EP1064614A1

EP1064614A1 - Trade information system

Info

Publication number: EP1064614A1
Application number: EP99905112A
Authority: EP
Inventors: Julian Durand; Marc-Henri Veyrassat
Original assignee: Tatis Ltd
Current assignee: Tatis Ltd
Priority date: 1998-02-13
Filing date: 1999-02-15
Publication date: 2001-01-03
Also published as: WO1999041700A1

Abstract

Trade Information System (TIS) is a trade data management system whose central objective is to streamline and automate the customs clearance and reconciliation procedures of customs and fiscal authorities in developing and emerging countries. TIS(tm) has been designed to replace a service known as preshipment inspection currently used in over thirty countries throughout the developing world. TIS is a networked process that allows governments, customs and tax authorities, and other participants in the global trade arena to easily access, exchange, and reconcile vital trade-related information. TIS enables information such as the names of the trade players, the quantity, description and value of goods, and other critical information to be captured at the export stage, validated, and disseminated simultaneously in two different directions: electronically to government officials in the country of import and as a secure machine-readable document (2D bar code) that travels with the shipment. Information is not only transmitted to the Fiscal Authorities in the country of import by the network. In addition, the trade related information is digitally signed and encoded on a 2 dimensional symbol (PDF417) that can be read by a scanner. When the shipment arrives at the port of entry, the customs officer need only scan the bar code with a portable scanner to gain instant access to the validated information required for customs clearance.

Description

Trade Information System

Description

Trade Information Systems (TIS) is a system that allows participants such as exporters, importers, shipping agents, banks and governments to share information more securely and easily. TIS integrates both electronic information from networks with a machine-readable stamp (the 'TISymbol') that carries the pertinent information from shipping documents (see section 2.3.5).

The TISymbol is a unique integration of a PDF417 2D bar code (so that paper documentation is machine readable) together with a digital signature (to ensure that authenticity of issuer may be identified and to guarantee that information has not been modified).

In the sections that follow, we describe the applications and environment I which the TISymbol will be used; the TISymbol is used as a digitally signed and certified authori;zation for the exporter to ship its goods and is described in section 2.2; finally the data elements that are present in each of the databases is described and, more specifically, the data that makes up the TISymbol.

Applications

There are five applications (for the Importer, VA. VB, Point of Entry, Fiscal Authorities and the Exporter) that will be used in the prototype. The attached Drawings document shows this in Figure 1.

In addition to these five applications which manage the on-going TIS process, there is a registration procedure for importers where details of the corporation are submitted to the VA for approval and issuing of public/private key pair. In this process, the importer identifies their principal business partners (the 'exporters') abroad that will be registered as well. In the prototype we will not provide certification of these key pairs since it can be assumed that issuance of the key pair by the VA will serve as a de facto certification. In the production version, we will almost surely use certified keys.

All applications share core functions of testing (communications, signing with digital signature); login to the application using private key: tracking of transactions through the TIS system.

TIS/lmporter RTA (Request Transit Authorization)

The importer application requests authorization for a transaction by submitting transaction details on-line to the VA. The process is as follows:

1) login with profile;

2) transmit transaction details (see Appendix 1 the Transaction Record); The VA receives RTA and considers results from RAS. If further intervention is required the VA sends instruction to VB.

3) if authorization is issued by the VA. the importer is notified and is then able to track status of shipment;

TIS/VA (TIServer )

The validation authority makes use of the TIServer and the RAS to authorize transactions, issue an instruction to a Validation Body and issue a TISymbol. The authorization control flow with relevant states is depicted in the section below.

Procedure as follows:

1) login with profile;

2) receive RTA from importer:

3) perform risk analysis on participants and transaction;

4) issue instruction to VB as required:

5) authorize (or not) transaction and issue TISymbol;

6) transmit transaction record to FA.

TIS/Exporter

The exporter application is straightforward providing the capability to:

1 ) receive an encrypted TISymbol;

2) decrypt the TISymbol;

3) print the TISymbol;

4) track the consignment.

TIS/FA Fiscal Authorities (FA application)

The TIS/FA is the application used by the client government. With the TIS/FA users will have the following capabilities:

1 ) receive new transaction records;

2) authorize a transaction;

3) set risk indicators and their relative weight in the RAS; 4) perform risk analysis on incoming transactions;

5) send schedule of incoming transactions to the POEs with inspection instructions;

6) reconcile transaction record when goods have been received at the POE and set status of transaction record to 'closed';

7) send status of all transaction records to TIS/VA with inspection results.

TIS/ POE Point of Entry

The customs officers use the point of entry application. It allows the POE to:

1) Receive pending shipments list from TIS/FA with instructions;

2) read and verify the TISymbol;

3) perform reconciliation of the transaction record with the TIS/FA;

4) in case there was an inspection the results should be recorded and later transmitted to TIS/FA.

Authorization Flow Chart

The authorization chart is depicted in Figure 2 in the attached drawings document. In order for a TIS transaction to be approved and the TISymbol issued, it is necessary for the Importer to send a Request for Transaction Authorization. The RTA is the trigger for the process. Note that in some cases it will be possible for the exporter to also trigger the process by sending an RTA.

The RTA is sent to the Validation Authority. Experts at the VA will be presented with incoming RTA and the result of the Risk Analysis System recommending action of some sort. If the RAS indicates error levels are acceptable, then the status of the transaction becomes 'OK' and the TISymbol is sent to the Exporter. The Exporter shall have the opportunity to refuse the transaction if there are errors.

Should the RAS indicate abnormalities in the transaction information then the VA sends an instruction to the relevant Validation Body. The status of the transaction becomes VB_WAIT.

Should the report of the VB indicate that the transaction is all right, the status is set back to OK and the TISymbol issued. Otherwise, if the VB reports that there are continuing irregularities, then the matter is presented to the Fiscal Authorities who have the last word.

If the FA refuses the shipment then the procedure is complete and the transaction cancelled. The status is set to NO. Otherwise the status is set to OK and the TISymbol is issued.

These details can be seen in the figure and table below. Status Meaning

OK Authorization given (either by V A immediately or as a result of VB report or FA intervention). TISymbol is issued.

WAIT_VB The RAS indicates an unacceptable level of risk. The VA instructs the VB to investigate further. Status is waiting for VB report.

WAIT_FA The VB report indicates there is too high risk or some other irregularity. The RTA is forwarded to the FA for final decision.

NO The FA refuses RTA.

C(LOSED) The goods arrive at the port of entry and the transaction record is closed.

Data Elements

The simplified entity-relationship diagram is depicted in Figure 3 in the attached drawings document.

Transaction Record

There are two tables that are used for each transaction. These are called TRANSACTION which hold the details for a particular transaction and TRANSACTION_PM which holds details of the packages and their marks.

The TRANSACTION table is detailed in the figure below with its data elements and type.

Field Name Description Risk?

TransactionJD Unique id to identify each No

TransactionJD transaction

POE

POE Planned port-of-entry linked to Yes

ExporterlD Port of Entry lookup table

ExporterlD Exporter, linked to the Yes

ImporterlD EXPORTER table

Qtypckges

ImporterlD Importer, linked to Yes

Regdate IMPORTER table

Shipdate Qtypckges Number of Packages No

Regdate Date of registration of Yes

ETA transaction request

LOC D Shipdate Planned ship date Yes

LOC_Expiry ETA Expected Date of Arrival Yes

LOC D Letter of Credit ID No

Status

LOC Expiry Letter of Credit Expiry Yes

Mark Status Status of transaction (details in No

Mode flow control section below)

Mark Descriptive packaging marks No

POOCity for entire consignment

POOCountry Mode Mode of transportation Yes

Vessel POOCity Port of Origin City Yes

POOCountry Port of Origin Country Yes

SA D

Vessel Identification of vessel (name, Yes

ContainerNo license no etc)

SealNo

SAJD Shipping agent ID Yes

InvoiceNo

ContainerNo Container number No

InvoiceDate SealNo Seal number No

OrderNo InvoiceNo Invoice Number No

InvoiceDate Invoice Date Yes

PO_No

OrderNo Order No No

Totallnvoice PO No Purchase Order number No

InvoiceCurr Totallnvoice Total Amount of Invoice Yes Results InvoiceCurr Invoice Currency Yes

Results Result from POE No Transaction details for each package

TRANSACTION_P Field Name Description Risk?

TPMJD ID number for each package in No

TPMJD LONG (AK) transaction ID LONG (FK) (IE) shipment PM ID LONG (FK) (IE) HSC ID LONG (FK) (IE) transactionJD ID of transaction this P&M No COG TEXT(2) ProdNo LONG belongs to ProdName TEXT(50) Qty LONG UnitPrice LONG PMJD Packaging & Marks code No

HSCJD HS code Yes

COG Country of Origin of goods Yes

ProdNo Product Number Yes

ProdName Product Name Yes

Qty Quantity Yes

UnitPrice Unit Price Yes

Importer Table

IMPORTER Field Name Description Risk?

IMPORTER ID LONG IMPORTER JD Unique ID No

Name TEXT(30) (IE) Address TEXT(50) (IE) City TEXT(30) (IE) Name Company name Yes ZIP TEXT(10) Country TEXT(2) (IE) Address Address No Contact TEXT(50) (IE) Phone TEXT(20) Fax TEXT(20) Cιt> City Yes Email TEXT(30) (IE) Pkey OBJECT ZIP Zip or postal code No PπvKey OBJECT Regdate DATE (IE) License TEXT(20) Country Country Yes LicenseExpiry DATE

Contact Contact person Yes

Phone Telephone number No

Fax Fax number No

Email Email address No

Pkey Public key No

PπvKey Private key No Regdate Registration date Yes

License Import license number Yes

LicenseExpiry Expiry date of import license Yes

Exporter Table

[EXPORTER Field Name Description Risk?

EXPORTER ID LONG EXPORTER JD Unique ID No

Name TEXT(30) (IE) Address TEXT(50) (IE) City TEXT(30) (IE) Name Company name Yes ZIP TEXT(10) Country TEXT(2) (IE) Address Address No Contact TEXT(30) (IE) Phone TEXT(20) FaxTEXT(20) City City Yes Email TEXT(30) (IE) Pkey OBJECT ZIP Zip or postal code Yes Privkey OBJECT Regdate DATE (IE)

Country Country Yes

Contact Contact person Yes

Phone Telephone number No

Fax Fax number No

Email Email address No

Pkey Public key No

Privkey Private key No

Regdate Registration date Yes

TISymbol

Table Name Field¹

TRANSACTION transactionJD,

IMPORTER IMPORTER JD

IMPORTER Name

IMPORTER Address

IMPORTER City

IMPORTER ZIP

IMPORTER Country (lookup)

IMPORTER License

see previous table descriptions for meaning of field names δ IMPORTER LicenseExpiry

TRANSACTION LOCJD

TRANSACTION LOCJ-xpiry

TRANSACTION InvoiceNo

TRANSACTION InvoiceDate

TRANSACTION Totallnvoice .URRENCY CurrencySymbol (lookup)

TRANSACTION ContainerNo

TRANSACTION SealNo

TRANSACTION P_number

FirstPackage ProdNo

FirstPackage ProdName

FirstPackage J^>M.Name (lookup)

FirstPackage HSCJD

FirstPackage J SC.Name (lookup)

LastPackage ProdNo

LastPackage ProdName

LastPackage PMName

LastPackage HSCJD

LastPackage HSCName

EXPORTER EXPORTER ID

EXPORTER Name

EXPORTER Address

EXPORTER City

EXPORTER ZIP

EXPORTER Country (lookup)

_POE POEJD JOE POE_Name

JPOE Country (lookup)

TRANSACTION Shipdate

TRANSACTION ETA

TRANSACTION PMJD

TRANSACTION POOCity

TRANSACTION POOCountry (lookup)

TRANSACTION Vessel

TRANSACTION SAJD

_SA SAJJame

TRANSACTION OrderNo

TRANSACTION PO_No

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Claims

Claim

(1) The TISymbol is an integration of a 2 dimensional bar code (PDF417) with information secured with a certified digital signature. Prior art includes the 2D symbol (PDF417) and the means of digitally signing information. What does not. to date, exist is the integration of these technologies as it applies to international trade. There are a number of important issues that are involved with this integration the greatest constraints being data capacity and verification of the certified digital signature with a hand held device. The creation of the TISymbol successfully addresses these issues.

(2) The TISymbol Scanner is capable of reading the compressed TISymbol and verifying the certified digital signature.

Symbol technologies currently builds and sells scanners that can read 2D symbols (PDF417), however, the scaimer cannot verify the certified digital signature without connecting to a computer for processing. TIS requires that the verification of a digital signature be carried out on a handset, therefore, we have designed a scanner that will have an on-board verification chip that will provide speedy hardware verification of the digital signature. The verification chip is available from ASCOM for the IDEA encryption / digital signature algorithm. We will be the first to incorporate both reading of data with the verification of the digital signature.

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