ANNEX ISupplementary provisions
ANNEX I ELECTRONIC MESSAGES USED FOR THE MAINTENANCE OF THE REGISTER OF ECONOMIC OPERATORS EXPLANATORY NOTES 1. The data elements of the electronic messages used for the purpose of the computerised system are structured in data groups and, where applicable, data subgroups. Details regarding the data elements and their use are presented in the tables of this Annex, in which: (a) column A provides the numeric code (number) attributed to each data group and data subgroup; each subgroup follows the sequence number of the data (sub)group of which it forms part (for example: where the data group number is 1, one data subgroup of this group is 1.1 and one data subgroup of this subgroup is 1.1.1); (b) column B provides the alphabetic code (letter) attributed to each data element in a data (sub)group; (c) column C identifies the data (sub)group or data element; (d) column D provides each data (sub)group or data element with a value indicating whether the insertion of the corresponding data is: (i) ‘R’ (Required), meaning that the data must be provided. When a data (sub)group is ‘O’ (Optional) or ‘C’ (Conditional), data elements within that group can still be ‘R’ (Required) when the competent authorities of the Member State have decided that the data in this (sub)group must be completed or when the condition applies; (ii) ‘O’ (Optional), meaning that the insertion of the data is optional for the person submitting the message (the consignor or consignee) except where a Member State has stipulated that the data are required in accordance with the option provided for in column E for some of the optional data (sub)groups or data elements; (iii) ‘C’ (Conditional), meaning that the use of the data (sub)group or data element depends on other data (sub)groups or data elements in the same message; (iv) ‘D’ (Dependent), meaning that the use of the data (sub)group or data element depends on a condition which cannot be checked by the computerised system, as provided for in columns E and F; (e) column E provides the condition(s) for data whose insertion is conditional, specifies the use of the optional and dependent data where applicable and indicates which data must be provided by the competent authorities; (f) column F provides explanations, where necessary, concerning the completion of the message; (g) column G provides: (i) for some data (sub)groups a number followed by the character ‘x’ indicating how many times the data (sub)group can be repeated in the message (default = 1); (ii) for each data element, except for data elements indicating the time or the date or both, the characteristics identifying the data type and the data length. The codes for the data types are as follows: — a alphabetic; — n numeric; — an alphanumeric. The number following the code provides the admissible data length for the data element concerned. The optional two dots before the length indicator mean that the data have no fixed length, but can have up to a number of digits, as specified by the length indicator. A comma in the data length means that the data can hold decimals, the digit before the comma provides the total length of the attribute, and the digit after the comma provides the maximum number of digits after the decimal point. (iii) for data elements indicating the time or the date or both, the mention ‘date’, ‘time’ or ‘dateTime’, meaning that the date, the time or the date and time must be given using the ISO 8601 standard for representation of dates and time. 2. The following abbreviations are used in the tables of this Annex: (a) e-AD : electronic administrative document; (b) ARC : administrative reference code; (c) SEED : System for Exchange of Excise Data (the electronic database referred to in Article 19(1) of Regulation (EU) No 389/2012; (d) CN Code : Combined Nomenclature Code. 3. The following definitions are used in the tables of this Annex: (a) ‘Start Date’ means ‘Authorisation Start Date’ or ‘Validity Start Date’; (b) ‘End Date’ means ‘Authorisation End Date’ or ‘Validity End Date’; (c) ‘Authorisation Start Date’ means the date from which an economic operator is authorised by the responsible Member State to produce, store, send or receive excise goods under duty suspension; (d) ‘Authorisation End Date’ means the date from which an economic operator is no longer authorised by the responsible Member State; (e) ‘Validity Start Date’ means the date from which the premises of an economic operator have been declared by the responsible Member State to be valid as a location to produce, send or receive excise goods under duty suspension; (f) ‘Validity End Date’ means the date from which the premises of an economic operator cease to be valid. Table 1 Common request (referred to in Articles 4, 7 and 8) A B C D E F G 1 ATTRIBUTES R a Request Type R The possible values are: — = 2 = Request for extraction of reference data — = 3 = Request for retrieval of reference data — = 4 = Request for extraction of economic operators — = 5 = Request for retrieval of economic operators — = 6 = Request for EOL — = 7 = Request for retrieval of a list of e-ADs — = 8 = Request for SEED statistics n1 b Request Message Name C — ‘R’ if <Request Type> is ‘2’ or ‘3’ — Does not apply otherwise (see Request Type in box 1a) The possible values are: — ‘C_COD_DAT’= Common list of codes — ‘C_PAR_DAT’= Common system parameters — ‘ALL’= For complete structure a.9 c Requesting Office R An existing identifier <Office Reference Number> in the set of <OFFICE> an8 d Request Correlation Identifier C — ‘R’ if <Request Type> is ‘2’, ‘3’, ‘4’, ‘5’, ‘7’, or ‘8’ — Does not apply otherwise (see Request Type in box 1a) The value of <Request Correlation Identifier> is unique per Member State an.16 e Start Date C For 1 e and f : — ‘R’ if <Request Type> is ‘3’ or ‘5’ — Does not apply otherwise (see Request Type in box 1a) date f End Date C date g Single Date C — ‘R’ if <Request Type> is ‘2’ or ‘4’ — Does not apply otherwise (see Request Type in box 1a) date 2 E-AD LIST REQUEST C — ‘R’ if <Request Type> is ‘7’ — Does not apply otherwise (see Request Type in box 1a) a Member State Code R (see Code list 3 in Annex II to Regulation (EC) No 684/2009) a2 2.1 RA_PRIMARY CRITERION R 99x a Primary Criterion Type Code R The possible values are: — = 1 = ARC — = 2 = Brand name of product — = 3 = Categories of excise products of the movement — = 4 = (reserved) — = 5 = (reserved) — = 6 = (reserved) — = 7 = (reserved) — = 8 = City of consignee — = 9 = City of consignor — = 10 = City of guarantor — = 11 = (reserved) — = 12 = City of place of delivery — = 13 = City of tax warehouse of dispatch — = 14 = City of transporter — = 15 = CN code of product — = 16 = Date of invoice — = 17 = Excise number of consignee — = 18 = Excise number of consignor — = 19 = Excise number of guarantor — = 20 = (reserved) — = 21 = (reserved) — = 22 = Excise number of the tax warehouse of destination — = 23 = Excise number of the tax warehouse of dispatch — = 24 = (reserved) — = 25 = Excise product code — = 26 = Journey time — = 27 = Member State of destination — = 28 = Member State of dispatch — = 29 = Name of consignee — = 30 = Name of consignor — = 31 = Name of guarantor — = 32 = (reserved) — = 33 = Name of place of delivery — = 34 = Name of tax warehouse of dispatch — = 35 = Name of transporter — = 36 = Number of invoice — = 37 = Postal code of consignee — = 38 = Postal code of consignor — = 39 = Postal code of guarantor — = 40 = (reserved) — = 41 = Postal code of place of delivery — = 42 = Postal code of tax warehouse of dispatch — = 43 = Postal code of transporter — = 44 = Quantity of goods (in an e-AD body) — = 45 = Local Reference Number, being a serial number, assigned by the consignor — = 46 = Type of transport — = 47 = (reserved) — = 48 = (reserved) — = 49 = VAT number of the consignee — = 50 = (reserved) — = 51 = VAT number of the transporter — = 52 = Change of destination (sequence number ≥ 2) n..2 2.1.1 RA_PRIMARY VALUE O 99x a Value R an..255 3 STA_REQUEST C — ‘R’ if <Request Type> is ‘8’ — Does not apply otherwise (see Request Type in box 1a) a Statistic Type R The possible values are: — = 1 = Active and inactive economic operators — = 2 = Pending expirations — = 3 = Economic operators by type and tax warehouses — = 4 = Excise activity — = 5 = Changes to excise authorisations n1 3.1 LIST OF MEMBER STATES CODE R 99x a Member State Code R (see Code list 3 in Annex II to Regulation (EC) No 684/2009) a2 4 STA_PERIOD C — ‘R’ if <Request Type> is ‘8’ — Does not apply otherwise (see Request Type in box 1a) a Year R n4 b Semester C For 4 b , c , and d : The three following data fields are optional and exclusive: — <Semester> — <Quarter> — <Month> i.e. If one of these data fields is given then the two other data fields do not apply The possible values are: — = 1 = First semester — = 2 = Second semester n1 c Quarter C The possible values are: — = 1 = First quarter — = 2 = Second quarter — = 3 = Third quarter — = 4 = Fourth quarter n1 d Month C The possible values are: — = 1 = January — = 2 = February — = 3 = March — = 4 = April — = 5 = May — = 6 = June — = 7 = July — = 8 = August — = 9 = September — = 10 = October — = 11 = November — = 12 = December n..2 5 REF_REQUEST C — ‘R’ if <Request Type> is ‘2’ or ‘3’ — Does not apply otherwise (see Request Type in box 1a) 5.1 LIST OF CODES CODE O 99x a Requested List of Code O The possible values are: — = 1 = Units of measure — = 2 = Events types — = 3 = Evidence types — = 4 = (reserved) — = 5 = (reserved) — = 6 = Language codes — = 7 = Member states — = 8 = Country codes — = 9 = Packaging codes — = 10 = Reasons for unsatisfactory receipt or control report — = 11 = Reasons for interruption — = 12 = (reserved) — = 13 = Transport modes — = 14 = Transport units — = 15 = Wine-growing zones — = 16 = Wine operation codes — = 17 = Excise product categories — = 18 = Excise products — = 19 = CN codes — = 20 = Correspondences CN code — Excise product — = 21 = Cancellation reasons — = 22 = Alert or rejection of e-AD reasons — = 23 = Delay explanations — = 24 = (reserved) — = 25 = Event submitting persons — = 26 = History refusal reasons — = 27 = Reasons for delayed result — = 28 = Administrative cooperation actions — = 29 = Administrative cooperation request reasons — = 30 = (reserved) — = 31 = (reserved) — = 32 = (reserved) — = 33 = (reserved) — = 34 = Administrative cooperation action not possible reasons — = 35 = Common request rejection reasons — = 36 = (reserved) n..2 Table 2 Operations on the register of economic operators (referred to in Articles 3, 4 and 6) A B C D E F G 1 ATTRIBUTES R a Message Type R The possible values are: — = 1 = Update of economic operators (Notification of changes to CD/RD) — = 2 = Dissemination of updates of economic operators — = 3 = Retrieval of economic operators — = 4 = Extraction of economic operators n1 b Request Correlation Identifier C — ‘R’ if <Message Type> is ‘3’ or ‘4’ — Does not apply otherwise (see Message Type in box 1a) The value of <Request Correlation Identifier> is unique per Member State an..16 2 TRADER AUTHORISATION O 999999x a Trader Excise Number R (See Code list 1 in Annex II The <Trader Excise Number> must be unique in the list of <TRADER AUTHORISATION>. an13 b VAT Number O an..14 c Authorisation Start Date R date d Authorisation End Date O date e Operator Type Code R The possible values are: — = 1 = Authorised warehouse keeper — = 2 = Registered consignee — = 3 = Registered consignor The value of the <Operator Type Code> data item cannot be changed after the creation of the TRADER AUTHORISATION n1 f Excise Office Reference Number R (see Code list 5 in Annex II to Regulation (EC) No 684/2009) an8 2.1 ACTION R a Operation R The possible values are: — C= Create — U= Update — I= Invalidate a1 b Activation Date C — ‘R’ if <Operation> is ‘C’ or ‘U’ — ‘O’ otherwise (see Operation in box 2.1a) If <Activation Date> is not entered the Activation Date of the Invalidate operation is considered to be the date that the Invalidate operation is incorporated into the central register. date c Responsible Data Manager O an..35 2.2 NAME AND ADDRESS R 99x a Name R an..182 b NAD_LNG R (see Code list 1 in Annex II to Regulation (EC) No 684/2009) a2 2.2.1 ADDRESS R a Street Name R an..65 b Street Number O an..11 c Postcode R an..10 d City R an..50 e Member State Code R (see Code list 3 in Annex II to Regulation (EC) No 684/2009) a2 2.3 OPERATOR ROLE CODE O 9x a Operator Role Code R The possible values are: — = 1 = Allowed to practise direct delivery — = 2 = Allowed to leave empty the destination fields according to point (f) of Article 19(2) of Regulation (EU) No 389/2012. The couplings <Operator Type / Operator Role Code> are as follows: OP/OR TYPE / OP/OR ROLE AUTH. WH KEEPER REG. CON/EE REG. CON/OR Allowed to practise direct delivery X X Allowed to leave empty the destination fields according to point (f) of Article 19(2) of Regulation (EU) No 389/2012 X n1 2.4 EXCISE PRODUCTS CATEGORY CODE C At least one of the <EXCISE PRODUCTS CATEGORY code> or <EXCISE PRODUCT code> data groups must be present 999x a Excise Products Category Code R (see Code list 3 in Annex II) The <Excise Products Category Code> must be unique in the list of <EXCISE PRODUCTS CATEGORY Code> inside the same <TRADER AUTHORISATION> or <TAX WAREHOUSE> a1 2.5 EXCISE PRODUCT CODE C At least one of the <EXCISE PRODUCTS CATEGORY code> or <EXCISE PRODUCT code> data groups must be present 999x a Excise Product Code R (see Code list 11 in Annex II to Regulation (EC) No 684/2009) The <Excise Products Category Code> of the <Excise Product Code> must not exist inside the same <TRADER AUTHORISATION> or <TAX WAREHOUSE> The <Excise Product Code> must be unique in the list of <EXCISE PRODUCT Code> inside the same <TRADER AUTHORISATION>, <TAX WAREHOUSE>, or <TEMPORARY AUTHORISATION> an..4 2.6 (USING) TAX WAREHOUSE C — ‘R’ if <Operator Type Code> is ‘Authorised warehouse keeper’ — Does not apply otherwise (see Operator Type Code in box 2e) 99x a Tax Warehouse Reference R (see Code list 1 in Annex II) The ‘Tax Warehouse Reference’ shall be one of the <TAX WAREHOUSE. Tax Warehouse Reference> such that there exists at least one Active version having its Validity Interval intersecting the Validity Interval of the <TRADER AUTHORISATION>, after the Activation Date of the latter, by at least one day The <Tax Warehouse Reference> must be unique in the list of <TAX WAREHOUSE>. an13 3 TAX WAREHOUSE O 999999x a Tax Warehouse Reference R (see Code list 1 in Annex II) The <Tax Warehouse Reference> must be unique in the list of <TAX WAREHOUSE>. The ‘Tax Warehouse Reference’ shall be the same as one of the <(USING) TAX WAREHOUSE. Tax Warehouse Reference> within one or more <TRADER AUTHORISATION> data groups of ‘Authorised Warehouse Keeper’ type satisfying also Rule 204 an13 b Validity Begin Date R date c Validity End Date O date d Excise Office Reference Number R (see Code list 5 in Annex II to Regulation (EC) No 684/2009) an8 3.1 ACTION R a Operation R The possible values are: — C= Create — U= Update — I= Invalidate a1 b Activation Date C — ‘R’ if <Operation> is ‘C’ or ‘U’ — ‘O’ otherwise (see Operation in box 3.1a) If <Activation Date> is not entered the Activation Date of the Invalidate operation is considered to be the date that the Invalidate operation is incorporated into the central register. date c Responsible Data Manager O an..35 3.2 NAME AND ADDRESS R 99x a Name R an..182 b NAD_LNG R (see Code list 1 in Annex II to Regulation (EC) No 684/2009) a2 3.2.1 ADDRESS R a Street Name R an..65 b Street Number O an..11 c Postcode R an..10 d City R an..50 e Member State Code R (see Code list 3 in Annex II to Regulation (EC) No 684/2009) a2 3.4 EXCISE PRODUCTS CATEGORY CODE C At least one of the <EXCISE PRODUCTS CATEGORY code> or <EXCISE PRODUCT code> data groups must be present 999x a Excise Products Category Code R (see Code list 3 in Annex II) The <Excise Products Category Code> must be unique in the list of <EXCISE PRODUCTS CATEGORY Code> inside the same <TRADER AUTHORISATION> or <TAX WAREHOUSE> an1 3.5 EXCISE PRODUCT CODE C At least one of the <EXCISE PRODUCTS CATEGORY code> or <EXCISE PRODUCT code> data groups must be present 999x a Excise Product Code R (see Code list 11 in Annex II to Regulation (EC) No 684/2009) The <Excise Products Category Code> of the <Excise Product Code> must not exist inside the same <TRADER AUTHORISATION> or <TAX WAREHOUSE> The <Excise Product Code> must be unique in the list of <EXCISE PRODUCT Code> inside the same <TRADER AUTHORISATION>, <TAX WAREHOUSE>, or <TEMPORARY AUTHORISATION> an..4 4 TEMPORARY AUTHORISATION O 999999x a Temporary Authorisation Reference R (see Code list 2 in Annex II,) an13 b Office Reference Number of Issuance R (see Code list 5 in Annex II to Regulation (EC) No 684/2009) an8 c Date of Expiry R date d Re-usable Temporary Authorisation flag R The possible values are: — = 0 = No or False — = 1 = Yes or True n1 e VAT Number O an..14 f Authorisation Start Date R date g Small Wine Producer flag O The possible values are: — = 0 = No or False — = 1 = Yes or True n1 4.1 ACTION R a Operation R The possible values are: — C= Create — U= Update — I= Invalidate a1 b Activation Date C — ‘R’ if <Operation> is ‘C’ or ‘U’ — ‘O’ otherwise (see Operation in box 4.1a) If <Activation Date> is not entered the Activation Date of the Invalidate operation is considered to be the date that the Invalidate operation is incorporated into the central register. date c Responsible Data Manager O an..35 4.2 TRADER CONSIGNOR R a Trader Excise Number C — ‘R’ if <Temporary Authorisation — Small Wine Producer flag> is not present or is False — ‘O’ otherwise For TRADER Consignor An existing identifier <Trader Excise Number> in the set of <TRADER AUTHORISATION> The <Operator Type Code> of the referred <TRADER> must be: — ‘Authorised warehouse keeper’; OR — ‘Registered consignor’ an13 b Trader Name R an..182 c Street Name R an..65 d Street Number O an..11 e Postcode R an..10 f City R an..50 g NAD_LNG R (see Code list 1 in Annex II to Regulation (EC) No 684/2009) a2 4.3 TEMPORARY AUTHORISATION DETAILS R 999x a Excise Product Code R (see Code list 11 in Annex II to Regulation (EC) No 684/2009) The <Excise Product Code> must be unique in the list of <EXCISE PRODUCT Code> inside the same <TRADER AUTHORISATION>, <TAX WAREHOUSE>, or <TEMPORARY AUTHORISATION> If <Temporary Authorisation — Small Wine Producer> is present and is True THEN the <Excise Product Code> must be either: — ‘W200’; OR — ‘W300’ an..4 b Quantity R n..15,3 4.4 NAME AND ADDRESS R 99x a Name R an..182 b NAD_LNG R (see Annex II, Code list 1 of Regulation (EC) No 684/2009) a2 4.4.1 ADDRESS R a Street Name R an..65 b Street Number O an..11 c Postcode R an..10 d City R an..50 e Member State Code R (see Code list 3 in Annex II to Regulation (EC) No 684/2009) a2 Table 3 Refusal of update of economic operators (referred to in Article 4) A B C D E F G 1 Operations on the Register of Economic Operators Message Submission R (see Table 2 for details) 2 REJECTION R 9999x a Rejection Date and Time R dateTime b Rejection Reason Code R The possible values are: — = 1 = Missing operation — = 2 = Unknown operation — = 3 = Economic operator Excise number incorrect format — = 4 = Tax warehouse reference incorrect format — = 5 = Temporary authorisation incorrect format — = 6 = Office reference number incorrect format — = 7 = Missing name — = 8 = Economic operator already exists (creation) — = 9 = Tax warehouse already exists (creation) — = 10 = Temporary authorisation already exists (creation) — = 11 = Economic operator not found (Update / Deletion) — = 12 = Tax warehouse not found (Update / Deletion) — = 13 = Temporary authorisation not found (Update / Deletion) — = 14 = Unknown Economic operator — = 18 = Missing operator type — = 19 = Unknown operator type — = 20 = Missing operator role — = 21 = Unknown operator role — = 22 = Inconsistency between operator type and operator role — = 23 = Missing or incorrect format of the authorisation start date — = 24 = Incorrect format of the authorisation end date — = 25 = Missing or incorrect format of the date of expiry — = 26 = Missing or unknown office reference number — = 27 = Inconsistency between Excise number and Excise office — = 28 = A tax warehouse can not belong to more than one authorised warehouse keeper — = 29 = The Excise number of an authorised warehouse keeper cannot be the same as the excise number of an economic operator, unless this latter is its own authorised warehouse keeper — = 30 = Missing Excise product category — = 31 = Unknown Excise product category — = 32 = Missing Excise product — = 33 = Unknown Excise product — = 34 = Incomplete address — = 35 = Missing language code — = 36 = Unknown language code — = 37 = At least the phone number, the fax number or the email address must be given — = 38 = Missing owner/manager of the tax warehouse — = 39 = Unknown owner/manager of the tax warehouse — = 40 = The owner/manager of the tax warehouse must be a warehouse keeper — = 41 = Only a warehouse keeper may be allowed to use a tax warehouse — = 42 = Invalid Reference of Tax Warehouse (Rule 204 violation) — = 43 = Missing Authorised Warehouse Keeper referencing Tax Warehouse (Rule 205 violation) — = 44 = <Trader Excise Number> is missing (Cond 157 violation) — = 45 = Invalid value for <Excise Product Code> (Rule 212 violation) n..2 Table 4 SEED statistics (referred to in Article 7) A B C D E F G 1 ATTRIBUTES R a Request Correlation Identifier R The value of <Request Correlation Identifier> is unique per Member State. an..16 2 STA_PERIOD R a Year R n4 b Semester C For 2 b , c , and d : The three following data fields are optional and exclusive: — <Semester> — <Quarter> — <Month> i.e. If one of these data fields is given then the two other data fields do not apply The possible values are: — = 1 = First semester — = 2 = Second semester n1 c Quarter C The possible values are: — = 1 = First quarter — = 2 = Second quarter — = 3 = Third quarter — = 4 = Fourth quarter n1 d Month C The possible values are: — = 1 = January — = 2 = February — = 3 = March — = 4 = April — = 5 = May — = 6 = June — = 7 = July — = 8 = August — = 9 = September — = 10 = October — = 11 = November — = 12 = December n..2 3 STA_PER_MS O 99x a Member State Code R (see Code list 3 in Annex II to Regulation (EC) No 684/2009) a2 b Number of Active Economic Operators O n..15 c Number of Inactive Economic Operators O n..15 d Number of Pending Expirations O n..15 e Number of Tax Warehouses O n..15 f Number of Excise Authorisation Changes O n..15 3.1 OPERATOR_TYPE O 9x a Operator Type Code R The possible values are: — = 1 = Authorised warehouse keeper — = 2 = Registered consignee — = 3 = Registered consignor n1 b Number of Economic Operators R n..15 3.2 EXCISE_PRODUCT_CATEGORY_ACTIVITY O 9x a Excise Products Category Code R (see Code list 3 in Annex II) a1 b Number of Economic Operators R n..15 3.3 EXCISE_PRODUCT_ACTIVITY O 9999x a Excise Product Code R (see Code list 11 in Annex II to Regulation (EC) No 684/2009) an..4 b Number of Economic Operators R n..15 4 STA_ALL_MS O a Total Number of Active Economic Operators O n..15 b Total Number of Inactive Economic Operators O n..15 c Total Number of Pending Expirations O n..15 d Total Number of Tax Warehouses O n..15 e Total Number of Excise Authorisation Changes O n..15 4.1 OPERATOR_TYPE_ALL_MS O 9x a Operator Type Code R The possible values are: — = 1 = Authorised warehouse keeper — = 2 = Registered consignee — = 3 = Registered consignor n1 b Total Number of Economic Operators R n..15 4.2 EXCISE_PRODUCT_CATEGORY_ACTIVITY_ALL_MS O 9x a Excise Products Category Code R (see Code list 3 in Annex II) a1 b Total Number of Economic Operators R n..15 4.3 EXCISE_PRODUCT_ACTIVITY_ALL_MS O 9999x a Excise Product Code R (see Code list 11 in Annex II to Regulation (EC) No 684/2009) an..4 b Total Number of Economic Operators R n..15