) mentioning that it refuses or is not in a position for carrying out the requested
controls or actions and/or giving the requested information (with an identified reason). The answer message
(IE868:C_COO_ANS) is then sent back to the ELO of the requesting MSA. The requested MSA changes
the state of the request from open to closed.
Final situation:
• the requested controls or actions and/or the preparation of the requested information is ongoing and the
request is stored in the open state;or
• the answer information has been sent to the ELO of the requesting MSA and the status of the request is
updated from open to closed.
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Send answer message Process: UC-307-240
Actor: ELO of the requested MSA
Location: premises of the requested MSA
Processing mode: Semi-automatic
Constraint: none
Description:
The process runs each time that the requested ELO extends the time limit for the requested controls. In
particular, in the following cases:
• The requested ELO has received a new request IE721:C_COO_SUB and estimates that it is not possible to
give the requested information in the initial deadline given in the request message IE721:C_COO_SUB;
• The deadline (initial or extended) has expired (TIM_ACO expiration) and the requested ELO has received a
reminder message IE869:C_COO_REM from the requesting MSA through UC3.09.
• The deadline (initial or extended) has not expired and the requested ELO wishes to extend the deadline.
The requested ELO prepares an answer message (IE868:C_COO_ANS) to extend the time limit for the
requested controls and sends it back to the requesting ELO.
The application of the requested MSA changes the state of the request from open or late to extended or retains
the state to extended.
Final situation:
• the requested controls are ongoing; and
• the answer information has been sent to the requesting ELO and the status of the request is updated from
open or late to extended or the status of the request is retained to extended.
Receive answer message Process: UC-307-120
Actor: ELO of the requesting MSA
Location: premises of the requesting MSA
Processing mode: Semi-automatic
Constraint: none
Description:
Upon receipt of the answer message (IE868:C_COO_ANS), the application of the requesting MSA checks the
content of the answer message.
If the answer message (IE868:C_COO_ANS) mentions a refusal of the requested message, the requested MSA
stops the running timer (TIM_ACO) and updates the status of the request from open to closed.
If the answer message mentions a new deadline, the application of the requesting MSA:
• if the timer TIM_ACO has already expired (a reminder message IE869:C_COO_REM has been sent to the
requested MSA through UC3.09), first resets the flag that has been raised locally at expiration time and then
starts the timer TIM_ACO to expire at the new deadline given in the answer message
(IE868:C_COO_ANS);
• if the timer TIM_ACO has not expired (initial or extended) it updates the timer TIM_ACO to expire at the
new deadline given in the answer message (IE868:C_COO_ANS);
• updates the status of the request from open or late to extended or retains the status to extended.
Final situation:
• The requesting office is aware of the terms of the answer message and informed when results information
will come back;
• the timer TIM_ACO is updated if relevant;
• the status of the request is updated from open to closed; or
• the status of the request is updated from open or late to extended or is retained to extended.
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Prepare and send results message Process: UC-307-230
Actor: ELO of the requested MSA
Location: premises of the requested MSA
Processing mode: Semi-automatic
Constraint: none
Description:
The requested ELO is committed to send the results message to a request in the time limit suggested initially by
the requesting ELO or extended by the requested ELO.
The requested ELO prepares the results message on the basis of the checks and investigations they have carried
out.
The results message contains:
• all fields that allow establishing the connection with the request message;
• the nature and results of requested actions, including: ▪ nature of the action (from list of codes);
▪ results of the action (possibly a reason not to perform the action);
• if relevant, additional documents, possibly under the form of an image, attached to the submitted query or
else sent by separate means such as fax or mail;
• possibly, the reference of a supporting control report; in case the results message bears an ARC the ARC in
the supporting control report is the same;
• optional complementary explanations.
• an indicator if feedback (on the follow-up action taken by the requesting MSA) is requested or not requested.
The requested ELO sends the results message to the requesting ELO (IE867:C_COO_RES).
If feedback is requested, the application of the requested MSA changes the state of the request from open,
extended or late to “answered and feedback expected”. Otherwise, the application of the requested MSA
changes the state of the request from open, extended or late to closed.
Final situation:
• the results message (IE867:C_COO_RES) is sent to the requesting ELO;
• the status of the request is updated from open, extended or late to “answered and feedback expected” or to
closed.
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Receive results message Process: UC-307-130
Actor: ELO of the requesting MSA
Location: premises of the requesting MSA
Processing mode: Semi-automatic
Constraint: none
Description:
Upon receipt of the results message (IE867:C_COO_RES), the requesting MSA application:
• if the timer associated with the results message (TIM_ACO) is still running, stops it;
• if the timer TIM_ACO has already expired (a reminder message IE869:C_COO_REM has been sent to the
requested MSA through UC3.09), resets the flag that has been raised locally at expiration time.
• if the results message (IE867:C_COO_RES) indicates that feedback is requested, it changes the request state
from open, extended or late to “answered and feedback expected” and processing continues with (UC-307-
140 – Send feedback). Otherwise, it changes the request state from open, extended or late to “closed”.
The ELO of the requesting MSA is free to undertake additional controls and actions and to continue exchanges.
Final situation:
• the requesting MSA has information and/or the results of actions completed by the requested MSA;
• the status of the request is updated from open, extended or late to “answered and feedback expected” or to
closed;
• the timer TIM_ACO is stopped.
Send feedback Process: UC-307-140
Actor: ELO of the requesting MSA
Location: premises of the requesting MSA
Processing mode: Semi-automatic
Constraint: none
Description:
In order to provide the feedback on the follow-up action(s) taken by the requesting MSA, on the basis of the
results received from the requested ELO (UC-307-130 – Receive results message), the requesting ELO prepares
a message (IE867:C_COO_RES) including information which is relevant to the requested feedback:
• an indicator that feedback is provided;
• the description of any concrete follow-up action(s) taken by the requesting MSA, on the basis of the results
received from the requested ELO; and/or
• the information about how relevant are considered by the requesting MSA, the results received from the
requested ELO.
Finally, the application of the requesting MSA changes the state of the request from “answered and feedback
expected” to “closed”.
Final situation:
• the feedback (IE867:C_COO_RES) has been sent to the requested ELO.
• the status of the request is updated from “answered and feedback expected” to “closed”;
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Receive feedback Process: UC-307-250
Actor: ELO of the requested MSA
Location: premises of the requested MSA
Processing mode: Semi-automatic
Constraint: none
Description:
Upon receipt of the feedback (IE867:C_COO_RES), the requested MSA application updates the status of the
request from “answered and feedback expected” to “closed”.
Final situation:
• The feedback (IE867:C_COO_RES) has been received by the requested ELO.
• The status of the request is updated to “closed”
5.2.8 Major result
R_Results available in the requesting MSA
Actor: ELO of the requesting MSA
Location: premises of the requesting MSA
• The results of the controls are available to the requesting MSA, ready to serve for further actions
• If requested, it provides feedback to the requested MSA.
5.2.9 Minor results
R_Answer received
Actor: ELO of the requesting MSA
Location: premises of the requesting MSA
The requesting ELO is informed that a delay has been requested and of the reasons for extending the deadline.
R_Feedback received
Actor: ELO of the requested MSA
Location: premises of the requested MSA
• The requested ELO is informed about the follow-up actions taken by the requesting MSA, on the basis of
the results received; and/or
• The requested ELO is informed about how relevant are considered by the requesting MSA, the results
received from the requested ELO.
5.2.10 Messages
• IE721:C_COO_SUB Administrative cooperation common request
• IE868:C_COO_ANS Answer message
• IE867:C_COO_RES Administrative cooperation results
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5.3 Administrative cooperation - deadline for results (UC3.09)
5.3.1 Overview
The requested ELO is committed to send the results to an administrative cooperation
request (IE721:C_COO_SUB) in the time limit suggested initially by the requesting
ELO in the request or extended by the requested ELO in an answer message
(IE868:C_COO_ANS).
This use case provides the requesting Member State with a help to control that the
expected results have been received in due time.
Initially, when sending the request message, the application of the MSA of the
requesting ELO has started a timer TIM_ACO to expire at the expected deadline for
sending back the results message. If the requested ELO has sent an answer message to
extend the deadline for the results, the application of the MSA of the requesting ELO
has updated the timer TIM_ACO to expire at the new deadline.
This Use Case addresses the case where this timer expires before the results message is
received back from the requested ELO; in that case, the requested MSA application
sends a reminder message to the requested ELO.
5.3.2 Participants, motivations and commitments
ELO requested
MSA UC3.09-Administrative cooperation -
deadline for results
detects delay is reminded that results
are still awaited Requesting MSA
application
Figure 22 Participants of <UC3.09> Administrative cooperation - deadline for results
Main actor
• the requesting MSA application
▪ detects that a results message was not sent back in due time
▪ reminds the ELO of the requested MSA that results are being expected
Other actors
• the ELO of the requested MSA
▪ is committed to reply by a results message or an answer message for extending
the deadline (under Use Case 3.07 - Administrative cooperation - Request for
assistance)
5.3.3 General conditions
Trigger
• the time limit of a timer (TIM_ACO) expires
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Pre–conditions
• none.
Post–conditions
• the ELO of the requested MSA is reminded that they have to send their results
5.3.4 Process flow diagram
MSA dispatch application ELO of the addressed MSA
UC-309-110 Process expiry of
timer
UC-309-210
Process reminder message
(IE869:C_COO_REM)
E_Timer for feedback expires
R_addressed ELO received reminder message
Figure 23 Administrative cooperation - deadline for results – Process flow diagram
5.3.5 Major event
E_Timer for results expires
Actor: requesting MSA application
Location: premises of the requesting MSA
The time limit of timer TIM_ACO expires.
5.3.6 Minor events
None
5.3.7 Processes
Process expiry of timer Process: UC-309-110
Actor: requesting MSA application
Location: premises of the requesting MSA
Processing mode: Automatic
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Constraint: the results have not been received
Description:
Upon expiry of a timer or type TIM_ACO, the application creates a reminder message (IE869:C_COO_REM)
and sends it to the requested MSA.
The state of the request is updated from open or extended to late.
Final situation:
• the reminding information has been sent to the requested MSA;
• the status of the request is updated from open or extended to late.
Process reminder message Process: UC-309-210
Actor: ELO of the requested MSA
Location: premises of the requested MSA
Constraint: none
Description:
Upon receipt of the reminder the state of the request is changed from open or extended to late. The reminder
message is directed to the competent ELO of the requested MSA for further action.
Final situation:
• the ELO of the requested MSA is reminded of their commitment;
• the status of the request is updated from open or extended to late.
5.3.8 Major result
R_ Requested ELO received reminder message
Actor: ELO of the requested MSA
Location: premises of the requested MSA
The ELO of the requested MSA is reminded that the results are expected. They are expected to send the results
or extend the deadline by sending an answer
5.3.9 Minor results
None
5.3.10 Messages
• IE869:C_COO_REM reminder message for administrative cooperation
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6 Access to the history of movements
A Member State is entitled to request from another Member State the history of data for
administrative cooperation exchanges pertaining to a given movement that started
during the current year or during the five preceding years. Reasons are presently
identified: either to re-open a file concerning claims on duties that had been paid but of
which the actual basis (and place) was established late, or for Risk Analysis purpose.
Each Member State shall keep the information concerning movements of excise goods
within the Union and the records contained in the national registers referred to in Article
19 of the Council Regulation (EC) No 389/2012, for at least five years from the end of
the calendar year in which the movement began. That period may be limited to three
years with respect to information entered into the national registers before 1 July 2012.
Each Member shall ensure that information collected through the system shall be kept in
the system in a way that makes it possible to retrieve and to further process that
information within the system, in response to a history request for administrative
cooperation exchanges (and any other request for information referred to in Article 8 of
the Council Regulation (EC) No 389/2012).
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6.1 Request for history information (UC3.29)
6.1.1 Overview
An MSA is allowed to request from another MSA communication of the history
concerning administrative cooperation exchanges of identified movements, for risk
analysis or particular investigations. The access to this historical data is only achieved
through an ELO to ELO request and never by direct connection.
The requests for history information to other Member States concerning administrative
cooperation exchanges pertaining to a given movement should be limited to particular
history cases and are not expected to be frequent.
The requesting ELO prepares a request message for requesting the history concerning
administrative cooperation exchanges of an identified movement.
Upon receipt of the request message, the ELO of the requested MSA is committed to
send the history results concerning administrative cooperation exchanges of the
identified movement, by the requested deadline and no later than three months
following the date of receipt of the request (see Article 11(1) of Regulation (EU) No
389/2012). Where the requested MSA is already in possession of that information, the
ELO of the requested MSA ought to provide the history results within one month
following the date of receipt of the request (see Article 11(1) of Regulation (EU) No
389/2012). In certain special categories of cases, different time limits may be agreed
between the requested MSA and the requesting MSA (see Article 11(2) of Regulation
(EU) No 389/2012). However, if the ELO of the requested MSA feels the deadline too
short, they may send, within one month following the date of receipt of the request, an
intermediate message called answer message, where they give a new deadline and their
reasons to delay the history results message (see Article 11(3) of Regulation (EU) No
389/2012).
After retrieval and consultation, the requesting MSA freely determines whether
retrieved data will be locally kept or purged. This is considered outside EMCS.
Cross-consultation of movement data other than the administrative cooperation
exchanges (i.e. any document referred to in Annex I to Regulation (EC) No 684/2009,
any control report and any event report for an identified movement) is possible through
UC3.31 - Download of an e-AD.
Storage, archive and retrieval of invalid or rejected messages
There is no obligation for the Member States to store and archive messages that were
rejected due to a syntactic error. However, when technically possible (e.g. valid IT
structure and format), rejected messages might represent decisions of Member States
Administration and should be stored and archived in the same way as valid messages. In
particular, the information concerning movements of excise goods should be stored and
archived for the same duration as valid messages. Rejected messages do not have be
automatically retrievable (i.e. they could be retrieved only via an ACO request).
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6.1.2 Participants, motivations and commitments
requesting ELO UC3.29-Request for history
information
needs to retrieve offline
information
requested ELO
builds the history message
Figure 24 Participants of <UC3.29>Request for history information
Main actor
• the requesting ELO
▪ is entitled to request history data to another ELO
▪ is responsible for giving a reason for requesting the considered object
Other actors
• the requested ELO
▪ is responsible for sending an answer message either to request an extension of
time to deliver information or to indicate that the queried history data is no longer
possible
▪ is entitled to deliver the queried history data
6.1.3 General conditions
Trigger
• the requesting ELO need to access history information concerning administrative
cooperation exchanges of an identified movement at the MSA that initially registered
the operator or the movement
Pre–conditions
• none
Post–conditions
• the requesting ELO has received an history message, with or without the data
requested
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6.1.4 Process flow diagram
requesting MSA (ELO) requested MSA (ELO)
UC-329-210
Analyse query (IE721:C_COO_SUB)
UC-329-120
Analyse history answer message
request message
R_Answer conditions received
UC-329-220
Prepare history results message
R_Results available at the requesting MSA
UC-329-130
Receive history results message
(IE820:C_HIM_RES)
(IE868:C_COO_ANS)
(Implicit agreement)
E_Requests history data
UC-329-110
Prepare history request message
UC-329-230
Send answer message
(IE868:C_COO_ANS)
Figure 25 Request for history information – Process flow diagram
6.1.5 Major event
E_Requests history data
Actor: requesting ELO
Location: premises of the requesting MSA
the requesting ELO needs to consult historical data concerning administrative cooperation exchanges of an
identified movement for consultation
6.1.6 Minor events
None.
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6.1.7 Processes
Prepare history request message Process: UC-329-110
Actor: requesting ELO
Location: premises of the requesting MSA
Processing mode: Semi-automatic
Constraint: none
Description:
The requesting ELO creates and fills a common request message (IE721:C_COO_SUB) of type “Request for
history”.
The common request message contains:
• a deadline for the return of results;
• ARC of the e-AD history to be consulted;
• scope of the request, allowing to focus on one of the following: ▪ applicable data at a given date;
▪ history of data since a given date;
▪ complete history of data;
• reason for querying the considered object.
The ELO of the requesting MSA sends the history request message (IE721:C_COO_SUB) to the ELO of the
MSA that initially registered the operator or the movement. This is always the Member State of which the code
appears in the identity of the queried object.
The requesting MSA application stores the request in the open state.
The requesting MSA application starts a timer TIM_HIS to expire at the expected deadline for sending back the
results of the consultation.
The duration of the timer is determined by the requesting MSA.
Final situation:
• the status of the request is set to open;
• the history query message is sent to the requested ELO (IE721:C_COO_SUB);
• the requesting ELO is waiting for a results message and optionally an answer message containing a request
to extend the time limit for sending the results.
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Analyse query Process: UC-329-210
Actor: requested ELO
Location: premises of the requested MSA
Processing mode: Semi-automatic
Constraint: none
Description:
Upon receipt of the request message (IE721:C_COO_SUB) the application of the requested MSA stores the
request in the open state. The ELO of the requested MSA analyses the request and estimates whether it is
possible or not to give the requested information and in the time limit indicated in the history request message.
Depending on the outcome of his analysis the following cases exist:
• If the requested ELO agrees with the contents of the history request message and the requested deadline for
results, this agreement is implicit; processing directly follows with UC-329-220; or
• If the requested ELO agrees with the contents of the history request message but does not feels able to
respect the deadline given in the request message, they prepare an answer message (IE868:C_COO_ANS) to
extend the time limit for giving the requested information. In that case, processing continues with UC-329-
230; or
• If the requested ELO does not agree with the contents of the history request message it prepares an answer
message (IE868:C_COO_ANS) mentioning that it refuses or is not in a position for giving the requested
information (with an identified reason). The answer message (IE868:C_COO_ANS) is then sent back to the
ELO of the requesting MSA. The requested MSA changes the state of the request from open to closed.
Final situation:
• the preparation of the requested information is ongoing and the status of the request is open; or
• the answer information has been sent to the ELO of the requesting MSA and the status of the request is
updated from open to closed.
Send answer message Process: UC-329-230
Actor: ELO of the requested MSA
Location: premises of the requested MSA
Processing mode: Semi-automatic
Constraint: none
Description:
The process runs each time that the requested ELO wants to extend the time limit for the requested information.
In particular, in the following cases:
• The requested ELO has received a new history request and estimates that it is not possible to give the
requested information in the initial deadline given in the history request message IE721:C_COO_SUB;
• The deadline (initial or extended) has expired (TIM_HIS expiration) and the requested ELO has received a
reminder message IE869:C_COO_REM from the requesting MSA through UC3.29.
The requested ELO prepares an answer message (IE868:C_COO_ANS) to extend the time limit for giving the
requested information and sends it back to the requesting ELO.
The application of the requested MSA changes the state of the request from open or late to extended.
Final situation:
• the preparation of the requested information is ongoing; and
• the answer information has been sent to the requesting ELO and the status of the request is updated from
open or late to extended.
Analyse history answer message Process: UC-329-120
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Actor: requesting ELO
Location: premises of the requesting MSA
Processing mode: Semi-automatic
Constraint: none
Description:
Upon receipt of the answer message (IE868:C_COO_ANS), the requesting MSA application presents the
answer message to the requesting office.
The ELO of the requesting MSA analyses the answer message.
If the answer message (IE868:C_COO_ANS) mentions a refusal or unavailability of the requested history
message, the requested MSA stops the running timer (TIM_HIS) and updates the status of the request from open
to closed.
If the answer message mentions a new deadline, the application of the requesting MSA:
• if the timer TIM_HIS has already expired (a reminder message IE869:C_COO_REM has been sent to the
requested MSA through UC3.29), first resets the flag that has been raised locally at expiration time and then
starts the timer TIM_HIS to expire at the new deadline given in the answer message (IE868:C_COO_ANS);
• if the timer TIM_HIS has not expired it updates the timer TIM_HIS to expire at the new deadline given in
the answer message (IE868:C_COO_ANS);
• updates the status of the request from open or late to extended.
Final situation:
• the requesting MSA is informed about the new time limit;
• the timer TIM_HIS is updated if relevant;
• the status of the request is updated from open to closed; or
• the status of the request is updated from open or late to extended.
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Prepare history results message Process: UC-329-220
Actor: requested ELO
Location: premises of the requested MSA
Processing mode: Semi-automatic
Constraint: the requested ELO accepts to perform the consultation
Description:
The requested ELO consults historical information concerning administrative cooperation exchanges of an
identified movement to prepare the history results message (IE820:C_HIM_RES). They consult and possibly
filter that result before returning it back to the requesting ELO. If some information was filtered out, this must
be explicitly specified.
If consultation necessitates an additional delay, the requested ELO decides to send back immediately the
available information and to announce complementary information later. In that case, the requested ELO sends
back later complementary results with consequent results messages (IE820:C_HIM_RES). The submission of
the complementary information starts from (UC-329-220– Prepare history results message) with the creation of
a results message (IE820:C_HIM_RES).
The history results message contains:
• all fields constituting the heading of a follow-up message: ▪ a unique identity, made of:
❖ the code of the issuing MS;
❖ four digits representing the year; and
❖ a (possibly sequential) four-digits number; ▪ the identity of the sender ( code of the MSA);
▪ the identity of the addressee, under the same form as above;
▪ the date and time of issuing the message;
•
• an indication whether complementary information will be sent later;
• if applicable, an indication that part of the returned information was filtered out;
• the information answering to the request, if any, under the form of: ▪ an indicator that no information was found; or ▪ The matching data can be:
❖ any IE721 message concerning the requested ARC but only with <Request Type> = "1: Administrative cooperation";
❖ any IE867 message concerning the requested ARC which might either represent ACO Results or Spontaneous Information”.
The requested ELO sends the history results message (IE820:C_HIM_RES) to the requesting ELO.
If the history results message (IE820:C_HIM_RES) indicates that complementary information will be sent later
the requested MSA application updates the status of the request from open, extended, late or partially answered
to partially answered otherwise it updates the status of the request from open, extended, late or partially
answered to closed which is a final state.
Final situation:
• the history results message (IE820:C_HIM_RES) is sent to the requesting ELO;
• the status of the request is updated from open, extended, late or partially answered to either partially
answered or closed.
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Receive history results message Process: UC-329-130
Actor: requesting ELO
Location: premises of the requesting MSA
Processing mode: Semi-automatic
Constraint: none
Description:
Upon receipt of the history results message (IE820:C_HIM_RES), the requesting MSA application:
• if it is still running, stops the timer associated with the results message (TIM_HIS);
• stores the received information according to national provisions;
• informs the requesting office that information is now available (or that it could not be retrieved);
• if the timer TIM_HIS has already expired (a reminder message IE869:C_COO_REM has been sent to the
requested MSA through UC3.14), resets the flag that has been raised locally at expiration time;
• if the history results message (IE820:C_HIM_RES) indicates that complementary information will be sent
later updates the request state from open, extended, late or partially answered to partially answered
otherwise it updates the request state from open, extended, late or partially answered to closed.
Final situation:
• the requesting MSA has all information available on the queried movement;
• the timer TIM_HIS is stopped;
• the status of the request is either partially answered or closed.
6.1.8 Major result
R_Results available at the requesting MSA
Actor: requesting ELO
Location: premises of the requesting MSA
the information is available at the requesting MSA
6.1.9 Minor results
6.1.10 Messages
• IE721:C_COO_SUB administrative cooperation common request
• IE820:C_HIM_RES history results
• IE868:C_COO_ANS answer message
R_Answer conditions received
Actor: requesting ELO
Location: premises of the requesting MSA
The ELO of the requesting MSA is informed with the terms of the answer message sent by the ELO of the
requested MSA (in particular with the extension of deadline)
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6.2 History - deadline for results (UC3.14)
6.2.1 Overview
The requested ELO is committed to send the requested information to a movement
history request (IE721:C_COO_SUB) in the time limit suggested initially by the
requesting ELO in the request or extended by the requested ELO in an answer message
(IE868:C_COO_ANS).
This use case provides a requesting Member State with a help to control that the
expected results has been received in due time.
Initially, when sending a history query message, the application of the MSA of the
requesting ELO has started a timer TIM_HIS to expire at the expected deadline for
sending back the results message. If the requested ELO has sent an answer message to
extend the deadline for giving the requested information, the application of the MSA of
the requesting ELO has updated the timer TIM_HIS to expire at the new deadline.
This Use Case addresses the case where this timer expires before the results message is
received back from the requested ELO. In that case, the requesting MSA application
sends a reminder message to the requested ELO.
6.2.2 Participants, motivations and commitments
UC3.14-History - deadline for
results
detects delay
requested ELO
Is reminded that results
are awaited requesting MSA
application
Figure 26 Participants of <UC3.14> History - deadline for results
Main actor
• requesting MSA application
▪ detects that a results message was not sent back in due time
▪ reminds the requested ELO that the results message is being expected
Other actors
• requested ELO
▪ is reminded that history results are still expected at the deadline;
▪ is committed to reply by a results message or an answer message for extending
the deadline (under Use Case 3.29 - Request for history information)
6.2.3 General conditions
Trigger
• the time limit for timer expires
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Pre–conditions
• none
Post–conditions
• the requested ELO is reminded to send results
6.2.4 Process flow diagram
requesting MSA application requested MSA application
UC-314-110 Expiry of timer
UC-314-210
Receive reminder message
(IE869:C_COO_REM)
E_Timer for results expires
R_Addressed ELO received reminder message
Figure 27 History - deadline for results – Process flow diagram
6.2.5 Major event
E_Timer for results expires
Actor: requesting MSA application
Location: premises of the MSA of requesting ELO
the time limit of timer (TIM_HIS) expires
6.2.6 Minor events
none
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6.2.7 Processes
Expiry of timer Process: UC-314-110
Actor: requesting MSA application
Location: premises of the MSA of requesting ELO
Processing mode: Automatic
Constraint: the results have not been received
Description:
The application creates a reminder message (IE869:C_COO_REM). It sends it to the requested ELO.
The status of the request is updated from open or extended to late.
Final situation:
• the reminder message is sent to the requested MSA application;
• the status of the request is updated from open or extended to late.
Receive reminder message Process: UC-314-210
Actor: requested MSA application
Location: premises of the MSA of requested ELO
Processing mode: Automatic
Constraint: none
Description:
Upon reception of the reminder, the state of the request is changed from open or extended to late. The reminder
message is directed to the requested ELO for further action.
Final situation:
• the requested ELO is reminded of their commitment;
• the status of the request is updated from open or extended to late.
6.2.8 Major result
R_Requested ELO received reminder message
Actor: ELO of the requested MSA
Location: premises of the MSA of requested ELO
The requested ELO is reminded that history results are expected or extend the deadline by sending an answer
6.2.9 Minor results
none
6.2.10 Messages
• IE869:C_COO_REM reminder message for administrative cooperation
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7 Movement Verification for Duty Paid Movements
The Movement Verification System (MVS) was initially employed in paper form and
later on it was advanced to e-forms MVS. In its initial form it has served as an
administrative tool for the verification of excise goods moved under excise duty
suspension or duty-paid arrangements.
The EMCS functionality in Section IV of FESS provides for the administrative
cooperation concerning excise goods moving under excise duty suspension
arrangements. The MVS is now integrated into EMCS enabling the electronic exchange
of information for the verification of duty paid B2B movements, duty paid B2C
movements and any undocumented movements (i.e. movements using a non-European
Union standard document).
Duty paid B2B movements refer to excise goods that have been released for
consumption (excise duty has been paid) in a Member State and may be moved within
the same MSA or to another MSA for consumption to that other Member State.
According to Articles 33(1) and 34(1) of Directive 2008/118/EC the movement of these
excise goods shall be accompanied by a paper administrative document containing the
main information of the e-AD. This accompanying document is referred to as the
simplified accompanying document or SAAD.
Duty paid B2C movements refer to excise goods that have been released for
consumption (excise duty has been paid) in a Member State and are sold and delivered
(by the vendor or on his behalf) to private individuals established in another Member
State where the excise duty becomes due (Article 36 of Directive 2008/118/EC). A
typical example of distance selling in Excise is the selling of excise goods through the
Internet.
Undocumented movements refer to excise goods that are moved using a non-European
Union standard document (e.g. excise goods discovered without documentation or
authorisation).
The Movement Verification System (MVS) is an administrative tool for the verification
of duty paid B2B movements, duty paid B2C movements and any undocumented
movements (i.e. movements using a non-European Union standard document). The
MVS is particularly useful in verifying the movement of excise goods to another MSA
for commercial purposes/private individuals, giving rise to the reimbursement of the
excise duty at the MSA where they were initially released for consumption.
The same mechanisms apply to all cases of movement verification for duty paid B2B
movements, duty paid B2C movements or undocumented movements (i.e. movements
using a non-European Union standard document), namely two types of scenarios:
Spontaneous information
Without being solicited, the issuing MSA sends a message to the addressed MSA
without waiting for any further action; it is up to the addressed MSA to undertake
actions if their own analysis determines so.
The contents of the message may be the summary of a situation or the results of prior
actions that could be of interest for the addressed MSA.
There may be several addressed MSAs to which the issuing MSA sends the same
message.
The issuing MSA may not request feedback from the addressed MSA on the follow up
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actions taken based on the input provided.
Request
The requesting MSA sends a request to a single identified requested MSA with as much
information as possible on a situation and possibly a list of requested actions of which
the results are to be communicated back by a given deadline.
The requested MSA has the opportunity to delay that deadline through an answer
message.
In all cases, the requested MSA is committed to give the results of their actions,
possibly that they could not perform all or part of the requested actions or that they
could not retrieve the requested information.
The requested MSA may request feedback from the requesting MSA on the follow up
action taken based on the results provided, to which the requesting MSA should reply
back by sending the feedback.
If the results are not received back by the deadline, the requesting MSA sends a
reminder to the requested MSA.
7.1 Movement Verification – Request (UC3.15)
7.1.1 Overview
The requesting ELO prepares a request message indicating the requested verifications
for specific movements (i.e. duty paid B2B movements, duty paid B2C movements
and/or any undocumented movements) or for the flow of goods between two traders.
The request message is validated and then sent to the requested ELO.
Upon receipt of the request message, the ELO of the requested MSA is committed to
undertake the requested actions and controls and give back results by the requested
deadline and no later than three months following the date of receipt of the request (see
Article 11(1) of Regulation (EU) No 389/2012). Where the requested MSA is already in
possession of that information, the ELO of the requested MSA ought to provide the
results within one month following the date of receipt of the request (see Article 11(1)
of Regulation (EU) No 389/2012). In certain special categories of cases, different time
limits may be agreed between the requested MSA and the requesting MSA (see Article
11(2) of Regulation (EU) No 389/2012). However:
• if the ELO of the requested MSA feels the deadline is too short, they may send,
within one month following the date of receipt of the request, an intermediate
message called answer message, where they give a new deadline and their
reasons to delay the results message (see Article 11(3) of Regulation (EU) No
389/2012); or
• if the ELO of the requested MSA does not agree with the contents of the request
message, they may send an answer message, mentioning that they refuse or are
not in a position for carrying out the requested controls or actions and/or giving
the requested information, the date of the decision to refuse the request and the
grounds for refusal.
After completion of the requested actions and investigations, the requested ELO sends
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back the results of actions and controls in a results message. There is no obligation to
complete the requested actions but a results message is mandatory.
Via this results message, the requested ELO may request the requesting ELO to provide
feedback on the follow-up action taken by the requesting MSA, on the basis of the
provided results (see Articles 8(5), 15(2) and 16(2) of Regulation (EU) 389/2012,
Articles 8, 15 and 16). In case such feedback is requested, the requesting ELO shall
send back their feedback as soon as possible via another results message, that shall
include information which is relevant to the requested feedback.
7.1.2 Participants, motivations and commitments
requesting ELO UC3.15 - Movement Verification –
Request/Reply
needs to consult
requested ELO
builds the results message
Figure 28 Participants of <UC3.15> Movement Verification – Request
Main actor
• the ELO of the requesting MSA
▪ requests the requested MSA to perform verifications on duty paid B2B movements,
duty paid B2C movements and/or any undocumented movements
▪ receives the results for the requested verifications from the requested MSA
▪ if requested, sends to the requested ELO feedback on the follow-up action taken
by the requesting MSA, on the basis of the provided results
Other actors
• the ELO of the requested MSA
▪ is responsible for sending an answer message to the requesting ELO either to
request an extension of time to deliver results or to indicate that they refuse or are
not in a position for carrying out the requested controls or actions and/or giving
the requested information
▪ performs the necessary actions for the requested verifications
▪ replies with the results for the requested verifications
▪ possibly requests the requesting ELO to provide feedback on the follow-up action
taken by the requesting MSA, on the basis of the provided results.
7.1.3 General conditions
Trigger
• the requesting ELO validated the fact that controls or actions concerning particular
economic operators or movements were necessary in the requested MSA
Pre–conditions
• None.
Post–conditions
• the requesting ELO is informed of the results of actions and controls completed by
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the requested MSA.
• if feedback is requested, the requested ELO receives from the requesting ELO
feedback on the follow-up action taken by the requesting MSA, on the basis of the
provided results.
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7.1.4 Process flow diagram
requesting MSA (ELO) requested MSA (ELO)
UC-315-210 Analyse request
(IE722:C_MVS_SUB)
UC-315-120
Receive deadline report
R_Answer received
UC-315-230
Prepare and send results message
R_Results available in the requesting MSA
UC-315-130
Receive reply message
(IE725:C_MVS_RES)
(IE723:C_MVS_ANS)
E_Information, verification of a duty-paid movement is required
UC-315-110
Prepare request message
Requested verifications cannot be
performed at all or
not within the given deadline
UC-315-140 Send feedback
R_Feedback received
IE725: C_MVS_RES)
Received results message indicated
that feedback is requested
UC-315-250 Receive feedback
Figure 29 Movement Verification - request – Process flow diagram
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7.1.5 Major event
E_Information, verification of a movement (i.e. duty paid B2B movement, duty paid B2C movement
and/or any undocumented movement) is required
Actor: ELO of the requesting MSA
Location: premises of the requesting MSA
Upon any event that draws their attention on a particular movement (in particular risk assessment, but possibly
any other information coming from external sources), the ELO of any Member State sends a request message
to another ELO for actions and information on any subject related to given operator(s) or movement(s) (i.e.
duty paid B2B movement(s), duty paid B2C movement(s) and/or any undocumented movement(s)).
7.1.6 Minor events
None.
7.1.7 Processes
Prepare request message Process: UC-315-110
Actor: ELO of the requesting MSA
Location: premises of the requesting MSA
Processing mode: Semi-automatic
Constraint: none
Description:
The requesting ELO creates and fills the request message (IE722:C_MVS_SUB).
The request message contains in particular:
• information for the requesting MSA and the requesting authority;
• contact information;
• an indication if the verification request concerns flow of goods or specific movements;
• a deadline for the return of results;
• if the request concerns specific movements, the type (e.g. SAAD), reference number and possibly an image
of the documents accompanying the movements;
• the name and address of the Consignor and the Consignee (including their Excise Number if they are
registered in SEED);
• the grounds for the request;
• one or more of predefined verification actions;
• if relevant, a list of supporting documents, at least a reference, type, possibly either an image attached to the
request or sent by separate fax or mail.
The message is sent to the competent ELO of the requested MSA and the request is stored in the open state.
The requesting MSA application starts a timer TIM_MVS to expire at the expected deadline for receiving back
the results and send a reminder message to the requested MSA through UC3.16.
Final situation:
• the status of the request is set to open;
• the request message (IE722:C_MVS_SUB) is sent to the requested ELO;
• the requesting ELO is waiting for the results or a request to extend the time limit for sending the results
(answer).
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Analyse request Process: UC-315-210
Actor: ELO of the requested MSA
Location: premises of the requested MSA
Processing mode: Semi-automatic
Constraint: none
Description:
Upon receipt of the request message (IE722:C_MVS_SUB) the application of the requested MSA stores the
request in the open state. The requested ELO analyses the request and estimates whether it is possible or not to
give the requested information in the time limit given in the request message.
• If the requested ELO agrees with the contents of the request message and feels able to respect the
deadline given in the request message, processing continues with UC-315-230.
• If the requested ELO agrees with the contents of the request message but does not feel able to respect
the deadline (initial or extended) for providing the results to the request message, they prepare an
answer message (IE723:C_MVS_ANS) to extend the time limit for the requested actions. An answer
message (IE723:C_MVS_ANS) can also be sent in case the deadline (initial or extended) has expired
(TIM_MVS expiration) and the requested ELO has received a reminder message IE724:C_MVS_REM
from the requesting MSA through UC3.16. In any of the aforementioned cases, the application of the
requested MSA changes the state of the request from open or late to extended or retains the state to
extended.
• If the requested ELO does not agree with the contents of the request message it prepares an answer
message (IE723:C_MVS_ANS) mentioning that it refuses or is not in a position for carrying out the
requested controls or actions and/or giving the requested information (with an identified reason). The
answer message (IE723:C_MVS_ANS) is then sent back to the ELO of the requesting MSA. The
requested MSA changes the state of the request from open to closed.
Final situation:
•
• the requested controls are ongoing; and the request is stored in the open or extended state;or
• the answer information has been sent to the requesting ELO and the status of the request is updated from
open to closed.
Receive answer message Process: UC-315-120
Actor: ELO of the requesting MSA
Location: premises of the requesting MSA
Processing mode: Semi-automatic
Constraint: none
Description:
Upon receipt of the answer message (IE723:C_MVS_ANS), the application of the requesting MSA checks the
content of the answer message.
If the answer message ( IE723:C_MVS_ANS) mentions a refusal of the requested message, the requested MSA
stops the running timer (TIM_MVS) and updates the status of the request from open to closed.
If the answer message mentions a new deadline, the application of the requesting MSA:
• if the timer TIM_MVS has already expired (a reminder message IE724:C_MVS_REM has been sent to the
requested MSA through UC3.16), first resets the flag that has been raised locally at expiration time and then
starts the timer TIM_MVS to expire at the new deadline given in the answer message
(IE723:C_MVS_ANS);
• if the timer TIM_MVS has not expired it updates the timer TIM_MVS to expire at the new deadline given
in the answer message (IE723:C_MVS_ANS);
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• updates the status of the request from open or late to extended or retains the status to extended.
Final situation:
• The requesting office is aware of the terms of the answer message and informed when results information
will come back;
• the timer TIM_MVS is updated if relevant;
• the status of the request is updated from open to closed; or
• the status of the request is updated from open or late to extended or is retained to extended.
Prepare and send results message Process: UC-315-230
Actor: ELO of the requested MSA
Location: premises of the requested MSA
Processing mode: Semi-automatic
Constraint: none
Description:
The requested ELO is committed to send the results message to a request in the time limit suggested initially by
the requesting ELO or extended by the requested ELO.
The requested ELO prepares a results message IE725:C_MVS_RES on the basis of the checks and
investigations they have carried out.
The results message IE725:C_MVS_RES contains the following:
• for each requested verification an indication for the result: ▪ confirmed;
▪ not confirmed; ▪ not checked.
• if relevant, additional documents, possibly under the form of an image, attached to the results message.
• an indicator if feedback (on the follow-up action taken by the requesting MSA) is requested or not requested.
The requested ELO sends the results message to the requesting ELO (IE725:C_MVS_RES).
If feedback is requested, the application of the requested MSA changes the state of the request from open,
extended or late to “answered and feedback expected”. Otherwise, the application of the requested MSA
changes the state of the request from open, extended or late to closed.
Final situation:
• the results message (IE725:C_MVS_RES) is sent to the requesting ELO;
• the status of the request is updated from open, extended or late to “answered and feedback expected” or to
closed.
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Receive results message Process: UC-315-130
Actor: ELO of the requesting MSA
Location: premises of the requesting MSA
Processing mode: Semi-automatic
Constraint: none
Description:
Upon receipt of the results message (IE725:C_MVS_RES), the requesting MSA application:
• if the timer associated with the results message (TIM_MVS) is still running, stops it;
• if the timer TIM_MVS has already expired (a reminder IE723:C_MVS_REM has been sent to the requested
MSA through UC3.16), resets the flag that has been raised locally at expiration time.
• if the results message (IE725:C_MVS_RES) indicates that feedback is requested, it changes the request state
from open, extended or late to “answered and feedback expected” and processing continues with (UC-315-
240 – Send feedback). Otherwise, it changes the request state from open, extended or late to closed
The ELO of the requesting MSA is free to undertake additional controls and actions and to continue exchanges.
Final situation:
• the requesting MSA has information and/or the results of actions completed by the requested MSA;
• the status of the request is updated from open, extended or late to “answered and feedback expected” or to
closed;
• the timer TIM_MVS is stopped.
Send feedback Process: UC-315-140
Actor: ELO of the requesting MSA
Location: premises of the requesting MSA
Processing mode: Semi-automatic
Constraint: none
Description:
In order to provide the feedback on the follow-up action(s) taken by the requesting MSA, on the basis of the
results received from the requested ELO (UC-315-130 – Receive results message), the requesting ELO prepares
a message (IE725:C_MVS_RES) including information which is relevant to the requested feedback:
• an indicator that feedback is provided;
• the description of any concrete follow-up action(s) taken by the requesting MSA, on the basis of the results
received from the requested ELO; and/or
• the information about how relevant are considered by the requesting MSA, the results received from the
requested ELO.
Finally, the application of the requesting MSA changes the state of the request from “answered and feedback
expected” to “closed”.
Final situation:
• the feedback (IE725:C_MVS_RES) has been sent to the requested ELO.
• the status of the request is updated from “answered and feedback expected” to “closed”;
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Receive feedback Process: UC-315-250
Actor: ELO of the requested MSA
Location: premises of the requested MSA
Processing mode: Semi-automatic
Constraint: none
Description:
Upon receipt of the feedback (IE725:C_MVS_RES), the requested MSA application updates the status of the
request from “answered and feedback expected” to “closed”
Final situation:
• The feedback (IE725:C_MVS_RES) has been received by the requested ELO.
• The status of the request is updated to “closed”
7.1.8 Major result
R_Results available in the requesting MSA
Actor: ELO of the requesting MSA
Location: premises of the requesting MSA
• The results of the controls are available to the requesting MSA, ready to serve for further actions
• If requested, it provides feedback to the requested MSA.
7.1.9 Minor results
R_Answer received
Actor: ELO of the requesting MSA
Location: premises of the requesting MSA
The requesting ELO is informed that a delay has been requested and of the reasons for extending the deadline.
R_Feedback received
Actor: ELO of the requested MSA
Location: premises of the requested MSA
• The requested ELO is informed about the follow-up actions taken by the requesting MSA, on the basis of
the results received; and/or
• The requested ELO is informed about how relevant are considered by the requesting MSA, the results
received from the requested ELO.
7.1.10 Messages
• IE722:C_MVS_SUB Movement verification request
• IE723:C_MVS_ANS Movement verification answer
• IE725:C_MVS_RES Movement verification results
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7.2 Movement Verification – Reminder (UC3.16)
7.2.1 Overview
The requesting ELO indicates in the request message the deadline by which the reply
with the results of the requested verifications should be received from the requested
ELO. The present Use Case provides a mechanism to the ELO of the requesting MSA
in case the expected reply is not received within the deadline set initially by the
requesting ELO in the request message or extended by the requested ELO in an answer
message.
When sending the request message, the application of the MSA of the requesting ELO
has started a timer TIM_MVS to expire at the expected deadline for sending back the
reply message. If the requested ELO has sent an answer message to extend the deadline
for the results, the application of the MSA of the requesting ELO has updated the timer
TIM_MVS to expire at the new deadline.
Upon delay of the expected reply the MSA application of the requesting ELO sends a
reminder message to the requested ELO.
7.2.2 Participants, motivations and commitments
ELO requested
MSA UC3.16- Movement Verification –
Reminder
detects delay is reminded that results
are still awaited Requesting MSA
application
Figure 30 Participants of <UC3.16> Movement Verification -Reminder
Main actor
• the requesting MSA application
▪ detects that the reply to the verification request has not been received in time
▪ reminds the ELO of the requested MSA that the results for the requested
verifications are being expected
Other actors
• the ELO of the requested MSA
▪ is committed to send a results message or an answer message for extending the
deadline (under Use Case 3.15 – Movement Verification - Request).
7.2.3 General conditions
Trigger
• the time limit of a timer (TIM_MVS) expires
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Pre–conditions
• none.
Post–conditions
• the ELO of the requested MSA is reminded that they have to send their results
7.2.4 Process flow diagram
MSA dispatch application ELO of the addressed MSA
UC-316-110
Process expiry of timer
UC-316-210
Process reminder message
(IE724:C_MVS_REM)
E_Timer for feedback expires
R_addressed ELO received reminder message
Figure 31 Movement Verification - reminder – Process flow diagram
7.2.5 Major event
E_Timer for results expires
Actor: requesting MSA application
Location: premises of the requesting MSA
The time limit of timer TIM_MVS expires.
7.2.6 Minor events
None.
7.2.7 Processes
Process expiry of timer Process: UC-316-110
Actor: requesting MSA application
Location: premises of the requesting MSA
Processing mode: Automatic
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Constraint: the results have not been received
Description:
Upon expiry of a timer or type TIM_MVS, the application creates a reminder message (IE724:C_MVS_REM)
and sends it to the requested MSA.
The state of the request is updated from open or extended to late.
Final situation:
• the reminding information has been sent to the requested MSA;
• the status of the request is updated from open or extended to late.
Process reminder message Process: UC-316-210
Actor: ELO of the requested MSA
Location: premises of the requested MSA
Constraint: none
Description:
Upon receipt of the reminder the state of the request is changed from open or extended to late. The reminder
message is directed to the competent ELO of the requested MSA for further action.
Final situation:
• the ELO of the requested MSA is reminded of their commitment;
• the status of the request is updated from open or extended to late.
7.2.8 Major result
R_ Requested ELO received reminder message
Actor: ELO of the requested MSA
Location: premises of the requested MSA
The ELO of the requested MSA is reminded that the results are expected. They are expected to send the results
7.2.9 Minor results
None
7.2.10 Messages
• IE724:C_MVS_REM reminder message for movement verification request
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7.3 Movement Verification for Duty Paid Movements - spontaneous
information (UC3.17)
7.3.1 Overview
This use case intends at providing an electronic tool integrated with the core business of
EMCS with the aim to support the provisions of the Regulation.
To that end, Article 3 of Regulation 389/2012 provides for one central liaison office per
Member State, possibly supplemented by liaison departments with specific
competences. The term ELO designates hereafter any of these authorities, each for its
part of competence.
Upon any event, among which the outcome of risk assessment, the ELO of an issuing
MSA may find it relevant to achieve investigations and/or actions concerning
movements of excise goods that is, duty paid B2B movements, duty paid B2C
movements or undocumented movements (i.e. movements using a non-European Union
standard document), and to send the results to the ELO of one or several addressed
MSAs.
No further actions are expected from the addressed MSA(s).
7.3.2 Participants, motivations and commitments
ELO - issuing
MSA UC3.17- Verification for Duty Paid
Movements- spontaneous information
receives information
ELO – addressed
MSA
performs controls and actions –
sends information
Figure 32 Participants of <UC3.17> Movement Verification for Duty Paid Movements - spontaneous
information
Main actor
• the ELO of the issuing MSA
▪ discovers information worth communicating to one or several other MSAs
▪ decides to undertake controls
▪ sends a message reporting the found information and/or the results of the actions
performed
Other actors
• the ELO of the addressed MSA
▪ receives the information and/or results of the controls performed by the issuing
MSA
7.3.3 General conditions
Trigger
• the ELO of the issuing MSA has discovered information and/or completed a series of
controls on a particular subject (in particular, but not exclusively, an e-AD)
concerning a duty paid B2B movement or a duty paid B2C movements or an
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undocumented movement (i.e. movement using a non-European Union standard
document).
Pre–conditions
• the relevant information has been collected and is ready to be sent to the addressed
MSA(s)
Post–conditions
• the addressed MSA(s) is(are) informed of the results of actions and controls
completed by the issuing MSA
7.3.4 Process flow diagram
N_TAU_REF Issuing MSA (ELO) Addressed MSA (ELO)
UC-317-110 Prepare results message
UC-317-210
Receive results message
(IE725:C_MVS_RES)
E_Significant information or results
R_Results available in the addressed
MSA
For each addressed MSA
Figure 33 Movement Verification for Duty Paid Movements - spontaneous information – Process flow diagram
7.3.5 Major event
E_Significant information or results
Actor: ELO of the issuing MSA
Location: premises of the issuing MSA
The actions and controls completed by the issuing MSA have resulted in establishing suspicion or irregularity or
infringement or any other situation considered of interest for the addressed MSA(s)
7.3.6 Minor events
None.
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7.3.7 Processes
Prepare results message Process: UC-317-110
Actor: ELO of the issuing MSA
Location: premises of the issuing MSA
Processing mode: Semi-automatic
Constraint: none
Description:
The ELO of the issuing MSA summarises their findings concerning a movement (duty paid B2B movement,
duty paid B2C movement or an undocumented movement), into a movement verification results message
(IE725:C_MVS_RES). In this case, since the feedback mechanism is not applicable for spontaneous
information cases, only the relevant details (Data Groups/Items) shall be present.
If relevant, they may attach supporting document(s) to the results message.
The message is sent to the competent ELO of the addressed MSA(s).
Final situation:
• the information has been sent to the addressed MSA(s)
Receive results message Process: UC-317-210
Actor: ELO of the addressed MSA
Location: premises of the addressed MSA
Processing mode: Semi-automatic
Constraint: none
Description:
Upon receipt of an unsolicited results message, the ELO of the addressed MSA is free:
• to order further controls; and/or
• to communicate the information to the relevant persons; or
• to keep the information for later use; or
• to simply ignore the information if they judge it irrelevant for them.
Final situation:
• the addressed MSA is informed on anomalies, discrepancies or offences concerning a duty paid B2B
movement, or a duty paid B2C movement or an undocumented movement that might impact their Member
State;
• it is in a position to continue exchanges if they find it relevant; these further exchanges may be with or
without support of EMCS.
7.3.8 Major result
R_Results available in the addressed MSA
Actor: ELO of the addressed MSA
Location: premises of the addressed MSA
The received information is ready to serve for further actions in the addressed MSA.
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7.3.9 Minor results
None
7.3.10 Messages
• IE725:C_MVS_RES Movement verification results
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8 Status synchronisation mechanism
This section describes the mechanism that can be used as follows:
• manual status request/response: manually triggered to request only the status of
a particular e-AD;
• manual status synchronisation request: manually triggered to request the status
of a particular e-AD as well as the last business message sent;
• automatic status synchronisation request: same as manual status synchronisation
request, but automatically triggered in order to identify whether an e-AD or
report of receipt is missing.
8.1 Status synchronisation mechanism (UC3.30)
8.1.1 Overview
This use case intents at describing the mechanism of the status/ status synchronisation
request which could be used by a MSA to request from any MSA the status of an e-AD
and also, when applicable, any missing/delayed business message.
This process can be triggered:
• manually, when the MSA Official submits a request to the requesting MSA
indicating that he/she requests:
o the status of the movement in the requested MSA (manual status
request); or
o the status of the movement in the requested MSA and also the last
business message sent from the requested MSA to the requesting MSA
for the specific ARC (manual status synchronisation request).
• Automatically (automatic status synchronisation request) at the requesting MSA,
either upon receiving a draft report of receipt for an unknown ARC or upon the
expiry of the TIM_EAD timer after a missed report of receipt.
Upon the receipt of the request, the requested MSA examines the request and replies:
• with sending a response indicating the status of the specific movement in the
requested MSA; and
• with also sending the missing business message, if any (in case of
manual/automatic status synchronisation request).
The requested MSA should respond to the request as quickly as possible and no later
than three months following the date of receipt of the request (see Article 11(1) of
Regulation (EU) No 389/2012). However, where the requested MSA is already in
possession of that information, the time limit shall be one month (see Article 11(1) of
Regulation (EU) No 389/2012). As the process is automated, a response can be
expected as soon as possible.
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8.1.2 Participants, motivations and commitments
MSA Official
submits request
(applicable only in case of manual status
request/ manual status synchronisation
request)
reports request
requesting MSA
requested MSA
provides response
UC3.30 – Status/ status synchronisation mechanism
Figure 34 Participants of <UC3.30> Manual Status Request/Response
Main actor
• MSA official
▪ submits request
• requesting MSA
▪ sends the request message to the requested MSA
▪ receives the response message from the requested MSA
Other actors
• requested MSA
▪ sends the response message for the requested e-AD to the requesting MSA along,
when applicable, with the missing business message
8.1.3 General conditions
Trigger
• the MSA official needs to know the status of a specific e-AD at the requested MSA;
or
• the MSA official needs to synchronise with the requested MSA in order to obtain the
status of a specific e-AD as well as the last business message, if any, sent from the
requested MSA to the requesting MSA; or
• The MSA of destination received from the consignee a draft report of receipt for an
unknown ARC; or
• The TIM_EAD timer expired at the MSA of dispatch without receiving a report of
receipt from the MSA of destination.
Pre–conditions
• none.
Post–conditions
• the requesting MSA is informed of the status of the specific e-AD and of the number
(if any) of the last business message sent from the requesting MSA and received by
the requested MSA for the specific ARC; or
• the requesting MSA is informed of the status of the specific e-AD and also receives
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the missing business message (if any).
8.1.4 Process flow diagram
MSA Official
UC-330-210
Issue and forward request
requested MSA requesting MSA
R_Response received
E_MSA official decides to initiate a manual
status/ status syncrhonisation request
(IE784:C_DOW_SUB) (IE784:C_DOW_SUB)
This participant and its flow are applicable only in case the use case is triggered manually, i.e. in case of manual status request/ manual status synchronisation request
(IE785:C_DOW_RES)
UC-330-310 Send response
(IE785:C_DOW_RES)
Msg(IEZZZ)
Msg(IEZZZ)
UC-330-220 Receive response
Manual request
Automatic request
E_Receipt of draft report of receipt for an unknown ARC/
Expiry of TIM_EAD timer
UC-330-110 Submit request
Figure 35 Status/ status synchronisation mechanism – Process flow diagram
8.1.5 Major events
E_MSA official decides to initiate a manual status/ status syncrhonisation request
Actor: MSA official
Location: MSA office
The MSA official of any Member State decides to initiate a manual status/ status synchronisation request for
requesting the status of a specific e-AD in the requested MSA along with (in case of manual status
synchronisation request) the last business message, if any, sent from the requested MSA.
E_Receipt of draft report of receipt for an unknown ARC/ Expiry of TIM_EAD timer
Actor: requesting MSA application
Location: premises of the requesting MSA
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• The requesting MSA (MSA of destination) received from the consignee a draft report of receipt for an
unknown ARC (UC-206-210); or
• The TIM_EAD timer expired at the requesting MSA (MSA of dispatch) without receiving a report of
receipt from the MSA of destination.
8.1.6 Minor events
None.
8.1.7 Processes
Submit request Process: UC-330-110
Actor: MSA official
Location: MSA office
Processing mode: Semi-automatic
Constraint: none
Description:
The MSA official issues a manual status or manual status synchronisation request for a specific ARC and
submits the request message (IE784:C_DOW_SUB) to his MSA application.
The processing continues with UC-330-210.
Final situation:
• the request message (IE784:C_DOW_SUB) is sent to the requesting MSA application.
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Issue and forward request Process: UC-330-210
Actor: requesting MSA application
Location: premises of the requesting MSA
Processing mode: Automatic
Constraint: none
Description:
In case the request was triggered manually (UC-330-110), the requesting MSA application receives the request
message (IE784:C_DOW_SUB) from the MSA official.
In case the request is triggered automatically (due to receipt of draft report of receipt for an unknown ARC or
expiry of TIM_EAD timer), the requesting MSA builds the request message (IE784:C_DOW_SUB) for the
specific ARC.
The request message contains in particular:
• the ARC of the enquired movement;
• the status request message type set to “status synchronisation request” (if it is a manual or automatic status
synchronisation request);
• the status: ▪ indicating the state of the specific movement in the requesting MSA application; ▪ otherwise, when the specific ARC is unknown to the requesting MSA application, it is set to "None";
• the last received message type: ▪ indicating the number of the last business message sent from the requested MSA application and received by the requesting MSA
application for the specific ARC;
▪ otherwise, when the specific ARC is unknown to the requesting MSA application or when the requesting MSA application has not
received a business message from the requested MSA application, it is set to "None";
The request message (IE784:C_DOW_SUB) is sent to the requested MSA application.
Final situation:
• the request message (IE784:C_DOW_SUB) is sent to the requested MSA application;
• the requesting MSA application is waiting for a response message (IE785:C_REQ_RES) from the requested
MSA application;
• if it is a manual or automatic status synchronisation request, the requesting MSA application is also waiting
for the last business message, if any, sent from the requested MSA application to the requesting MSA
application.
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Send response Process: UC-330-310
Actor: requested MSA application
Location: premises of the requested MSA
Processing mode: Automatic
Constraint: none
Description:
After receiving and examining the request message (IE784:C_DOW_SUB), the requested MSA application
sends a response message (IE785:C_REQ_RES) including the following information existing in the requested
MSA application:
• the ARC of the specific movement; it is the same as the ARC in the request message
(IE784:C_DOW_SUB);
• the status: ▪ indicating the state of the specific movement in the requested MSA application; ▪ otherwise, when the specific ARC is unknown to the requested MSA application, it is set to "None";
• the last received message type: ▪ indicating the number of the last business message sent from the requesting MSA application and received by the requested MSA
application for the specific ARC;
▪ otherwise, when the specific ARC is unknown to the requested MSA application or when the requested MSA application has not
received a business message from the requesting MSA application, it is set to "None".
The response message (IE785:C_REQ_RES) is sent to the requesting MSA application.
If it is a manual or automatic status synchronisation request, the missing business message, if any, is also sent to
the requesting MSA application.
Final situation:
• the response message (IE785:C_REQ_RES) is sent to the requesting MSA application;
• if it is a manual or automatic status synchronisation request, the missing business message, if any, is also
sent to the requesting MSA application.
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Receive response Process: UC-330-220
Actor: requesting MSA application
Location: premises of the requesting MSA
Processing mode: Automatic
Constraint: none
Description:
The requesting MSA application receives and registers the response message (IE785:C_REQ_RES), from the
requested MSA application.
In case of manual or automatic status synchronisation request, the requesting MSA application also receives the
missing business message, if any, from the requested MSA application. The missing business message is
received and handled through the corresponding EBP.
In case of manual status request or manual status synchronisation request, the requesting MSA application also
forwards the response message (IE785:C_REQ_RES) and the missing business message, when applicable, to
the MSA official.
Final situation:
• the response message (IE785:C_REQ_RES) is received by the requesting MSA application;
• if it is a manual or automatic status synchronisation request, the missing business message, if any, is also
received by the requesting MSA application and the flow continues with the EBP where the corresponding
message is received;
• in case of automatic status synchronisation request and the process was triggered due to receiving a draft
report of receipt for an unknown ARC: ▪ if the status in the response message (IE785:C_REQ_RES) is “None”, the processing continues with UC-206-220;
▪ if the status in the response message (IE785:C_REQ_RES) is accepted, an e-AD (IE801:C_EAD_VAL) is expected and then the processing continues with UC-206-220.
• in case of automatic status synchronisation request and the process was triggered due to the expiration of the
TIM_EAD timer without receiving a report of receipt from the MSA of destination: ▪ if the status in the response message (IE785:C_REQ_RES) is accepted, the processing continues with use case UC2.33 - Reminder
at expiry of time limit for report of receipt);
▪ if the status in the response message (IE785:C_REQ_RES) is delivered or partially refused or refused, a report of receipt
(IE818:C_DEL_DAT) is expected.
• in case of manual status request or manual status synchronisation request, the response message
(IE785:C_REQ_RES) and the missing business message, when applicable, is forwarded to the MSA official.
8.1.8 Major result
R_ Response received
Actor: requesting MSA application / MSA official
Location: premises of the requesting MSA / MSA office
• In case of manual status request, the status of the requested e-AD along with the number (if any) of the last
sent business message are available to the requesting MSA application and to the MSA official.
• In case of manual/automatic status synchronisation request, the status of the requested e-AD along with the
missing business message, if any, are available to the requesting MSA application and, in case of manual
status synchronisation request, to the MSA official.
8.1.9 Minor results
None
8.1.10 Messages
• IE784:C_DOW_SUB Movement download request
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• IE785:C_REQ_RES Movement download answer
• The missing business message (if any)
9 Download of an e-AD
9.1 Download of an e-AD (UC3.31)
9.1.1 Overview
This query allows an official in a MSA to download all records concerning a given e-
AD in the case where this e-AD has not already been communicated to them.
It may be the case in particular when:
• a control is performed in that Member State, which was not yet interested in the
movement;
• an event must be reported in that MSA, which was not yet interested in the
movement;
• an official in the concerned MSA observes that the copy kept in the MSA seems not
to be in alignment with the information kept in another Member State.
That consultation is either called by various other functions such as a control or
submission of event; or explicitly started by an official as well, as presented in the
following description.
The function remains available during the whole time window commonly agreed by the
Member States, i.e. at least three years after the date of submission of the e-AD (See
Article 25.1 of Council Regulation (EC) No 2073/ 2004).
The requested MSA (e-AD initiator MSA) should respond to the query as quickly as
possible, and no later than three months following the date of receipt of the query (see
Article 11(1) of Regulation (EU) No 389/2012). However, where the requested MSA
(e-AD initiator MSA) is already in possession of that information, the time limit shall be
one month (see Article 11(1) of Regulation (EU) No 389/2012). As the process is
automated, a response can be expected as soon as possible.
For storage, archive and retrieval of invalid or rejected messages, see section 6.1.1.
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9.1.2 Participants, motivations and commitments
MSA official UC3.31- Download of an e-AAD
Requests movement data forwards the query
initiator MSA
requesting MSA
is holder of the searched
movement data
Figure 36 Participants of <UC3.31> Download of an e-AD
Main actor
• MSA Official
▪ is entitled to consult movement information
Other actors
• requesting MSA
▪ communicates the locally available e-ADs to the MSA official
▪ forwards the query to the initiator MSA
• e-AD initiator MSA
▪ initially validated the movement information (normally, the MSA of dispatch)
▪ is committed to give access to its movement information to other MSAs
9.1.3 General conditions
Trigger
• the MSA official decides to retrieve movement data relative to an e-AD
Pre–conditions
• the MSA official is entitled to consult the movement data
Post–conditions
• the movement data relative to the e-AD is retrieved
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9.1.4 Process flow diagram
MSA Official national MSA application
UC-331-110 Submit request UC-331-210
Forward request
(IE784:C_DOW_SUB)
E_MSA official requests e-AD
UC-331-230
Register and forward movement history
R_Movement data received
initiating MSA
application
UC-331-310 Perform retrieval
(IE784:C_DOW_SUB)
UC-331-220
Register & forward response
(IE838:C_HIS_VAL)
(IE785:C_DOW_RES)
R_Response received
(IE785:C_DOW_RES)
(IE838:C_HIS_VAL)
Figure 37 Download of an e-AD – Process flow diagram
9.1.5 Major event
E_MSA official requests e-AD
Actor: MSA official (or automatic process)
Location: MSA office
The MSA official initiates a search for movement data relative to an e-AD
9.1.6 Minor events
None.
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9.1.7 Processes
Submit request Process: UC-331-110
Actor: MSA official
Location: MSA office
Processing mode: Semi-automatic
Constraint: none
Description:
The MSA official submits his query providing the ARC of the searched e-AD.
The MSA official sends a search message (IE784:C_DOW_SUB) to his MSA application.
Partial result:
• the movement retrieval query is sent to the requesting MSA application.
Forward request Process: UC-331-210
Actor: requesting MSA application
Location: MSA premises
Processing mode: Automatic
Constraint: none
Description:
The requesting MSA application receives the search message (IE784:C_DOW_SUB).
The search message contains in particular:
• the ARC provided by the MSA official of the requesting MSA application;
• the status request message type set to “movement history request”;
• the status: ▪ indicating the state of the specific movement in the requesting MSA application;
▪ otherwise, when the specific ARC is unknown to the requesting MSA application, it is set to "None";
• the last received message type: ▪ indicating the number of the last message sent from the initiator MSA application and received by the requesting MSA application
for the specific ARC;
▪ otherwise, when the specific ARC is unknown to the requesting MSA application or when the requesting MSA application has not received a business message from the initiator MSA application, it is set to "None";
The MSA application determines which MSA initially validated the e-AD (it is the MSA of which the Member
State code appears in characters 3 and 4 of the ARC). The MSA application sends the search message
(IE784:C_DOW_SUB) to the initiator MSA.
Note: the initiator MSA may be the requesting MSA itself; in that case, the same application plays both roles
and no search message is submitted to the initiator MSA.
Final situation:
• the search message (IE784:C_DOW_SUB) is forwarded to the initiator MSA of the movement in case not
the requesting MSA itself.
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Perform retrieval Process: UC-331-310
Actor: initiator MSA application
Location: premises of the initiator MSA
Processing mode: Automatic
Constraint: none
Description:
The initiator MSA application receives the query message (IE784:C_REQ_SUB).
The initiator MSA application first sends a results message (IE785:C_REQ_RES) with the following
information:
• the ARC provided by the MSA official of the requesting MSA application;
• the status: ▪ indicating the state of the specific movement in the initiator MSA application;
▪ otherwise, when the specific ARC is unknown to the requesting MSA application, it is set to "None";
• the last received message type: ▪ indicating the number of the last message sent from the requesting MSA application and received by the initiator MSA application
for the specific ARC;
otherwise, when the specific ARC is unknown to the initiator MSA application or when the requesting MSA application has not
received a business message from the requesting MSA application, it is set to "None";
If a national movement related to the requested ARC exists, then the local state of this movement must be
provided. The initiator MSA may also provide additional information on a voluntary basis.
Additionally, if the e-AD was retrieved, the initiator MSA application builds the history message of the
movement (IE838:C_HIS_VAL) including the successive states of the e-AD as well as all attached reports of
receipt, of control and of event. It sends the history message (IE838:C_HIS_VAL) back to the requesting MSA.
In case any national movements exist related to the retrieved ARC, the initiator MSA can include the messages
for national movements in the history message (IE838:C_HIS_VAL). The pre-condition is that these national
messages should first be translated into the Common Domain messages type and format.
If no e-AD is retrieved no history message (IE838:C_HIS_VAL) is sent. This is an indication that the ARC is
not known or that the e-AD is no more available on line.
This latter happens after the commonly agreed time window for consultation of movement data. Each Member
State shall keep the information concerning movements of excise goods within the Union and the records
contained in the national registers referred to in Article 19 of the Council Regulation (EC) No 389/2012, for at
least five years from the end of the calendar year in which the movement began. That period may be limited to
three years with respect to information entered into the national registers before 1 July 2012.
Final situation:
• a results message (IE785:C_REQ_RES) is sent back;
• if the e-AD is retrieved a history message (IE838:C_HIS_VAL) is also sent.
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Register and forward response Process: UC-331-220
Actor: requesting MSA application
Location: requesting MSA premises
Processing mode: Automatic
Constraint: none
Description:
The requesting MSA application receives the results message (IE785:C_REQ_RES) and examines the status in
it.
If the status in the results message (IE785:C_REQ_RES) is ‘None’ the requesting MSA expects no further
response (movement history) from the initiator MSA. Otherwise, the requesting MSA expects the movement
history (IE838:C_HIS_VAL) from the initiator MSA.
The requesting MSA application forwards the results message (IE785:C_REQ_RES) to the MSA official.
Final situation:
• the results message (IE785:C_REQ_RES) is sent to requestor.
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Register and forward movement history Process: UC-331-230
Actor: requesting MSA application
Location: requesting MSA premises
Processing mode: Automatic
Constraint: none
Description:
The requesting MSA application receives and registers the movement history (IE838:C_HIS_VAL) from the
initiator MSA. It forwards the movement history (IE838:C_HIS_VAL) to the MSA official.
Final situation:
• the movement history (IE838:C_HIS_VAL) is sent to requestor.
9.1.8 Major result
R_movement data retrieved
Actor: MSA official
Location: MSA office
• The complete movement data of the e-AD is retrieved.
9.1.9 Minor result
R_Response received
Actor: MSA official
Location: MSA office
• The MSA official received the response from the initiator MSA informing him that either:
• the e-AD is no more on-line;
• the e-AD data is found and will be sent in a following movement history (IE838:C_HIS_VAL) message.
9.1.10 Messages
• IE784:C_DOW_SUB movement download request
• IE785:C_DOW_RES movement download answer
• IE838:C_HIS_VAL history of a movement
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10 General query to retrieve an e-AD
10.1 General query to retrieve an e-AD (UC3.32)
10.1.1 Overview
This query allows a MSA to retrieve a given e-AD presently on-line either inside the
MSA or in a remote MSA, based on a combination of search criteria.
It may be understood as an optional preliminary to (UC3.31 - Download of an e-AD) to
help in finding the e-AD where the ARC is not available but a series of other
characteristics are known (typically, the ARC was not written on a commercial
document or transport document as prescribed at submission, but the document exists).
The available criteria may be found in the description of message IE701:C_REQ_SUB
in appendix D and more precisely in the associated Rules.
The search criteria are possibly combined through a logical AND, i.e. the e-AD is found
if all given criteria are met. Combination through a logical AND is felt sufficient for
two reasons:
• it is the approach adopted by the classical query-by-example tools, allowing very
simple user interfaces;
• in the case where a more complex query is necessary, it is always possible to
synthesize its results from several simple other queries.
The query returns a list of summaries of the e-ADs that match with the submitted
criteria. From the retrieved list, the requesting official selects the relevant e-AD to
consult it locally (if it is available) or to download it through (UC3.31 - Download of an
e-AD).
The requested MSA (e-AD initiator MSA) should respond to the query as quickly as
possible, and no later than three months following the date of receipt of the query (see
Article 11(1) of Regulation (EU) No 389/2012). However, where the requested MSA
(e-AD initiator MSA) is already in possession of that information, the time limit shall be
one month (see Article 11(1) of Regulation (EU) No 389/2012). As the process is
automated, a response can be expected as soon as possible.
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10.1.2 Participants, motivations and commitments
MSA official UC3.32- General query to retrieve an e-AD
Searches an unknow
movement
forwards the query
initiator MSA
application
national MSA application
sends back the list of matching movements
Figure 38 Participants of <UC3.32> General query to retrieve an e-AD
Main actor
• MSA Official
▪ is entitled to consult movement information
Other actors
• national MSA application
▪ Forwards the search query to initiator MSA
• initiator MSA application
▪ is supposed to be the initiator of movement information
10.1.3 General conditions
Trigger
• The MSA official decides to retrieve an e-AD whose ARC is unknown
Pre–conditions
• The MSA official is entitled to consult movement data
Post–conditions
• The e-ADs matching the criteria are retrieved
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10.1.4 Process flow diagram
MSA Official national MSA application
UC-332-110 Submit request UC-332-210
Forward request
(IE701:C_REQ_SUB)
E_MSA official decides search
UC-332-220 Forward refusal
R_Request rejected
initiator MSA
application
UC-332-310 Perform search
(IE701:C_REQ_SUB)
UC-332-230
Forward response
found (IE821:C_LST_VAL)
refusal or limit exceeded
(IE702:C_REQ_REF)
R_Request accepted
(IE702:C_REQ_REF)
(IE821:C_LST_VAL)
Figure 39 General query to retrieve an e-AD – Process flow diagram
10.1.5 Major event
E_MSA official decides search
Actor: MSA official
Location: MSA office
The MSA official initiates a search for unknown e-AD
10.1.6 Minor events
None.
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10.1.7 Processes
Submit request Process: UC-332-110
Actor: MSA official
Location: MSA office
Processing mode: Semi-automatic
Constraint: none
Description:
The MSA official builds his query giving the supposed MSA initiator of the searched e-ADs and a series of
query criteria concerning one or several of the fields describing the movement.
Allowed query criteria are the same as the primary criteria of risk assessment, possibly combined by a logical
AND.
The MSA official sends a search message (IE701:C_REQ_SUB) to his MSA application.
Partial result:
• the general query is sent to the national MSA application
Forward request Process: UC-332-210
Actor: national MSA application
Location: MSA premises
Processing mode: Automatic
Constraint: none
Description:
The MSA application receives the search message (IE701:C_REQ_SUB).
The MSA application forwards the search message (IE701:C_REQ_SUB) to the initiator MSA application.
Note: the initiator MSA may be the requesting MSA itself; in that case, the same application plays both roles
and no search message is submitted to the initiator MSA.
Partial result:
• the search message (IE701:C_REQ_SUB) is forwarded to the supposed initiator of the searched e-AD, in
case not the requesting MSA itself.
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Perform search Process: UC-332-310
Actor: initiator MSA application
Location: initiator MSA premises
Processing mode: Automatic
Constraint: none
Description:
The initiator MSA application receives the search message (IE701:C_REQ_SUB).
If no movement is retrieved or if the number of retrieved e-ADs reaches the maximum limit, a refusal message
is sent back (IE702:C_REQ_REF).
If one or more e-ADs are retrieved, the list is sent in a message of response (IE821:C_LST_VAL).
The query returns a list of e-ADs, stating only:
• the date of dispatch;
• the ARC;
• the Excise number and the name of the consignor;
• the Excise number and the name and of the tax warehouse of dispatch (if the type of origin is tax
warehouse);
• the code of the Customs office of import (if the type of origin is import);
• the Excise number (or VAT number), optional EORI number (if the consignment is for export) and the name
of the consignee;
• the Excise number (if the place of delivery is a tax warehouse) and the name of the place of delivery;
• the code of the Customs office of export (if the consignment is for export);
• the categories of goods carried;
• the VAT number and the name of the transport arranger (if the type or transport arranger imposes so);
• if known, the VAT number and the name of first transporter.
Partial result:
• a response (either refusal or list of e-AD) is sent back.
Forward response Process: UC-332-230
Actor: national MSA application
Location: MSA premises
Processing mode: Automatic
Constraint: none
Description:
The national MSA application receives the response message (IE821:C_LST_VAL).
The information should be available to the MSA official.
Partial result:
• the response is sent to requestor.
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Forward refusal Process: UC-332-220
Actor: national MSA application
Location: MSA premises
Processing mode: Automatic
Constraint: none
Description:
The MSA application receives the refusal message (IE702:C_REQ_REF).
The MSA application forwards the refusal message (IE702:C_REQ_REF) to the MSA official.
Partial result:
• the response is sent to requestor.
10.1.8 Major result
R_request accepted
Actor: MSA official
Location: MSA office
• A list of e-ADs is retrieved;
• the Excise officer is in a position either to select the relevant movement to consult it or to order its download
through (UC3.31 - Download of an e-AD).
10.1.9 Minor result
R_request rejected
Actor: MSA official
Location: MSA office
• The MSA official has received a negative response;
• If too many e-ADs were found, he refines his search by restarting the use case with complementary criteria.
10.1.10 Messages
• IE701:C_REQ_SUB common request
• IE702:C_REQ_REF refusal of common request
• IE821:C_LST_VAL list of e-AD as result of a general query
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11 State-transition diagrams
The present chapter introduces the transition to the state stopped for an e-AD in the case
of interruption of a movement.
The processes related to Control/event report and Risk Assessment do not change the e-
AD states. Therefore, they do not intervene in STDs.
11.1 Request for assistance and request for history
The requests for assistance and the requests for history do not change the e-AD states
but have their own states. The transition diagrams are therefore presented hereafter for
both locations of the requesting MSA and of the requested MSA.
A request has five states: start standard initial state, open at submission, late when the
timer TIM_ACO for request for assistance or TIM_HIS for request for history is
expired, closed when the results are sent back to the requester, extended when the
deadline for the results is extended and partially answered when further results is
expected. It is noted that the partially answered state is applicable only to a movement
history request.
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State Description
● Standard start state.
Open The request has been sent to the addressee and is expecting an answer or results.
Late The timer has expired and the results have not been returned yet.
Extended The deadline for the results has been extended and the results are expected.
Closed The results have been sent back to the requester.
Partially answered Further results are expected
11.1.1 Requesting MSA
Open
Closed
IE721:C_COO_SUB
●
Late Extended
A See table Request-Prep
C Timer expiry
IE869:C_COO_REM
A See table Request-Timer
Partially
answered
A See table Request-Timer
C Timer expiry
IE869:C_COO_REM
IE868:C_COO_ANS A See table Request-Answer
IE820:C_COO_ANS A See table Request-Partial Results
IE867:C_COO_RES
A See table Request -Feedback
A See table Request-Answer
IE868:C_COO_ANS
IE867:C_COO_RES
A See table Request-Results
Answered and Feedback
Expected
Figure STD 1 Requests – Requesting MSA
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EBP condition incoming message Outgoing message Comments
UC-307-110 IE721:C_COO_SUB Request for
assistance
UC-329-110 IE721:C_COO_SUB Request for history
information
Table Request-Prep: Request message
EBP condition incoming message Outgoing message Comments
UC-307-120 IE868:C_COO_ANS Request for
assistance
UC-329-120 IE868:C_COO_ANS Request for history
information
Table Request-Answer: answer message
EBP condition incoming message Outgoing message Comments
UC-309-110 Timer TIM_ACO
expired
IE869:C_COO_REM Request for
assistance
UC-314-110 Timer TIM_HIS
expired
IE869:C_COO_REM Request for history
information
Table Request-Timer: Expiry of Timer for results
EBP condition incoming message Outgoing message Comments
UC-307-130 IE867:C_COO_RES Request for assistance
UC-329-120 Refusal or
unavailability of the
requested history
IE868:C_COO_ANS Request for history
information
UC-329-130 Complementary
information flag not
set
IE820:C_HIM_RES Request for history
information
UC-307-120 Refusal of the request IE868:C_COO_ANS Request for assistance
UC-307-140 Feedback is provided IE867:C_COO_RES Request for assistance
Table Request-Results: results of request
UC-307-130 Feedback is requested IE867:C_COO_RES Request for assistance
Table Request-Feedback: request feedback
EBP condition incoming message Outgoing message Comments
UC-329-130 Complementary
information flag is set
IE820:C_HIM_RES Request for history
information
Table Request-Partial results: partial results of request
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11.1.2 Requested MSA
Closed
IE721:C_COO_SUB
●
Late Extended
A See table Request-Extension IE868:C_COO_ANS
IE867:C_COO_RES
A See table Request-Results
A See table Request-Receive
IE869:C_COO_REM
A See table Request-Reminder
Partially
answered
IE820:C_COO_ANS A See table Request-Partial Results
Answered and Feedback
Expected
Open
IE867:C_COO_RES
IE868:C_COO_ANS A See table Request-Extension
IE869:C_COO_REM A See table Request-Reminder
A See table Request-Feedback
Figure STD 2 Requests – Requested MSA
EBP condition incoming message Outgoing message Comments
UC-307-210 IE721:C_COO_SUB Request for
assistance
UC-329-210 IE721:C_COO_SUB Request for history
information
Table Request-Receive: Receipt of a request
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EBP condition incoming message Outgoing message Comments
UC-307-240 Information not
immediately available
IE868:C_COO_ANS Request for assistance
UC-329-230 Information not
immediately available
IE868: C_COO_ANS Request for history
information
Table Request-Extension: receipt of reminder
EBP condition incoming message Outgoing message Comments
UC-309-210 IE869:C_COO_REM Request for
assistance
UC-314-210 IE869:C_COO_REM Request for history
information
Table Request-Reminder: Receipt of reminder
EBP condition incoming message Outgoing message Comments
UC-307-230 IE867:C_COO_RES Request for assistance
UC-329-210 Refusal or
unavailability of the
requested history
IE868:C_COO_ANS Request for history
information
UC-329-220 Complementary
information flag not
set
IE820:C_HIS_RES Request for history
information
UC-307-210 Refusal of the request IE868:C_COO_ANS Request for assistance
UC-307-140 Feedback is provided IE867:C_COO_RES Request for assistance
Table Request-Results: return of results
UC-307-130 Feedback is requested IE867:C_COO_RES Request for assistance
Table Request-Feedback: request feedback
EBP condition incoming message Outgoing message Comments
UC-329-220 Complementary
information flag is set
IE820:C_HIS_RES Request for history
information
Table Request-Partial Results: return of partial results
11.2 e-AD : interruption of a movement
The following diagrams must be considered as an extension of the state-transition
diagrams from Section II. It summarises the specific part of the processing covered by
use case 3.05 (interruption of movement).
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11.2.1 MSA of dispatch and of interruption
This diagram applies when the MSA of dispatch is the MSA of interruption as well.
Accepted
Refused
Stopped
Exporting
A IE807:C_ STP_NOT
C
UC-305-120 Confirm interruption
Partially
refused
Valid
A UC-305-110 Submit interruption
Rejected
Figure STD 3 interruption of movement – MSA of dispatch and of interruption
State Description
Accepted The e-AD is validated and the goods are deemed to have left the place of dispatch.
Refused The delivery of goods has been refused by the consignee. Change of destination (or
splitting) is expected.
Rejected The movement has been rejected by the consignee upon receipt of the e-AD. Change
of destination (or splitting) is expected. Cancellation is possible.
Exporting The goods are under the control of the export procedure (national export application)
and the e-AD is waiting for confirmation or cancellation of export.
Partially
refused
The delivery of goods has been partially accepted by the consignee. Change of
destination (or splitting) is expected for the rest of the goods.
Stopped The movement has been interrupted by the MSA of interruption
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11.2.2 MSA of dispatch (not of interruption)
This diagram applies when the MSA of dispatch is not the MSA of interruption.
Accepted
Refused
Stopped
Exporting
A
IE807:C_ STP_NOT
UC-305-210 Register interruption at MSA of dispatch
Partially
refused
Rejected
Figure STD 4 interruption of movement – MSA of dispatch (not of interruption)
State Description
Accepted The e-AD is validated and the goods are deemed to have left the place of dispatch.
Refused The delivery of goods has been refused by the consignee. Change of destination (or
splitting) is expected.
Rejected The movement has been rejected by the consignee upon receipt of the e-AD. Change
of destination (or splitting) is expected. Cancellation is possible.
Exporting The goods are under the control of the export procedure (national export application)
and the e-AD is waiting for confirmation or cancellation of export.
Partially
refused
The delivery of goods has been partially accepted by the consignee. Change of
destination (or splitting) is expected for the rest of the goods.
Stopped The movement has been interrupted by the MSA of interruption
DG TAXUD – EXCISE COMPUTERISATION PROJECT REF: ECP1-ESS-FESS-S.IV
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11.2.3 MSA of interruption (not of dispatch)
This diagram applies when the MSA of interruption is not the MSA of dispatch.
Accepted
Refused
Stopped
Exporting
A IE807:C_ STP_NOT
C
UC-305-120 Confirm interruption
Partially
refused
Valid
A UC-305-110 Submit interruption
Rejected
Figure STD 5 interruption of movement – MSA of interruption
State Description
Accepted The e-AD is validated and the goods are deemed to have left the place of dispatch.
Refused The delivery of goods has been refused by the consignee. Change of destination (or
splitting) is expected.
Rejected The movement has been rejected by the consignee upon receipt of the e-AD. Change
of destination (or splitting) is expected. Cancellation is possible.
Exporting The goods are under the control of the export procedure (national export application)
and the e-AD is waiting for confirmation or cancellation of export.
Partially
refused
The delivery of goods has been partially accepted by the consignee. Change of
destination (or splitting) is expected for the rest of the goods.
Stopped The movement has been interrupted by the MSA of interruption
DG TAXUD – EXCISE COMPUTERISATION PROJECT REF: ECP1-ESS-FESS-S.IV
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11.2.4 MSA of destination
Accepted
Refused
Stopped
Exporting
A
IE807:C_ STP_NOT
UC-305-210 Register interruption at MSA of dispatch
Partially
refused
Rejected
Figure STD 6 interruption of movement – other MSAs
State Description
Accepted The e-AD is validated and the goods are deemed to have left the place of dispatch.
Refused The delivery of goods has been refused by the consignee. Change of destination (or
splitting) is expected.
Rejected The movement has been rejected by the consignee upon receipt of the e-AD. Change
of destination (or splitting) is expected. Cancellation is possible.
Exporting The goods are under the control of the export procedure (national export application)
and the e-AD is waiting for confirmation or cancellation of export.
Partially
refused
The delivery of goods has been partially accepted by the consignee. Change of
destination (or splitting) is expected for the rest of the goods.
Stopped The movement has been interrupted by the MSA of interruption
11.3 Movement Verification Request
The following sections present the state transition diagrams at the requesting MSA and
the requested MSA. A movement verification request has four states: start standard
initial state, requested at submission, closed when the results are sent back to the
requester, and extended when the deadline for the results is extended.
DG TAXUD – EXCISE COMPUTERISATION PROJECT REF: ECP1-ESS-FESS-S.IV
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State Description
● Standard start state.
Open The movement verification request has been sent to the addressee and is expecting an
answer or results.
Late The TIM_MVS timer has expired and the results have not been returned yet.
Extended The deadline for the results has been extended and the results are expected.
Closed The results have been sent back to the requester.
11.3.1 Requesting MSA
Open
Closed
IE722:C_MVS_SUB
●
Late
A
Extended
IE723:C_MVS_ANS
IE725:C_MVS_RES A
A
C TIM_MVS Timer expiry
IE724:C_MVS_REM A
UC-315-110 Prepare request message
UC-315-120 Receive answer message
UC-315-130 Receive results message
UC-316-110 Process expiry of timer
IE724:C_MVS_REM UC-316-110 Process expiry of timer
A
C TIM_MVS Timer expiry
Answered and Feedback
Expected
IE723:C_MVS_ANS A
UC-315-120 Receive answer message
IE725:C_MVS_RES A UC-315-130
Receive results message
IE725:C_MVS_RES A UC-315-140
Send feedback
Figure STD 7 Movement Verification Requests – Requesting MSA
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11.3.2 Requested MSA
Open
Closed
IE722:C_MVS_SUB
●
Late
A IE723:C_MVS_ANS
IE725:C_MVS_RES A
A
IE724:C_MVS_REM A
IE724:C_MVS_REM A
C TIM_MVS Timer expiry
IE723:C_MVS_ANS A
UC-316-210 Process reminder message
UC-315-210 Analyse request
UC-315-210 Analyse request
UC-315-230 Prepare and send results message
UC-316-210 Process reminder message
UC-315-210 Analyse request
Answered and Feedback
Expected
IE725:C_MVS_RES A UC-315-230
Prepare and send results message
Extended
IE725:C_MVS_RES A UC-315-250
Receive feedback
Figure STD 8 Movement Verification Requests – Requested MSA
11.4 e-AD: Manual closure of a movement
The following diagrams must be considered as an extension of the state-transition
diagrams from Section II. It summarises the specific part of the processing covered by
use case 3.06 (manual closure of movement).
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11.4.1 MSA of dispatch
This diagram applies to the MSA of Dispatch for cases of Manual Closure of a
Movement.
Accepted
Refused
e-AD Manually Closed
Exporting
A IE881: C_MNC_RES
C
UC-306-230 Register manual closure at MSA of Dispatch
Partially refused
Valid
A UC-306-110 Submit manual closure
Rejected
Figure STD 9 Manual closure of movement – MSA of Dispatch
State Description
Accepted The e-AD is validated and the goods are deemed to have left the place of dispatch.
Refused The delivery of goods has been refused by the consignee. Change of destination (or
splitting) is expected.
Rejected The movement has been rejected by the consignee upon receipt of the e-AD. Change
of destination (or splitting) is expected. Cancellation is possible.
Exporting The goods are under the control of the export procedure (national export application)
and the e-AD is waiting for confirmation or cancellation of export.
Partially
refused
The delivery of goods has been partially accepted by the consignee. Change of
destination (or splitting) is expected for the rest of the goods.
e-AD Manually
Closed The movement has been manually closed by the MSA of Dispatch.
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11.4.2 MSA of destination
Accepted
Refused
e-AD Manually Closed
Exporting
A
IE881:C_MNC_RES
UC-306-310 Register manual closure at MSA of Destination
Partially refused
Rejected
A UC-306-110 Submit manual closure
C Valid
Figure STD 10 Manual closure of movement – MSA of Destination
State Description
Accepted The e-AD is validated and the goods are deemed to have left the place of dispatch.
Refused The delivery of goods has been refused by the consignee. Change of destination
(or splitting) is expected.
Rejected The movement has been rejected by the consignee upon receipt of the e-AD.
Change of destination (or splitting) is expected. Cancellation is possible.
Exporting The goods are under the control of the export procedure (national export
application) and the e-AD is waiting for confirmation or cancellation of export.
Partially
refused
The delivery of goods has been partially accepted by the consignee. Change of
destination (or splitting) is expected for the rest of the goods.
e-AD
Manually
Closed
The movement has been manually closed by the MSA of Dispatch.
DG TAXUD – EXCISE COMPUTERISATION PROJECT REF: ECP1-ESS-FESS-S.IV
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12 Index of EBPs
UC2.14 Risk Assessment
UC-214-210 Perform risk assessment ............................................................................................................... 48
UC3.01 Administrative cooperation - spontaneous information
UC-301-110 Prepare results message ............................................................................................................... 53
UC-301-210 Receive results message ............................................................................................................... 53
UC3.03 Control and submission of the control report
UC-303-110 Perform control ............................................................................................................................ 25
UC-303-120 Submit draft control report ........................................................................................................... 26
UC-303-210 Check draft control report ............................................................................................................ 27
UC-303-220 Register control report at MSA of control ................................................................................... 27
UC-303-310 Register control report at MSA of dispatch ................................................................................. 28
UC-303-410 Register control report at MSA of destination ............................................................................. 28
UC3.05 Interruption of a movement
UC-305-110 Submit interruption ...................................................................................................................... 33
UC-305-120 Confirm interruption .................................................................................................................... 33
UC-305-210 Register interruption at MSA of dispatch .................................................................................... 34
UC-305-310 Register interruption at MSA of destination ................................................................................ 35
UC3.06 Manual Closure of a movement
UC-306-110 Submit manual closure ................................................................................................................. 40
UC-306-210 Check manual closure request at MSA of dispatch ...................................................................... 41
UC-306-230 Register manual closure request at MSA of dispatch ................................................................... 42
UC-306-310 Register manual closure request at MSA of destination .............................................................. 43
UC-306-320 Check manual closure request at MSA of destination.................................................................. 41
UC3.07 Administrative cooperation - request for assistance
UC-307-110 Prepare request message .............................................................................................................. 59
UC-307-120 Receive answer message .............................................................................................................. 61
UC-307-130 Receive results message ............................................................................................................... 63
UC-307-140 Send feedback .............................................................................................................................. 63
UC-307-210 Analyse request ............................................................................................................................ 60
UC-307-230 Prepare and send results message ................................................................................................ 62
UC-307-240 Send answer message ................................................................................................................... 61
UC-307-250 Receive feedback ......................................................................................................................... 64
UC3.09 Administrative cooperation - deadline for results
UC-309-110 Process expiry of timer ................................................................................................................ 66
UC-309-210 Process reminder message............................................................................................................ 67
UC3.14 History - deadline for results
UC-314-110 Expiry of timer ............................................................................................................................. 79
UC-314-210 Receive reminder message ........................................................................................................... 79
UC3.15 Movement Verification - Request
UC-315-110 Prepare request message .............................................................................................................. 85
UC-315-120 Receive answer message .............................................................................................................. 86
UC-315-130 Receive results message ............................................................................................................... 88
UC-315-140 Send feedback .............................................................................................................................. 88
UC-315-210 Analyse request ............................................................................................................................ 86
UC-315-230 Prepare and send results message ................................................................................................ 87
UC-315-250 Receive feedback ......................................................................................................................... 89
UC3.16 Movement Verification - Reminder
UC-316-110 Process expiry of timer ................................................................................................................ 91
UC-316-210 Process reminder message............................................................................................................ 92
UC3.17 Movement Verification - spontaneous information
UC-317-110 Prepare results message ............................................................................................................... 95
UC-317-210 Receive results message ............................................................................................................... 95
UC3.24 Submission of an event report
UC-324-110 Report to competent local authority ............................................................................................. 17
UC-324-210 Submit draft event report ............................................................................................................. 18
UC-324-310 Check draft event report ............................................................................................................... 19
UC-324-320 Receive event report at MSA of submission ................................................................................ 20
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UC-324-410 Validate event report .................................................................................................................... 20
UC-324-510 Receive event report at MSA of dispatch ..................................................................................... 21
UC-324-610 Receive event report at MSA of destination ................................................................................ 21
UC3.29 Request for history information
UC-329-110 Prepare history request message .................................................................................................. 72
UC-329-120 Analyse history answer message .................................................................................................. 73
UC-329-130 Receive history results message ................................................................................................... 76
UC-329-210 Analyse query .............................................................................................................................. 73
UC-329-220 Prepare history results message ................................................................................................... 75
UC-329-230 Send answer message ................................................................................................................... 73
UC3.30 Status/ status synchronisation mechanism
UC-330-110 Submit request ........................................................................................................................... 100
UC-330-210 Issue and forward request .......................................................................................................... 101
UC-330-220 Receive response ........................................................................................................................ 103
UC-330-310 Send response ............................................................................................................................. 102
UC3.31 Download of an e-AD
UC-331-110 Submit request ........................................................................................................................... 107
UC-331-210 Forward request ......................................................................................................................... 107
UC-331-220 Register and forward response ................................................................................................... 109
UC-331-230 Register and forward movement history .................................................................................... 110
UC-331-310 Perform retrieval ........................................................................................................................ 108
UC3.32 General query to retrieve an e-AD
UC-332-110 Submit request ........................................................................................................................... 114
UC-332-210 Forward request ......................................................................................................................... 114
UC-332-220 Forward refusal .......................................................................................................................... 116
UC-332-230 Forward response ....................................................................................................................... 115
UC-332-310 Perform search ........................................................................................................................... 115
DG TAXUD – EXCISE COMPUTERISATION PROJECT REF: ECP1-ESS-FESS-S.IV
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[End of section]