kom (2016) 0476 - Ingen titel

Europaudvalget 2016
KOM (2016) 0476
Offentligt

EUROPEAN

COMMISSION

Brussels, 19.7.2016

SWD(2016) 242 final

COMMISSION STAFF WORKING DOCUMENT

Accompanying the document

Report from the Commission to the Council and the European Parliament

Progress Report on the implementation of the EU Strategy and Action Plan for customs

risk management

{COM(2016) 476 final}

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Table of Contents

ACRONYMS AND ABBREVIATIONS............................................................................ 3

INTRODUCTION ....................................................................................................... 6

1.1

1.2

2.1

2.2

3.1

3.2

4.1

4.2

Overview ........................................................................................................... 6

The role of the Strategy ..................................................................................... 6

The survey reporting model............................................................................... 7

Collecting the information ................................................................................. 7

Progress at the level of sub-actions ................................................................... 8

Progress concerning the deliverables ................................................................ 9

Objective 1: Improving data quality and filing arrangements for

effective risk management ............................................................................... 10

Objective 2: Ensuring availability of supply chain data and sharing of

risk-relevant information and control results between customs

authorities in order to analyse and mitigate risks and ensure equivalent

treatment of economic operators ..................................................................... 13

Objective 3: Implementing the concept of ‘assess in advance —

control where required’ to respond adequately to risks identified at EU

and national level while maximising efficiency in the use of resources

and the fluidity of the supply chain ................................................................. 20

Objective 4: Increasing capacity to ensure consistent and effective

implementation of the Common Risk Management Framework

(CRMF) and to increase responsiveness to newly identified risks.................. 23

Objective 5: Promoting interagency cooperation and improving

information sharing between customs and other authorities at Member

State and EU level, in order to ensure effective risk management .................. 39

Objective 6: Developing cooperation with trade to secure and facilitate

legitimate trade ................................................................................................ 53

Objective 7: Tapping the potential offered by international cooperation

to improve risk management of the supply chain, for better

identification of risks, more effective risk mitigation and cost

reduction for operators and authorities ............................................................ 62

THE PROCESS OF DRAFTING THE REPORT ...................................................... 7

GENERAL RESULTS FROM THE PROGRESS REPORTING .............................. 7

PROGRESS REPORTING PER OBJECTIVE ......................................................... 10

4.3

4.4

4.5

4.6

4.7

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ACRONYMS AND ABBREVIATIONS

The following acronyms are used in this document:

Abbreviation

AAC

AEO

AEO-ICP

AES

ATIS

CBRNE

CCC-CRM

Meaning

Administrative Assistance and Cooperation

Authorised Economic Operator

Authorised Economic

Programme

Operator

—

Internal

Compliance

Automated Export System

Anti-fraud Transit Information System

Chemical, biological, radiological, nuclear, and explosives

Customs Code Committee-Control and Customs Risk

Management (since 1.5.2016 the Customs Expert Group –

Customs Control and Risk Management Section (CEG-CRM)

Customs Control Circuit

Security Customs Circuit

The European Police College

Common Foreign and Security Policy

Certificate of Organic Inspection

Consistently Optimised Resilient Ecosystem implementation

(Council) Customs Cooperation Working Party

Customs Cooperation Working Party’s Action Plan

Common Information Sharing Environment

Customs declaration for postal parcels

Goods coding of the Combined Nomenclature

Customs Policy Group

Common Risk Criteria

Common Risk Analysis Initiative

Customs Risk Management

CDC

CDS

CEPOL

CFSP

COI

CORE

CCWP

CCWP AP

CISE

CN23

CN codes

CPG

CRC

CRAI

CRM

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Abbreviation

CRMF

CRMS

CSM

CUP

DDNTA

DTLF

ECS

EMPACT

ENS

EOS

EU MSS

EUTR

FoS

FTSS

ICAO

GNC

ICS

JRC

JWGACI

LFCG

MRA

MSA

NCTS

NII

Meaning

Customs Risk Management Framework

Customs Risk Management System

Container Status Message

Customs Union Performance

Delegated Act (Regulation)

Design Document for the National Transit Applications

Digital Transport and Logistics Forum

Export Control System

European Multidisciplinary Platform Against Criminal Threats

Entry Summary Declaration

Economic Operator System

EU Maritime Security Strategy

The EU Timber Regulation

WCO Framework of Standards

Functional Transit System Specifications

Implemented Act (Regulation)

International Civil Aviation Organisation

Globally Networked Customs

Import Control System

Joint Research Centre

Joint Working Group on Air Cargo Information

Land Frontier Contact Group

Mutual Recognition Agreement

Market Surveillance Authorities

New Computerised Transit System

Non-Intrusive Inspection

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Abbreviation

OAP

PARCS

PCA

PLACI

RASFF

RAPEX

REFIT

RIF

RIMSCO

WCO SAFE FoS

SIMEX

SSTL

SWD

TRACES

TRIP

TRQ

UCC

UPU

WCO

Operational Action Plans

Meaning

Prohibitions and Restrictions project group

Priority Control Area

Project Group

Pre-Loading Advance Cargo Information

Rapid Alert System for Food and Feed

Rapid Alert System for dangerous non-food products

European Commission’s Regulatory Fitness and Performance

programme

Risk Information Form

Risk Management Strategy Implementation Coordination Group

Framework of Standards to Secure and Facilitate Global Trade

(Joint) Simulation Exercise

Smart and Secure Trade Lanes

Staff Working Document

Trade Control and Expert System

Travel Information Point

Tariff Rate Quota

Utility Block (WCO)

Union Customs Code

Universal Postal Union

World Customs Organisation

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NTRODUCTION

1.1 Overview

Following the conclusions of the Council of 4 December 2014, the Commission updated

the Council on the implementation of the EU Strategy and Action Plan for customs risk

management

(hereinafter referred to as ‘the Strategy’) in its report COM(2016) 476.

This Commission staff working document (SWD) provides more detailed information on

the implementation of the individual actions that were specified in the separate Action

Plan annexed to the Strategy.

The overall aim of the Strategy is to achieve a high-quality, multi-layered approach to

risk management. The Strategy identifies seven key priorities (objectives), for each of

which a number of actions are identified, that will contribute to achieving more effective

and efficient EU-wide customs risk management. The Action Plan includes 22 actions

and 54 sub-actions. These actions are described in more detail in a separate roadmap

produced by the Commission services in coordination with the Member States. The

roadmap sets out how the objectives and actions, including the 64 deliverables, are to be

implemented in practice.

The roadmap provides a comprehensive overview of the actions and projects currently

being carried out and those planned for the future. The Commission and the Member

States have been requested to report on the progress made in implementing the individual

actions specified in the roadmap.

The main aim of the roadmap is to determine the priority actions and their timing. It also

serves as a tool to monitor the work being carried out and to identify the possible

unexpected effects, the synergies with other actions and the various parties concerned

and, where necessary, to guide the revision of the schedules set for other related actions.

In order to ensure the full involvement of Member States in this complex process, the

CPG launched the Risk Management Strategy Implementation Coordination Group

(RIMSCO) in December 2014. This group meets regularly and assists the Commission

services in setting priorities and identifying synergies in the implementation of the

Strategy and also contributed to this report.

1.2 The role of the Strategy

The Strategy takes account of the variable nature and the broad range of the risks to be

addressed. It recognises the primary responsibility that customs authorities have for the

supervision of EU international trade in goods.

Customs authorities receive a large volume of information on the flows of goods into the

EU, transiting and leaving the customs territory. This information is available at an early

stage, when goods still have to be loaded in a non-EU country. Customs therefore have a

pivotal function in controlling international flows of goods. Coordination with other

border agencies is of utmost importance for working effectively together.

Modern customs services have a varied and challenging role to play. While ensuring the

security and safety of citizens and the more traditional task of collecting duties and taxes

remain priorities in their role as a controlling border authority, they also need to facilitate

the flow of trade in support of trade policy and economic development.

COM(2014) 527 final.

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Multidisciplinary cooperation is essential at national, EU and international level. The

Strategy therefore also refers to the international context and to the importance of

international cooperation in risk management, both with the EU’s neighbouring countries

and, globally, with its main trading partners.

HE PROCESS OF DRAFTING THE REPORT

2.1 The survey reporting model

The Commission services used a survey model to consult all Member States

and the

relevant Commission services on the progress achieved. This survey was distributed on 4

February 2016, to be completed by 29 February 2016. Reporting was required at the level

of the 54 sub-actions (level 2 of the roadmap), on the following aspects:

a. Progress made: information on actions and achievements, highlights and success

stories.

b. Actions planned, but not started: information on actions not yet being carried out.

c. Completed actions and sub-actions: information on specific actions already completed.

d. Comments and suggestions: this part provided an opportunity to make general

comments on the progress made in implementing the actions and on challenges and

conflicts that had arisen during implementation. Proposals for new actions or deletion of

specific actions could also be included here.

2.2 Collecting the information

At the January meeting of the RIMSCO, Member States asked the Commission services

to identify the specific actions for which they had to provide information on the progress

of implementation at national level. Member States were only asked to report on

developments on nine actions, relating, variously, to Objectives 4, 5 and 6. This should

be kept in mind when reading the overall assessment given in the next chapter, as the

contributions come, for the most part, from actions carried out by the Commission.

Several reports had not been received by the original deadline, and this was therefore

extended to 7 March 2016. The reporting surveys were completed by all Member States.

All responses were compiled and analysed, in order to provide an informative

contribution to the report and to this SWD.

ENERAL RESULTS FROM THE PROGRESS REPORTING

It is important to note that no measurable indicators for implementation were agreed in

the action plan at the outset. It has not therefore been possible to provide a precise

quantitative assessment of the progress of implementation at this stage.

Delegates of RIMSCO: the Risk Management Strategy Implementation Coordination Group. This group

was set up by the Customs Policy Group (CPG) in December 2014. The group is mandated to assist the

Commission in setting priorities and identifying synergies in the implementation of the Strategy.

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3.1

Progress at the level of sub-actions

Not started, 4

(7%)

Delayed, 9 (17%)

Completed,

41 (76%)

Despite the lack of measurable indicators, some general statistics can be provided at the

level of the 54 sub-actions:



41 sub-actions have been completed or are ongoing (marked green in the tables

below), representing 76 % of the action plan;



9 sub-actions have been started but are only partly ongoing or have been delayed

relative to the initial timing stipulated in the roadmap (marked orange in the tables

below), representing 17 % of the action plan;



4 sub-actions have not yet been started (marked blue in the tables below),

representing 7 % of the action plan.

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3.2

Progress concerning the deliverables

Progress concerning the

deliverables

Not achieved

yet

18 (28%)

Achieved

11 (17%)

Partialy

achieved

1 (2%)

Ongoing

34 (53%)

Deliverables have been identified for the implementation of each action (level 1 in the

roadmap). A total of 64 deliverables have been reported as being achieved (green),

ongoing (orange) or not yet started (blue). In summary:



11 deliverables have been achieved (marked green): 17 % of all deliverables;



action is ongoing for 34 deliverables (marked orange): 53 % of all deliverables;



one deliverable has been partially achieved (marked green/blue): 2 % of all

deliverables;



no action has been launched or no results achieved for 18 deliverables (marked

blue): 28 % of all deliverables.

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4.1

ROGRESS REPORTING PER OBJECTIVE

Objective 1: Improving data quality and filing arrangements for effective risk

management

Objective 1 is comprised of two actions. The first focuses on setting legal requirements to

ensure that high-quality data on supply chain movements is available and is used

effectively for risk management purposes by customs and other competent authorities.

This action has been completed with the adoption and publication of Regulation (EU) No

952/2013 of 9 October 2013 (the Union Customs Code, UCC), Delegated Regulation

(EU) No 2015/2446 of 28 July 2015 (the Transitional Delegated Act)

and Implementing

Regulation (EU) No 2015/2447 of 24 November 2015 (the Implementing Act). The

legislation is applicable from 1 May 2016 and the development and upgrading of relevant

IT systems will take place in accordance with the timeline laid down in the work

programme for the Union Customs Code

Action 2 relates to the development and implementation of appropriate IT solutions to

support increased capacity for the detection of security and safety risks at the point of

entry of goods. The current Import Control System (ICS) includes provisions on the

handling of pre-loading and pre-arrival declarations and the linking of these documents

with the risk analysis. The ICS 2.0 project has been launched to manage the improved

filing of supply chain data and ensure increased capacity to detect security and safety

risks at the point of entry of goods. The legislation will be implemented through the

deployment of ICS 2.0 in accordance with the UCC work programme

. Further

development of ICS 2.0 is currently delayed as the project has not entered its formal

elaboration phase.

Commission Delegated Regulation (EU) 2016/341 of 17 December 2015 supplementing Regulation (EU) No 952/2013 of the

European Parliament and of the Council as regards transitional rules for certain provisions of the Union Customs Code where

the relevant electronic systems are not yet operational and amending Delegated Regulation (EU) 2015/2446 (OJ L 69,

15.3.2016, p. 1).

Commission Implementing Decision (EU) 2016/578 of 11 April 2016 establishing the Work Programme relating to the

development and deployment of the electronic systems provided for in the Union Customs Code (OJ L 99, 15.4.2016, p. 6).

Commission Implementing Decision (EU) 2016/578 of 11 April 2016.

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Action 1.1

Exercise the empowerment granted in the Union Customs Code

(UCC) to adopt Commission (COM) acts

For goods brought into the customs territory of the Union;

conclude the analysis for necessary improvement of Entry

Summary Declaration (ENS) data, taking into account different

business models, the results of air cargo security pilot actions,

and evaluation of the Import Control System (ICS)

For goods brought into the customs territory of the Union;

propose a harmonised solution for collection and integration of

ENS data from trade sources, based on analysis of costs and

benefits and associated implementation issues (including

technical, financial and organisational aspects)

1.1.1

COMPLETED

1.1.2

COMPLETED

The analyses have been carried out by the Customs 2020 Project Group supporting

analysis of the implementation feasibility for Objectives 1-2 of the EU Risk Management

Strategy. This group presented the results of its work to the Customs Policy Group in

December 2014. The project group discussed the functional architecture, actual

technologies as well as requirements for appropriately carrying out risk management on

Entry Summary Declaration (ENS) data and the related functional and non-functional

requirements.

Finally the Project Group recommended the set-up of a Common Repository for

mandatory use by all Member States; and to establish for interested Member States a

Shared Trader Interface and a shared functionality for e-screening.

Following the recommendations of the Project Group, the CPG approved the inception

phase of what would be called later the ‘ICS 2.0’ project. The Commission, with support

from the Customs 2020 Project Group, has drafted a business case and a vision document

for ICS 2.0. These documents were presented to the CPG on 3/12/2015.

1.1.3

COMPLETED

Adopt provisions within legal acts

This action is completed with the adoption of the UCC, Regulation (EU) No 952/2013 of

9 October 2013, the Delegated Regulation (EU) No 2015/2446 of 28 July 2015 (DA) and

Implemented Regulation (EU) No 2015/2447 of 24 November 2015 (IA). The legislation

is applied as of 1 May 2016. Implementation to support the improved data quality and

filing arrangements will be implemented in accordance with the UCC Work Programme

through the deployment of ICS 2.0.

DELIVERABLES: both deliverables have been concluded

Implementation study for Entry determining the IT requirements for the different

filing options, including collection, integration and management of data from

different trade sources to meet risk management needs

Adopt provisions with legal acts: Annex B (UCC DA/IA) and Title 4 (UCC

DA/IA)

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Action 1.2

1.2.1

DELAYED

Develop and implement appropriate IT solutions

Adjust and further develop necessary IT systems for ENS data

submission by economic operators, and its collection and

integration for customs authorities

As a conclusion of the inception phase TAXUD has, in close cooperation with a Customs

2020 Project Group comprised of experts from 15 Member States, finalised the business

case and first version of the vision document for ICS 2.0. Both documents have been

drafted and presented for go/no-go decision to the CPG in December 2015. The go-

decision on the basis of the vision document for starting the elaboration phase of the

project was not given by CPG. The CPG concluded that some clarifications are to be

provided by the Commission before the specific project activities can be engaged, taking

into account the financing of the project due to the unexpected changes on estimated

costs, compared to outcomes of previous feasibility studies and cost-benefit analysis.

In the meantime the finalisation of the BPMs Levels 2 and 3 is ongoing. The business

requirements (L3 BPM) were available in 2015 but have been subject to a further

alignment to the adopted UCC DA and IA. The update is published for external review in

the second quarter of 2016 as part of the whole package of UCC business process models

and is envisaged to be finalised in the third quarter of 2016. The Business modelling L4

BPM (functional requirements/specifications) activity is to be started when a go-decision

for ICS 2.0 is provided.

1.2.2

NOT

STARTED

Develop IT access by customs to the economic operators systems

in the area of aviation security (Article 127 (8) UCC)

Start date and planning have not been decided for this action.

DELIVERABLES: two out of six deliverables have been finalised (green), two are

either pending or ongoing (orange) and for two deliverables no activities have been

started yet (blue).

Business case document (pending update for the new implementation approach)

BPM level 3 (alignment to the adopted UCC DA and IA is ongoing)

Vision document (pending)

Level 4 BPM (Functional specifications)

Technical systems specifications

IT systems adjusted and further developed at the MS and EU level

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4.2

Objective 2: Ensuring availability of supply chain data and sharing of risk-

relevant information and control results between customs authorities in order

to analyse and mitigate risks and ensure equivalent treatment of economic

operators

Modern customs services have a varied and challenging role to play. Their work involves

both, on the one hand, the management of the free flow of trade in support of trade policy

and economic development, and, on the other, responsibility for the security and safety of

citizens and the more traditional task of collecting duties and taxes, which remain

priorities. EU legislation that protects security, health, safety and the environment, or

imposes sanctions under the Common Foreign and Security Policy, requires the

intervention of customs where international trade is affected. A common repository of

declaration data, as planned for ICS 2.0, is a crucial element for implementing

improvements to risk analysis on a real-time basis, as the decentralised solution currently

being used will not support the multi-filing arrangements and the significant increase in

the volume of advance cargo information.

As part of setting up a legal framework for the UCC, as mentioned under Objective 1, the

option of

re-using data

that have already been submitted and made available by trade for

other formalities and processes is being discussed in relation to postal shipments subject

to CN23 (customs declaration for postal parcels). The question is how the data elements

of the CN23 could be made available for lodging a safety and security declaration (ENS)

and be re-used for lodging a customs declaration. In the EU Postal Pilot Project, several

meetings were organised with Member State customs authorities, postal operators, trade

associations and international partners (the USA, Canada and China) in order to analyse

the options available within the standards of the global postal model of the Universal

Postal Union.

Moreover, the amendment

of Council Regulation (EC) No 515/97 on

mutual assistance

provides a legal basis for a number of actions aiming to improve the cooperation between

authorities and the Commission to ensure compliance with customs and agricultural

legislation including amongst others the anti-fraud transit information system (ATIS) and

extends the information to be exchanged between customs authorities and between the

Commission services and the national authorities. A common directory of import, transit

and export declaration data is now included. In addition to existing tools used to ensure

the correct application of customs legislation, the amended Regulation provides for the

creation of the

CSM directory,

which will be used in order to detect movements of

goods that are potentially in breach of customs and agricultural legislation, and means of

transport including containers. This database will be operational from 1 September 2016.

Designated analysts in the Member States and at the Commission services will have

access to this directory.

The

traceability of goods movements

along the supply chain is important for providing

customs authorities with relevant data on the appropriate points at which to apply

customs controls. Various initiatives are contributing to the development of possible

solutions for customs that would avoid duplicating data, as mentioned under action 3

Regulation (EU) No 2015/1525 of the European Parliament and of the Council of 9 September 2015 amending Council

Regulation (EC) No 515/97 on mutual assistance between the administrative authorities of the Member States and cooperation

between the latter and the Commission to ensure the correct application of the law on customs and agriculture matters (OJ L

243, 18.9.2015, p. 1) will apply from 1 September 2016 as well as the Commission implementing acts: Regulation (EU)

2016/345 (OJ L 65, 11.3.2016, p. 38) and 2016/346 (OJ L 65, 11.3.2016, p. 40).

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below: the

Digital Transport and Logistics Forum

(DTLF), the development of a

Common Information Sharing Environment

(CISE) for the surveillance of the EU

maritime domain

, and the

Tobacco traceability solution

required under Article 15 of

the Tobacco Products Directive. The Commission departments are cooperating to ensure

that there is customs input and advice on customs risk management needs, notably access

to the data for CRM processes, and that the solution is applied at the relevant moment in

the customs declarations (including pre-arrival/pre-departure and NCTS).

Action 2.1

Exercise the empowerment granted in the Union Customs Code

(UCC) to adopt Commission (COM) acts

Identify options for availability and sharing among customs

authorities of supply chain data for risk management purposes

Identify options for availability and sharing of risk-relevant

information, including control results, among EU customs

authorities to analyse and mitigate the risks on a real-time basis

2.1.1

DELAYED

2.1.2

DELAYED

For

Entry

the analysis has been completed as mentioned under Objective 1 and laid

down in the business case and vision document for ICS 2.0 as completed by TAXUD in

close cooperation with a Customs 2020 Project Group comprised of experts from 15

Member States.

For

Customs procedures after entry

and in particular concerning Surveillance 3, drafting

of the L4 BPM (functional requirements/specifications) is completed. The business case

has been updated and reviewed. The vision document has been approved by the ITSC

and IT Board in 2015. The elaboration of specifications will be based on the revised

Annex UCC-IA 21-01 with the list of 40 surveillance data elements referred to in UCC-

IA Article 55 (1) and the foreseen transition strategy for the sending of the data elements.

For

Transit

the amendment of the Council Regulation (EC) No 515/97 on mutual

assistance offers an amended legal basis for ATIS and enlarges the information to be

exchanged between customs authorities and between the Commission and the national

authorities. The common directory with data of transit declarations under the mentioned

Regulation offers a tool for more effective customs investigations related to financial

fraud for goods in transit. The administrative arrangement between OLAF and TAXUD

covers aspects of the ATIS system and is being reviewed. Further study would be needed

in relation to the needs of customs risk management and risk-based controls in all risk

areas relevant for goods in transit under the UCC and as part of the CRMF.

For

Export (Exit)

of goods from the Union customs territory, the amended Regulation

(EC) No 515/97 introduces a common directory with data of export declarations

replicated from the sources operated by the Commission. This directory will cover

certain categories of excise goods, such as alcohol and alcoholic beverages, mineral oils,

tobacco and tobacco products. This will provide a basis for more effective customs

investigations on financial fraud. Further study would be needed in relation to the needs

of customs risk management and risk-based controls in all risk areas for goods exported

besides the financial fraud, such as the export control regime of dual-use goods, export

sanctions, waste, cultural goods, etc., with regard to the UCC and as part of the CRMF.

DELIVERABLES: two out of the three deliverables have been finalised (green) and

http://ec.europa.eu/maritimeaffairs/policy/integrated_maritime_surveillance/index_en.htm.

OLAF/TAXUD/1403/2005 REV. 6.

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for one deliverable no activities have been started yet (blue).

Implementation study determining the availability and possibilities for sharing,

amongst customs, supply chain data and information relevant for risk management

purposes (ongoing in respect of all procedures except for entry)

Adopt provisions with legal acts: Annex B (UCC DA/IA) and Title 4 (UCC

DA/IA)

Common guidelines for customs authorities

Action 2.2

Develop and implement appropriate IT solutions

Adjust and further develop necessary IT systems for availability

and sharing, among customs authorities, of supply chain data,

availability and sharing of risk-relevant information, including

control results, among EU customs authorities

2.2.1

DELAYED

For Entry

As a conclusion of the inception phase TAXUD has, in close cooperation with a Customs

2020 Project Group comprised of experts from 15 Member States, finalised the business

case and first version of the vision document for ICS 2.0. Both documents have been

drafted and presented for go/no-go decision to the CPG in December 2015. The go-

decision for starting the elaboration phase of the project was not given by CPG. The CPG

concluded that some further clarifications are to be provided by the Commission before

the specific project activities can be engaged.

In the meantime the finalisation of the BPMs Levels 2 and 3 is ongoing. The business

requirements (L3 BPM) were available in 2015 but have been subject to a further

alignment to the adopted UCC DA/IA. The update is published for external review in

second quarter of 2016 as part of the whole package of UCC business process models

and is envisaged to be finalised in the third quarter of 2016. The Business modelling L4

BPM (functional requirements/specifications) activity is to be started when a go-decision

for ICS 2.0 is provided.

Lithuania

(member of the project group) emphasises in their report the need for creating

a common or shared IT system for e-screening and risk analysis, which would

communicate with common repository. Updates and requirements for national risk

management IT system can only be defined when the functionalities of the common

system are known. Therefore, there are no national actions to be done at this stage.

Croatia

(member of the project group) has organised, at national level, coordination

meetings between relevant services and the Customs Administration to discuss the

advantages and disadvantages of development of ICS 2.0 at national or EU level.

2.2.2

DELAYED

For Customs procedures following Entry

Concerning

Surveillance

drafting

the

BPM

(functional

requirements/specifications) is completed. The business case has been updated and

reviewed. The vision document has been approved by the ITSC and IT Board in 2015.

The elaboration of specifications will be based on the list of 40 surveillance data

elements referred to in UCC-IA Article 55 (1) and the foreseen transition strategy for the

sending of the data elements.

The provisions on simplifications in the UCC were established in such way to allow an

appropriate control of the operations and risk management to be carried out. For instance,

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the conditions to use entry in the declarant’s records or self-assessment were regulated.

On the IT side, centralised clearance will require the development of the appropriate

exchange of messages to ensure appropriate supervision and management of the

operations.

2.2.3

DELAYED

For Export and Exit

In 2016, sessions have been launched of the ECS Project Group to elaborate in more

detail the FSS, including the required export/exit specifications. This will impact the

production of the Technical System Specifications. However, these IT developments do

not address the needs for availability of data for export/exit. For the purpose of ensuring

availability of supply chain data amongst customs authorities, action 2.1 has not been

launched for export/exit, which would be necessary.

As mentioned above under action 2.1.2 the amended Regulation (EC) No 515/97

introduces a common directory with data of export declarations replicated from sources

operated by the Commission. This directory will cover certain categories of excise goods,

such as alcohol and alcoholic beverages, mineral oils, tobacco and tobacco products. This

will provide a basis for more effective customs investigations on financial fraud. Further

study would be needed in relation to the needs of customs risk management and risk-

based controls in all risk areas for goods exported besides the financial risks, such as the

export control regime of dual-use goods, export sanctions, waste, cultural goods with

regard to the UCC and as part of the CRMF.

2.2.4.

DELAYED

For Transit

In 2016 sessions have been launched of the NCTS Project Group to elaborate in more

detail the FTSS, including the phasing of the progress changes related to safety and

security.

As mentioned also for export/exit above under 3, the IT developments do not address the

objective of supply chain data amongst customs authorities. Also for transit action 2.1

needs to be launched to achieve the objective.

As mentioned under action 2.1.2 the amended Regulation (EC) No 515/97 on mutual

assistance offers a wider legal basis for ATIS and enlarges the information to be

exchanged between customs authorities and between the Commission and the national

authorities. Further study would be needed in relation to the needs of customs risk

management and risk-based controls in all risk areas relevant for goods in transit under

the UCC and as part of the CRMF.

DELIVERABLES: the first deliverable is completed (green), the second is only

partly completed (orange) and for the last two deliverables no actions have been

started yet (blue).

Vision document is concluded for ICS 2.0 (Entry) and Surveillance 3 (Customs

procedures following Entry)

Business case document is finalised for ICS 2.0 (Entry) — but pending update in

view of new implementation approach.

Business case document is being reviewed for Surveillance 3 (Customs procedures

following Entry).

BPMs levels 3 and 4 are concluded for Surveillance 3 (Customs procedures

following Entry).

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For ICS 2.0 drafting of BPM level 3 is ongoing and BPM Level 4 is to be started

when a go-decision for the project is provided.

BPMs levels 3 and 4 are being developed for transit and export/exit. The scope of

the update to NCTS and ECS and the functional requirements are currently being

discussed with a PG. Part of the discussion is the inclusion of the requirements for

security and safety data. For the changes impacting the existing processes

implemented in ECS and NCTS, the discussion focuses on the phasing of the

work.

IT systems adjusted and further developed at the MS and EU level

Action 2.3

Propose solutions for traceability of goods movements during

various customs control stages

Identify options for traceability of goods movements in the

various stages of supply chain movements involving more than

one Member State and through data provided by economic

operators; and identifying appropriate solutions of customs

supervision from their entry into the Union customs territory to

their final customs clearance, taking account of ongoing

initiatives and/or by adjusting the existing customs transactions

systems

2.3.1

ONGOING

The Commission has launched a study (March 2016) in order to analyse risk assessment

capacities within

Coastguard functions

including Customs in the area of maritime

security. The study is expected to provide results on best practices and areas for

improvement on risk assessment procedures. The results are expected to be delivered by

spring 2017.

The development of a

Common Information Sharing Environment (CISE)

that has

been developed as a meta-project for enhanced cooperation and information exchange

between civil and military authorities with a view to further enhance a common maritime

situational awareness picture and data exchange. With the aim of improving supply chain

security and supporting the risk-based surveillance of the movement of goods in the

maritime domain. CISE promotes the exchange of information between the different

authorities involved in the fight against terrorist and organised crime (e.g. smuggling of

goods, trafficking of arms and narcotics and cross-border movements of the cash

proceeds of illegal trade). In the context of CISE, relevant EU agencies (e.g. EMSA,

EFCA, FRONTEX, EDA and EUROPOL) and other European agencies (e.g. ESA) are

invited to reinforce inter-agency cooperation. Also, the Pre-Operational Validation

project 'EUCISE2020' is to test CISE at large scale by 2017-18, followed by a step-by-

step implementation until 2020.

In 2015 the Commission launched the

Digital Transport and Logistics Forum

for the

next three years. The Forum aims at the further digitalisation of freight transport and

logistics. It brings together Member States and stakeholders from transport and logistics

communities in order to identify areas where common action in the EU is needed, to

provide recommendations and solutions, and to work on the implementation of these

recommendations and solutions, where appropriate. Two subgroups were created as part

of the DTLF:



A subgroup addressing the definition and the acceptance of electronic transport

documents. This subgroup looks into 1/ how to increase recognition of electronic

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

transport documents by EU MS authorities, 2/ whether similarities between the

transport documents used in the various transport modes could be exploited with a

view to advance towards ‘multimodal transport documents’, 3/ whether other types of

documents used for freight transport (e.g. on vehicles) could also be digitalised.

A subgroup addressing the optimisation of cargo flows along transport corridors. This

subgroup looks in particular at possible solutions for enhancing traceability of goods

along the supply chain, through incorporating data from different sources.

Early 2016, the Commission launched the eManifest and European Maritime Single

Window initiative, which is a demonstration project developing functional and technical

specifications for the collection of a harmonised electronic manifest (eManifest) and the

sharing of the relevant data with relevant national authorities, including customs and

maritime authorities, and between Member States, through the use of the European

Maritime Single Window prototype. The project involves the shipping industry, ports

and 14 volunteering customs and maritime administrations in the Member States. The

first phase of the eManifest and European Maritime Single Window initiative will run

until early 2017.

Regulation (EC) 2015/1525 of the European Parliament and of the Council of 9

September 2015 amending Council Regulation (EC) No 515/97 will apply on 1

September 2016 as well as the implementing acts

. The Container Status Messages

directory is provided for in Article 18a paragraph 4 and shall be operational as from 1

September 2016. Designated analysts in the Member States and Commission will have

access to this directory. A pilot project is completed with selected container carriers in

order to verify the feasibility as well as technical problems with transfer of data. The aim

of this directory under the mentioned Regulation is to improve capability of the customs

investigation functions including better detection of goods movements in potential breach

of customs and agricultural legislation. Further study would be needed in relation to the

needs of customs risk management and risk-based controls in all risk areas connected to

goods entry and exit (i.e. financial, security and safety, IPR, etc.) under the UCC and as

part of the CRMF.

TRAde Control and Expert System (TRACES)

is the European Commission’s

multilingual online management tool for all sanitary requirements on intra-EU trade and

importation of animals, semen and embryo, food, feed and plants. Its main objective is to

digitise the entire certification process and linked procedures and is in line with the

declaration of the Digital Agenda for Europe. A project initiated by the Commission

services aims at integrating in TRACES electronic COI certifying the organic status of

agricultural products exported from third countries to the Union, as well as FLEGT

licences. This project also provides an input to identify possible solutions on traceability

of goods. The project is creating an interface including risk management information

giving input in customs automated systems for import declarations.

2.3.2

NOT

STARTED

Put forward the appropriate approach, taking into account

relevant aspects

Start date and further planning have not been decided for this action. The start of this

action will depend on the outcome of projects as the ones mentioned above.

DELIVERABLES: for the two deliverables no actions have been started yet

Analysis reports with options for traceability of goods movements

Commission implementing Regulations (EU) 2016/345 (OJ L 65, 11.3.2016, p. 38) and 2016/346 (OJ L 65, 11.3.2016, p. 40).

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Solutions allowing traceability to be implemented

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4.3

Objective 3: Implementing the concept of ‘assess in advance — control where

required’ to respond adequately to risks identified at EU and national level

while maximising efficiency in the use of resources and the fluidity of the

supply chain

As mentioned under Objective 2, Customs’ dual role of controlling the flow of goods on

the one hand and facilitating compliant trade on the other requires customs controls to be

well defined and implemented at the most appropriate moment in the logistic process. EU

legislation that protects security, health, safety and the environment, or imposes sanctions

under the Common Foreign and Security Policy, requires the intervention of customs

where international trade is affected. In order to ensure a uniform and smooth

enforcement of customs controls, while reducing the administrative burden, procedures

laid down by other policies must be standardised and made to fit with customs laws and

processes.

The Prohibition and Restrictions (PARCS) project group, which is composed of

representatives of the European Commission and national experts on prohibitions and

restrictions, has produced a list of prohibitions on import and export of goods and

factsheets for a selection of laws that set prohibitions and restrictions at the EU border.

Each factsheet gives a description of the legislative framework, the role of customs and

the documentary and physical checks that have to be carried out in close cooperation

with other authorities. These factsheets provide a basis on which to determine the timing

of customs controls and whether further recommendations for customs and other

agencies are needed. (For further details, see action 3.2.1).

It is important that the new procedures to be adopted are standardised and fit with

existing customs laws and processes when legislative acts from other policy areas require

customs controls. Commission services have therefore prepared guiding principles. It

aims to ensure a uniform and smooth enforcement of non-customs legislation and reduce

the administrative burden for customs and economic operators. (For further details, see

action 3.2.2).

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Action 3.1

Develop methodologies to implement the concept of ‘assess in

advance — control where required’

Propose a methodology to determine the most appropriate place

and time for the application of customs controls and risk

mitigation measures based on the type/level of risk, control and

supply chain constraints (availability of information,

documentation, and control possibilities)

3.1.1

ONGOING

In 2015 and 2016 most of the work on the ‘place of the control’ was done for financial

controls, simplified procedures and the use of customs procedure 4200

. This is part of a

bigger project on the development of common financial risk rules providing indications

on the moments in the supply chain when customs controls should be carried out, either

at moment of clearance or later in the post-clearance and audit. The first main findings

are expected by the end of 2016.

In the area of air cargo security two projects related to the appropriate place of risk

mitigation are ongoing. Notably: development of CRC, risk indicators and risk mitigation

protocols with the air industry. Both projects (CRC and risk mitigation protocols) are

carried out through multi-agency efforts (customs, aviation security and home affairs),

and involve also economic operators and international partners. Further details on the

status of the CRC project are provided in Objective 4 — Action 4. Details concerning the

project on the air cargo pre-loading risk mitigation protocols and international

harmonisation of the PLACI scheme are in Objective 7 — Action 3.

DELIVERABLE: has not been concluded yet

Concept document

Action 3.2

Perform ‘proof of concept’ within the main policy areas and

propose appropriate solutions

Identify the main policy areas and undertake operational

actions to test solutions e.g. through Priority Control Area

(PCA) actions in cooperation with relevant stakeholders

3.2.1

ONGOING

As main policy areas are identified: Health safety (including public, animal and plant

health), Financial, Intellectual Property Rights, and Product safety and compliance.

In the sectors Health safety and Product safety and compliance the objective is to support

and give practical tools to national customs authorities to improve their controls on

prohibited or restricted goods. Commission services have established factsheets, in which

the cooperation of customs and sanitary authorities for controls on SANTE-regulated

goods are laid down. The factsheets were discussed with Member State representatives of

sanitary services and distributed after their finalisation. This action is linked to actions

4.4.1 and 5.3.1. Each factsheet gives the description of the legislative framework, the role

of customs, the documentary and physical checks to be applied, and other control-related

aspects. Member States have to indicate the relevance for implementing the information

of the factsheets in their controls.

For product safety checklists for a selection of product categories have been drafted

together with national customs and market surveillance authorities. This tool aims at

Import for free release of non-Community goods with exemption from payment of VAT and, where applicable, the excise duty

suspension, is granted because the import is followed by an intra-Community supply or transfer of the goods to another Member

State. In that case, the VAT and, where applicable, the excise duty will be due in the Member State of final destination.

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guiding customs officers when they have to carry out product safety controls on goods.

In relation to the product list for product safety, Decision 2007/275/EC, Regulation (EU)

No 669/2009 and other EU legislation is in place, which serves as a positive list for the

animals and goods presented for sanitary import controls to border inspection posts.

For the product safety and compliance sector also numerous activities are undertaken on

operational actions, already for years. This is done in the framework of Joint enforcement

activities for market surveillance financed by GRANTS of the Consumer Policy Budget.

Customs actively participate in these actions. PROSAFE

is the beneficiary of these

grants. For 2015 the budget for the GRANTS agreement amounted to 2.5 million euros.

Taking into account outcomes of recommendations to provide

guidance in the preparation or review of legislative acts which

foresee customs controls, by describing how customs action can

be envisaged in line with the Union customs legislation and

international trade practices.

3.2.2

ONGOING

Commission services are preparing guidance to support the review or preparation of EU

sectorial legislation (on health, safety, security, environment, cultural goods or imposing

sanctions in the framework of the CFSP) on how customs involvement is to be envisaged

including how customs risk management should be taken into account.

DELIVERABLES: both deliverables are being elaborated (orange).

Proof of concept

COM proposal for updated customs control clauses for non-customs legislation,

where appropriate

Product Safety Forum of Europe, a non-profit professional organisation for market surveillance

authorities and officers in the EU and EEA.

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4.4

Objective 4: Increasing capacity to ensure consistent and effective

implementation of the Common Risk Management Framework (CRMF) and

to increase responsiveness to newly identified risks

A range of actions were carried out in 2015 and early 2016

to improve the use of the

CRMS for the exchange of risk information.

Specific guidelines were distributed to

national customs authorities to draw attention to recurrent problems relating to quality of

information. A new version of CRMS was released to further improve the functioning of

the database. Training sessions were held to educate users of the system and help ensure

that the database is used correctly and consistently with business needs. The Commission

services ensure that the database is closely monitored, in order to streamline and further

improve the quality of information provided.

Risk information is shared at EU level via the CRMS and is then incorporated into

national systems and databases. Inconsistencies and disparities between national systems

and applications have been identified through projects initiated by Member States

(Portugal and Hungary), e.g. the

ENS pilot (maritime)

and the

Common Risk Analysis

Initiative

of the Land Frontier Contact Group (LFCG). These projects consider possible

ways of overcoming weaknesses and inconsistencies in the protection of the borders of

the EU customs union. (For further details, see action 4.1.1).

Availability of data collected under the amended Council Regulation (EC) No 515/97 by

the Commission and the customs risk management services of Member States should be

validated in time to support ConTraffic-ENS testing with operational data provided by

trade during the second half of 2016 and early 2017. The Customs 2020

ConTraffic-

ENS Pilot Project Group

has tested the application of data analytics techniques in the

combination of container status movement data, mainly using ENS data and also pre-

arrival datasets. (For further details, see action 4.2.2).

The

business needs for CRMS 2

were agreed with Member State experts in 2015. These

formed the basis of the business case, which was finalised in April 2016. A project

delivery plan and cost estimation will also be provided together with the business case.

(For further details, see action 4.2.3).

A CRMS analysis group (Commission services and Member States) has carried out a

detailed analysis of the 2013-2015 data available in CRMS (action 4.3). The group has

produced five specific

trend analysis

reports on counterfeit, financial risks, health and

safety risks, security risks and illicit drugs.

The Security Risk Rules Project, designed to set specific risk rules for

Air cargo

security common risk criteria,

is another important project through which customs

authorities can contribute to EU security. (For further details, see action 4.4.1).

In 2015, the Commission services and the Member States began

drafting common rules

on risks in the financial sector.

These relate mainly to the misclassification of goods,

anti-dumping duties, undervaluation, origin, simplified procedures and use of the

customs procedure 4200

. (For further details, see action 4.4.1).

Simultaneous release for free circulation and home use of goods which are VAT-exempt when supplied to another Member

State and, where applicable, benefit from an excise duty suspension. .

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The systematic

CRMF evaluation cycle

concept is being developed in close consultation

with the Member States. The joint work is dedicated to improving and further developing

performance indicators in the field of control. (For further details, see action 4.5.2).

Action 4.1

Identify and address weaknesses and inappropriate variances in

the current implementation of the CRMF at Member State

level, where relevant through EU level support

Analyse, determine and put forward appropriate IT solutions,

where relevant through EU level support

4.1.1

ONGOING

At EU level risk information is shared via the CRMS and implemented in the national

systems and databases. Through projects initiated by Member States:

ENS pilot

(Maritime — initiated by Portugal) and the Common Risk Analysis Initiative of the

Land Frontier Contact Group (initiated by Hungary)

capacity gaps and variances in

the national systems and applications are being identified. Within the projects, possible

solutions to overcome weaknesses and non-equivalence on the level of protecting the

borders of the EU customs union are distinguished.

Phase I for the

ENS pilot (Maritime)

concerning containerised traffic finalises its work

mid-2016. Member States participating in the group are: EL, ES, FI, FR, IT, NL, PT.

When the recommendations of the pilot are implemented by the Member States, this will

reduce the variances in terms of risk analysis and provide solutions for gaps identified in

the national systems.

A subgroup of the LFCG created on initiative of

Hungary

has developed the

Common

Risk Analysis Initiative (CRAI):

it is assessing implementation of the common risk

criteria for road and rail transport and identifying gaps, needs and ideas for potential

solutions. The interim report of the CRAI has been agreed, and communicated at risk

expert level

. The group also recommended going further to develop a common capacity

for CRC implementation for road and rail. The experience of CRAI has already had an

influence at national level in relation to risk management IT systems (FI, HU, HR, and

LT). The Participants of

CRAI are:

(BG, CZ, EE, FI, HU, HR, LT, LV, PL, RO (except

for operational test) and SK). The LFCG-CRAI has also contributed to discussions

related to Objective 1 concerning data requirements and time limits in road and rail

transport. The group has also provided substantial input to a project group working on an

update for NCTS.

Member State customs authorities apply nationally developed risk management IT

applications on a 24/7 basis, some examples are mentioned below.

German customs

is continuously analysing national and EU requirements required for

more effective and efficient risk management. They continue to develop working

methods and IT systems at national level, taking account of the developments at EU level

for CRMF.

Italy

has implemented an automated internal customs control circuit (CDC), processing

all customs declarations and an automated internal security customs circuit (CDS) for

processing of ENS. COGNOS is an automated instrument of business intelligence that

allows producing reports, and impacting analysis to establish and evaluate risk profiles at

national level.

TAXUD/B2/82/2015 – RESTREINT EU

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Since February 2015 the

Belgian

selection environment has been enlarged with the

possibility to perform manual analysis on the risk rules. This made it possible that more

risk rules could be treated. From mid-2016 until the end of 2017 an upgrade for the

whole selection environment has already been planned. This project also foresees

solutions to address shortcomings for analysing ENS and EXS.

Dutch customs

is working on a tool called CLARISSA (Chain Logistics Aligned

Representation of Information Services on Shipments and Contactors) together with a

private partner. CLARISSA is a dashboard that can analyse additional data from external

sources to be used in the risk assessment of manual declarations. External sources are

companies that want to make data available for inspection by the supervisory authorities

or public sources. Sharing information from various links in the chain has the advantages

that companies provide information only once and receive faster the decision to control

or release goods and that it ensures predictable and faster logistics and effective controls.

National risk management systems have been implemented to cover entry and export/exit

operations in

Cyprus.

Common risk criteria have been fully implemented; however,

some technical constraints have been located and a process has been launched in order to

overcome those constraints. It should be noted that some functional requirements impose

a big impact on daily work (high number of false hits). The relevant pilot project groups,

particularly the ENS pilot (maritime), are expected to recommend some ideas for

improvements.

Lithuania

indicates that further updates and modifications to the national risk analysis

system can only be done when the functionalities of ICS 2.0 are known. Until then no

national actions are done. In the same context,

Estonia

mentions that the weaknesses and

variances as mentioned in this action can be solved when ICS 2.0 becomes operational.

France

ensures a coordinated implementation of ICS through monthly internal inter-

bureaux meetings. These ICS steering meetings focus on ICS IT and organisational

implementation, improvements, IT lots deliveries and strategic multiannual planning.

Slovenia

has created a national comparative analysis of the implementation of the CRMF

compared with the EU legal and strategic requirements. An application for automated

retrieval from a dedicated http-address of BIC prefix registry

has been established in the

national risk management system for threat assessment profiling.

Slovakia

reports implementation of in the National Risk Profiling IT Systems in the

context of the UCC, i.e. a new electronic module for import data,

introducing a new Analytics Platform to manage large, fast-growing volumes of data and

provide very fast query performance that supports the early and effective analysis and

evaluation of data, resulting in fast identification and determination of risk and the

implementation of right measures on time.

Sweden

is about to implement a new automated targeting system to enable handling of

all electronic information flows as required in the UCC and introducing EU common risk

rules. Further tools that can support and improve the risk management process are being

explored.

Croatia

has carried out a more in-depth analysis of their risk management engine. This

has led to an upgrade of the engine with new functionalities covering safety and security

risks. National specifications for CRC implementation are updated accordingly.

For

Luxembourg

the update of the national risk analysis system depends on availability

Registration of a container operator’s prefix with the BIC (Bureau International des Containers et du Transport Intermodal), is a

requirement under ISO-6346 and international customs conventions.

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of the IT provider and budgetary constraints. In principle, updates are done on an annual

basis. They report a weakness, namely that the national system cannot manage exit

summary declarations and some CRC are not implemented fully electronically.

Finland

has implemented all CRC through the risk analysis system project: RITU. They

have planned ‘back office’ activities. One of the main activities will be the evaluation of

CRCs, how they work and how to minimise false positives and on the other hand how to

get relevant information for CRCs to identify safety and security risks.

Ireland

has appropriate IT solutions in place to allow effective implementation of the

Common Risk Management Framework (CRMF). The systems are flexible and scalable

in order to meet strategic requirements stemming from CRMF. They also regularly

review the performance of the CRCs from an IT perspective. For statistical reporting

purposes a suite of reporting tools has been built.

Polish customs

is in the process of phased implementation of a new nationwide risk

management system called ZISAR. The system provides an enhanced module of

operational control which helps in putting forward much more sophisticated risk

management and targeting. Currently the system is tested on modules for operational

systems (AIS and AES and on production module for NCTS-2). Temporary problems

with the implementation of certain CRC have already been identified for the first phase,

when the system becomes operational. Finally the new system should solve problems

with technical capabilities and it should give more functionalities that are required for

better and more effective automated risk profiling. Concerning the implementation of

CRC at national level, a dedicated national CRC expert group was set up, which brought

a significant improvement. In quarterly meetings the group monitors the implementation.

The outcomes are reported to the regional customs chambers, and mistakes in control

activities are discussed in order to be solved. The level of automated CRC

implementation has increased from 55 % in 2014 to 95 % in 2016.

Malta

also ensures a periodical revision of risk profiles for an effective use of the risk

analysis system. Currently the national systems are upgraded in order to benefit from the

latest risk assessing features available on the market. The upgraded systems will provide

a certain level of flexibility that will allow maintaining risk profiles more easily, in

particular the national ones.

Bulgaria

has identified functional weaknesses in NCTS related to fulfilment of the

obligation for carrying out safety and security risk analysis. A review of the BPM —

level 4 in the context of UCC has been done. Gaps have been identified in relation to

functional possibilities of the system for transfer of risk analysis results from a customs

office of transit which is at the same time a first point of entry into EU. These gaps

prevent the practical application of the principle of carrying out customs control at the

most appropriate place and time. Another weakness are possible inappropriate variances

in the interpretation of the schemes in relation to the stage of declaration processing at

which risk analysis shall be carried out, as well as to the type of risk analysis to be

carried out (safety and security or national). Both issues have been addressed to LFCG

and Commission.

Security and safety risk criteria have been implemented in

Latvia

almost fully; because

of a huge amount of false hits, IT solutions have been created to avoid an inefficient use

of customs resources.

The

Czech Republic, Denmark and Austria

informed on periodical updates of the

automated customs systems to bring them in accordance with legal requirements of the

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UCC and ensure appropriate implementation of CRC.

4.1.2

ONGOING

Identify and address weaknesses and inappropriate variances

by non-IT solutions

An important non-IT solution to address variances in a harmonised implementation of

customs competencies throughout the EU is the EU-competency Framework

(EU

Customs CFW). A major goal of this CFW is to help harmonise and raise customs

performance standards

throughout the EU. The EU Customs CFW is the foundation

which sets out a consensus view of knowledge, skills and behaviours required by

customs professionals in the EU and further defines public and private Customs roles

(‘Job profiles’) including in the area of customs controls and risk management.

Greece, Cyprus, Poland

and

Portugal

informed on their efforts to implement the EU

Customs CFW, including in the area of risk analysis. In

Cyprus

and

Ireland

annual

evaluations are carried out to improve targeting.

Malta

does a periodical evaluation of

risk profiles to improve targeting for controls. In addition, in

Cyprus

the Intelligence &

Risk Analysis Section at customs headquarters provides daily assistance to local risk

analysis officers helping them make the right decision as regards targeting and

controlling.

In the

Netherlands

the master study Customs and Supply Chain Compliance has started,

collaboration between universities, trade organisations and customs. Specific training

programmes on risk analysis exist in

Austria, the Czech Republic, Cyprus, Estonia,

Finland, France, Italy, Latvia, Lithuania, Poland, Spain

and

Sweden.

The

LFCG

CRAI

(see action 4.1.1 above) identifies a number of core implementation

issues where common practices should be further developed and refers also to training

needs, in the EU Classified Interim Summary Report.

Belgium, Croatia, the Czech Republic, Denmark, Finland, Ireland, Latvia,

Lithuania, Luxembourg, Poland, Slovakia, Spain

and

Sweden

ensure 24/7 availability

for risk analysis.

Greece

indicates 24/7 availability of risk analysis and targeting officials

at land borders. In

Cyprus

24/7 availability exists only for air cargo.

Estonia

has

expanded 24/7 availability for risk analysis over the last years and updated their

processes for sending and receiving of RIFs.

Italy

is considering 24/7 availability at national level for other relevant customs offices

which do not provide such service yet and which are located at main ports and airports.

When the CRMS is reshaped they will implement instructions at regional level to

strengthen a coordinated implementation of the system nationwide. In the effort to

improve the use of the CRMS, a group in the ‘safety and security at entry’ sector has

been created to deal exclusively with the coordination of RIF, related risk profiles and

trend analysis, coordination of feedback and a helpdesk of CRMS analysts to assist local

offices.

Malta

is upgrading the national risk management systems in order to benefit from the

latest risk assessing features available on the market. The upgraded systems will provide

a certain level of flexibility that will allow maintaining risk profiles more easily, in

http://ec.europa.eu/taxation_customs/common/eu_training/competency/index_en.htm.

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particular the national profiles.

Germany

and

Croatia

take into account the weaknesses in their daily operational

implementation of CRMF. In addition,

Germany

mentions how the ongoing

reorganisation challenges the implementation of objectives for risk management.

Austria

a central risk analysis centre is implemented since 2004. Local risk

management in customs offices is established; a network sharing risk information by

special Anti -Fraud coordinators in all customs offices and all tax offices is established.

Belgium

installed a non-automated workaround for mathematical checks demanded in

particular CRCs. Negotiations with licensing authorities are ongoing to open real-time

access to the denial database for all analysts who are dealing with CRCs.

Actions planned, but not started yet:

Bulgaria, Hungary, Estonia, Italy, Luxembourg, Malta, Slovakia and Slovenia

are

planning to organise training modules depending on currently ongoing developments

such as the UCC, update CRC guidelines, new national IT modules etc.

Austria, Cyprus

and

Finland

express the need for development of training modules at

EU level.

Poland

mentioned that an update of the national ‘CRC operational guidelines’ has been

planned in regard of the forthcoming implementation of new operational customs

systems (AIS — new Automated Import System, AES — new Automated Export

System, NCTS2 — an updated version of New Computerised Transit System).

DELIVERABLES: Commission services and Member States are active in

harmonising the implementation of CRC. Guidance on training and performance

requirements is provided in the EU Customs Performance Competency

Framework. However, activities on developing requirements for Member States’

risk management systems and the update of CRC guidelines still have to be started

(blue).

More harmonised implementation of CRC

Functional requirements for MS Risk Management systems

Technical requirements for MS Risk Management systems

Updated CRC guidelines

Practical training programme for national customs authorities containing

operational modules

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Action 4.2

Develop possible further capacities and enhance cooperation

and coordination between customs authorities

Identify and determine — at Member State and EU level —

possible further capacities that might be necessary to support

more effective and efficient risk management, including

increased responsiveness to newly identified risks

4.2.1

ONGOING

CRMS re-shape:

a business case document is finalised. Together with this document, a

project delivery planning and cost expectations are provided, as well as proposals for IT

architecture. In the context of the re-shape of CRMS,

Slovakia

proposes a new

organisation of information dissemination in the area of Crisis Management at the

national level.

The Commission, in close cooperation with Member States, has improved the use of

CRMS for exchange of risk information. Various actions have been carried out:

specific guidelines have been distributed to underline recurrent problems of quality of

information;

a new release has been made to improve some functions of the system;

attention was given to training on the use of the system to ensure it is in line with

business needs and accurate;

a close monitoring of the database is ongoing to streamline the quality of information

provided in CRMS;

the use of the system is regularly promoted in groups.

Various Member States underline the importance of the re-shape of CRMS as a

collaborative platform for exchange of risk-relevant information. Nevertheless,

Finland

mentions performance issues with the CRMS system and

Romania

indicates that

functions in CRMS should be more flexible. It is also mentioned (Finland and

Austria)

that information is not always of a high quality, that it should be better ensured and

coordinated at national and EU level.

Also the work of projects initiated by Member States:

ENS pilot (Maritime) and

LFCG-CRAI

(see action 4.1.1 above) has contributed to identifying capacity gaps,

needs and possible solutions in the national systems and CRMS. The outcomes of the

groups provide valuable input to possible solutions on how to overcome weaknesses and

non-equivalence at EU level.

Germany

mentions the ongoing evaluation for effective and efficient risk management at

national and EU level. This evaluation will identify the necessary IT and non-IT

requirements and the necessary resources. National and international cooperation

between customs and other authorities are being intensified.

The Anti-fraud and Controls Central Directorate of the

Italian

Customs Agency has

developed the internal coordination and strengthened the related practices already in

place to identify new types of frauds, also in close cooperation with customs authorities

of other Member States. Particular areas of investigations are the customs procedure 42

00, tobacco and tobacco products, mineral oils and alcoholic spirits.

Slovakia

mentions bilateral agreements between the Visegrad countries (SK, CZ, PL,

HU) on the exchange of data in order to eliminate fraud in connection with

undervaluation of textile goods, as well as in the context of the fight against fraud in the

application of the customs procedure 4200.

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The Netherlands

informed on explorations that they are carrying out on auto-detection

of data. Information and analysis of data are the most important building blocks. These

are bundled in the national intelligence function, which should be elevated. A team is

created, comprised of customs officials and data analysts, to achieve the development of

a risk for play-model and self-learning models. Also, research has started to explore

improvements for manual selection (related to ICS) with the use of human intelligence.

France and Slovenia

have defined at national level the actions required to be carried out

in real time to identify risks in the CRMS platform and the requirements to address

weaknesses and inappropriate variances in the current national implementation of the

CRMF.

Croatia

explains that data acquired from RIFs is cross-referenced with national public

databases to find connections between subjects that do not seem interlinked. This is

based on experience gained on interagency cooperation in the fight against counterfeited

goods. In addition, a national database is developed to log all activities related to

individual RIFs. In this context complexity of exporting of data from CRMS into a

national database is mentioned.

Also the National Risk Analysis Centre in

Spain

analyses on a permanent basis risk-

relevant information received from other Member States through CRMS. The

information is disseminated to the relevant risk management units for national

application.

Bulgaria

mentions national efforts to improve risk management in the area of air

passengers as well as enhancement of controls for rail transport and analysis of X-ray

images for control decisions.

Analyse and identify options for further enhanced pro-active

cooperation, coordination and better risk assessment of the

supply chain on a real-time basis in cooperation with the

Member States

4.2.2

ONGOING

In regard of enhancing complementarity between customs risk-based controls and

customs investigations, the amendment of the Regulation (EC) No 515/97 by Regulation

(EU) 2015/1525 is very relevant. The CSM directory is provided for in Article 18a

paragraph 4 and shall be operational as from 1 September 2016. Designated analysts in

the Member States and Commission will have an access to this directory. For the input of

data from CSM a pilot project is carried out with selected container carriers associated in

the World Shipping Council. This pilot verifies the feasibility as well as technical

problems with transfer of data.

Further study woul be needed as to how the data can be applied both for customs

investigations and risk management processes covering the full range of risks as defined

in the Article 5 (7) UCC under the CRMF. The most appropriate option identified should

be reflected in IT solutions to be developed.

This should include identification of the appropriate governance to ensure that

development and administration of the existing and future IT systems are formally shared

between the relevant Commission services in accordance with data protection rules.

The Customs 2020

Contraffic-ENS Pilot Project Group

has tested, through the

experimentation performed at the JRC and by using its ConTraffic system, the

application of data analytics techniques in the combination of container status movement

ConTraffic data primarily with ENS data as well as pre-arrival datasets. Over 2016-2018

the group will be supported by the JRC in the development of a preliminary solution

design for effective integration of CSM collected in the common directory into real-time

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pre-arrival risk analysis of ENS and in flexible analytics. This will determine capacity

needs and describe technical and operational implementation requirements. This project

is also linked to Objective 2. Commission services strongly support the work carried out

by the JRC on this pilot.

The Customs 2020

Data Mining Project Group,

launched by

Lithuania,

will also help

improve the skills and knowledge of the Member States in the use of the relevant

techniques in identification of customs risks. The group has exchanged experiences and

identified relevant tools, capacity issues and practices in data analytics. The areas in

which data mining can complement customs risk management will be further explored

and tested in 2016-2017. For this purpose the mandate of the project group will be

extended.

The

Horizon 2020 security research programme

call for the 2017 work programme

will call for Research and Innovation Action on architectures and organisations, big data

and data analytics for customs risk management of international goods supply chain trade

movements. The scope will be to identify appropriate solutions of intelligent use and

management of complex and large amount of data, exploiting unstructured data,

supporting operational and situational awareness of customs authorities, adding

intelligence (trends analysis, correlation analysis, etc.) by means of state-of-the-art

technologies including in the fields of big data, data analytics, data mining, visualisation,

and intelligent user interfaces.

Put forward and implement appropriate solutions (including

IT) for developing necessary further risk management

capacities at MS and EU level (considering also solutions

proposed by EU-funded research projects) including enhanced

cooperation and coordination between the customs authorities

4.2.3

ONGOING

The development of ICS 2.0 with a common repository for ENS (see actions 1.2 and 2.2)

is an important project to provide an appropriate IT solution to support the increased risk

management capacities at EU and national level. In their progress reports many Member

States indicate that they are urgently waiting for a proposed way forward of the project:

Croatia, Cyprus, Denmark, Estonia, Finland, Germany, Hungary, Ireland, Italy,

Latvia, Lithuania, Malta, Poland, Portugal, Romania,

and

Slovenia.

Another IT development is the

CRMS re-shape,

for which a business case document is

finalised. Together with this document, a project delivery planning and cost expectations

are provided, as well as proposals for IT architecture.

Also at national level, new IT developments are launched, for example in

France:

national systems in the direct ICS field are currently being modified. A new IT general

architecture is already implemented in the national IT centre. New modules are being

delivered and will also be constantly modified, National Base of Controls (BANACO

Base Nationale des Contrôles), and screens for real-time treatment of risks.

Research and Innovation:

Member States actively participate in the following projects funded by Horizon 2020:

1) BES-09-2014 — supply chain security topic 2: Technologies for inspections of large

volume freight — project called

C-BORD

(Container inspection at border control

points). The aim is to develop innovative tools for customs controls which — combining

the non-intrusive X-rays advanced type technologies for the diagnosis of customs risks

— allow the detection of dangerous and illicit substances (such as explosives, chemical

agents), radiological or nuclear risks, tobacco and illicit drugs (specifically through the

sniffer technology), and other customs offences.

France, Italy, Hungary, the

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Netherlands and Poland.

2) BES-14-2014 — Ethical Societal Dimension topic 1: the Human factors in border

control — project called

BODEGA.

The aim is to improve the approach to border

control operations, developing methodologies, tools and practices to make controls more

effective. Particular focus is placed on reducing the information gap between the border

authorities, the development of control methods that analyse the behaviour of travellers,

the simplification of the verification of travel documents, and the creation of a video

surveillance system to monitor broader cross-border areas.

France, Greece, Italy

and

private entities.

CORE project:

The aim is to strengthen and extend the capabilities of the European Union to make the

supply chain safer and more efficient.

Belgium, Italy, the Netherlands and the United

Kingdom

participate in cooperation with private partners in so-called demonstrators:

such as Work package (WP) 14: Demonstrator FALACUS: FAstLAne through

CUStoms, dedicated to the realisation of the pilot system for a ‘fast lane’ at European

level to secure the supply chain logistics of ceramic products for export to the United

States (Interport Bologna — Port of La Spezia — USA).

Dutch customs

is participating in one of the WPs focusing on the port of Rotterdam. The

objectives of this demonstrator are to integrate logistics and security requirements in the

supply chain design and planning; to identify benefits of coordinated border management

and to improve supply chain visibility for supervision in trade lanes.

The Netherlands indicates that innovation is also a topic in the

air passenger traffic;

i.e.

to strengthen the intelligence function by getting access to TRIP (Travel Information

Point). TRIP provides more opportunities for analysis and contributes to the development

of a single window. In this context, Bulgaria mentions the availability of PNR data for

the purposes of air passenger traffic risk analysis. Amendments to the legislation have

been made adopting regulations on the provision of such data and its processing by the

national agency for National Security.

Furthermore,

Bulgaria

is implementing new technologies, for example to enhance the

effectiveness of customs controls of consignments transported by rail through a

stationary X-ray system for inspection of trainsets and transported goods. Another project

is to enhance efficiency in interpreting X-ray images in order to better prepare an

appropriate control decision through creation of a centralised database for non-intrusive

inspection images.

Such a centralised X-ray database of NII images exists in

Poland,

at the National X-ray

Inspection Centre in Gdańsk. The central X-ray Image Data Base collects images and

their descriptions, based on which specialised libraries of comparative materials are

established. The centre in Gdańsk provides mechanisms as well as organisational and

functional solutions supporting efficient and effective operation of the customs

authorities and flexibility for responding to any needs arising from a changing customs

environment. The centre also ensures complex coordination and efficiency monitoring of

the use of the X-ray devices by customs.

Dutch customs

is also exploring innovative technologies for auto-detection of goods.

Regarding detection technology, the approach aims to challenge companies to develop

new products that increasingly meet new demands and requirements. Applications should

not only generate images, but interpret those images. In addition, a tool called

CORE is a consortium created under the umbrella of Horizon 2020.

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CLARISSA is developed together with a commercial partner. The current development

of CLARISSA is a dashboard that can be used as additional data from external sources

and used in the risk assessment of paper-based declarations. JRC supports the

CLARISSA project through the provision of data from its ConTraffic system.

DELIVERABLES: all three deliverables are ongoing

Report of the analysis and/or evaluation of the outcomes of the pilot(s)

At MS level further necessary IT and other relevant risk management capabilities

are developed.

At EU level further necessary IT risk management capabilities (e.g. enhanced

CRMS) or other relevant capacities are developed.

Action 4.3

Develop further national and EU level customs threat and risk

assessments for the full range of threats and risks

Work on a strategic analysis to identify trends of illicit trade

crossing EU borders with a view to better identify common

profiles of illicit trade within the CRMF

4.3.1

ONGOING

CRMS analysis group

(Commission and Member States) has thoroughly analysed

2013-2015 data available in CRMS. The group has produced five specific trend analysis

reports on 1) counterfeit, 2) financial risks, 3) health (including animal, public and plant

health) and safety risks, 4) security risks and 5) illicit drugs. The information provides

customs authorities with a better insight and situational awareness of trends and

developments in illicit trade. The work of the group has contributed to the CRMS re-

shape document in particular in the part dedicated to data analytics and reports. It enables

customs to better identify common risk profiles and refinement of common risk criteria.

The annual overview of the LFCG also provides an analysis of key trends based on data

from detections made at each of the 171 commercial road and rail Customs Border

Crossing Points and RIFs produced during a given year concerning road and rail traffic.

Develop customs threat and risk assessments at national level

and ensure that their results are shared and deployed in the

CRMF and used for development and refinement of the

common risk criteria and standards, where appropriate

4.3.2

ONGOING

Austria, Cyprus, the Czech Republic, Estonia, Germany, Ireland, Latvia, the

Netherlands, Slovenia

and

Sweden

mention that this action is part of daily operations.

Italy,

as a member of the

CRMS analysis group,

implements the outcomes of the

group’s analysis. The customs agency has also reached an agreement with the main

international express couriers in order to directly access their handling systems to detect

immediately new trends and threats in the risk field. In addition, Italy has developed an

automated tool (SIDDA). This tool assists Italian customs in trend analysis for —

amongst others — undervaluation, based on statistical analyses of data from customs

declarations on the unit price of consignments.

Poland

has developed a similar IT tool (based on statistical measures) for preventing

undervaluation of customs value in textiles and footwear for imports in Poland. This has

contributed to an increase of the declared customs values for the above-mentioned goods.

Dutch customs

is participating in national meetings concerning the EU policy cycle and

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national operational activities for EMPACT (Organised crime threat assessments). On a

tactical level, senior customs officers and management meet with their colleagues to

discuss and verify national threat analyses. In view of multi-agency cooperation

(Objective 5) at a more operational level, customs intelligence officers liaise with their

counterparts in various other law enforcement agencies. The aim is to ensure sharing of

relevant targeting information.

Cyprus

informs that the national Government Data Warehouse has been recently

developed in order to collect, link and analyse information obtained from various

databases, including ICS, ECS, customs declaration systems etc. Various reports can be

produced including risk assessments and compliance measurement, through the results

monitored by appropriate KPI’s.

Lithuania,

the Customs Criminal Service prepares annually the list of priority

directions for the coming year. Threat assessment and discussions between leading

experts take place in preparing that list, which is approved by order of the director of the

Customs Criminal Service. Hence, the list is made available for obligatory use to all

officers of the Customs Criminal Service. The list of priority directions for 2016

contains: control of circulation of narcotics and precursors; control of illegal

transportation and command of excise goods; focus on organised crime and most

dangerous offences; further improvement of risk management and targeting;

strengthening cooperation with other national control institutions and with institutions in

other countries, as well as with international organisations.

Poland has structured Task Force Groups specialised in most of the strategic areas of

functioning of the Customs Service such as tobacco products, mineral oils and illicit

drugs. These groups coordinate and/or initiate actions at local as well as national level.

They also coordinate the cooperation with other government agencies.

The Strategic Centre of Analysis of Customs Service (NRAC) creates strategic analytical

reports which are implemented in the Polish automated customs environment ZISAR.

Develop customs threat and risk assessments at EU level and

ensure their results are shared and deployed in the CRMF and

used for development and refinement of the common risk

criteria and standards, where appropriate

4.3.3

ONGOING

See the work carried out by the

CRMS analysis group

as mentioned above for action

4.3.1. The group continues updating analysis of data for specific risks in 2016.

DELIVERABLES: work is ongoing to contributing to all three deliverables

Structure for strategic analysis identifying trends of illicit trade

Improvements at national and EU level for assessment processes

More precise risk criteria and selection standards including for customs procedures

following entry

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Action 4.4

Further develop EU common risk criteria and standards

(CRC) for the full range of risks, in cooperation with the

competent services

Develop further, under the CRMF, EU common risk criteria,

where relevant, together with competent authorities for full

range of risks associated with goods movements

4.4.1

ONGOING

This action occurs for 11 different policy areas and the involvement of all relevant

Commission services: Aviation security; Product safety and compliance; Health and

consumer protection; Animal, food, feed and plant health and safety; Intellectual

Property Rights; Financial risks; Non-proliferation and conventional weapons;

Environment (Waste, ODS, Wildlife trafficking, Chemical products); Drug precursors;

Cash controls and Cultural goods.

Aviation security:

development of the Air cargo security CRC and Risk Indicators

commenced in 2015. As these criteria and risks are of multi-agency concern, the work

has been carried out together by Commission services and the national customs, civil

aviation, and counter-terrorism experts within an informal working group. A draft set of

the CRC and risk indicators went through first consultation with all national civil

aviation and home affairs authorities from the 28 EU Member States, Switzerland and

Norway. The consultation was completed in December 2015, with substantial

contribution from the civil aviation authorities and lack of input from the national

authorities responsible for home affairs (i.e. security and intelligence agencies). An

increased and more substantial input from the home affairs authorities is a challenge that

should be addressed in the next phases of the project. The operational implementation of

these criteria and risk indicators depends on the operational implementation of the

Objective 1 and 2 (including the additional risk analysis capacity envisaged to be able to

electronically implement risk rules for these criteria at EU level). An end-date for

completing this project can therefore not be indicated yet.

Product safety and compliance:

A document named ‘Cooperation between Customs

and Market Surveillance Authorities (MSA) on risk management in the area of product

safety and compliance controls on imported goods’ was finalised and shared with

Member States in December 2015. The document provides a methodology for exchange

of risk information between customs and MSA. Over the years, numerous operational

activities have been undertaken in the product safety and compliance sector.

On a regular basis, Commission services selects RAPEX notifications, which are

transformed in RIF and uploaded in CRMS.

Health and consumer protection:

factsheets for a selection of legislations in the area of

health and safety, setting prohibitions and restrictions at the border have been drafted in

close cooperation with Member States and Commission services. Each factsheet gives

the description of the legislative framework, the role of customs and the documentary

and physical checks to be applied, and cooperation with other authorities. These

factsheets (PARCS) provide a basis to evaluate the best place for customs to control and

whether further recommendations for customs and other agencies need to be formulated.

Animal, food, feed, plant safety:

for this area Commission services have worked

together on the establishment of the factsheets (PARCS) as mentioned above. The

factsheets were discussed with Member States and distributed after finalisation.

A workshop with customs and veterinary authorities was held in March 2016. Issues of

common interest for both authorities were discussed, such as scenarios of import

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controls, cooperation between authorities, transit, and the EU Single Window (CVED).

To handle requests for cross-border cooperation in cases of non-compliance in the food

and feed chain, each Member State has appointed a contact point within the EU Food

Fraud Network. The network has been operational since July 2013.

Intellectual Property Rights:

due to lack of resources no concrete development of

CRCs has been done.

Financial risks:

this concerns mainly misclassification of goods, Anti-Dumping Duties,

undervaluation, origin, simplified procedures and use of the customs procedure 4200. A

first proposal for common risk criteria will be submitted for endorsement to the Customs

Code Committee — Section Controls and Risk Management by the end of 2016.

Non-proliferation and conventional weapons:

concerning

dual-use goods,

a joint

simulation exercise (SIMEX) with involvement of customs authorities as well as

licensing authorities was organised in 2015. Priority Control Action (PCA) COSMO was

carried out in 2015 to support and complement a joint action initiated by the WCO. The

objective was to streamline the information from EU customs and to underline the

complementarity of actions.

In December 2015 the Commission published a Communication on an EU action plan

against

illicit trafficking in and use of firearms and explosives.

Recommendations

from this report include the setting up of a PCA with Member States on the illicit

trafficking of firearms and — as far as possible — explosives, at the external borders and

developing potential CRC.

Environment

(Waste, Wildlife trafficking, Chemical products): an EU risk profile

following the Tianjin blast has been set; updated general risk information is shared with

the Member State customs authorities. An EU RIF has also been issued on the illegal

exports of Anguilla Anguilla fish (CITES-product).

Drug Precursors:

an EU Drug Precursor Project Group meeting on ‘Risk

analysis/management in the field of drug precursors’ was organised in 2015 in Sofia. The

event gathered members of the ‘Customs 2020 Drug Precursor Project Group’, EU

Member State experts on drug precursor legislation and risk analysis/management, third

country experts from Colombia and Peru, and experts from the International Narcotics

Control Board (INCB) and the US Drug Enforcement Administration (DEA).

The EU Drug Precursor Project Group intends to meet in subgroups (sea traffic, air

traffic, land traffic and express services) in order to discuss specific risk management

related topics.

On a regular basis, RIF-messages concerning drug precursors are uploaded in CRMS. EU

Member States are also frequent contributors to the Precursor Incident Communications

System (PICS) of the International Narcotics Control Board.

Cash controls:

development of CRC for cash movements is ongoing.

Cultural goods:

This concerns mainly the restrictions on the import of cultural goods

from Iraq and Syria. An EU risk profile for imports has been created. In order to identify

the parameters of this problem and establish an appropriate risk management approach in

this area, we need more expertise from various sources in the field, including the expert

group that was created on Customs and Cultural goods.

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4.4.2

COMPLETED

Propose and adopt adequate legal acts for the new EU

common risk criteria

To ensure continuous harmonised application of risk analysis and controls in the area of

security and safety based on established common risk criteria and standards, it is

necessary under the UCC to review the

Commission Decision No C (2009) 2601 of 15

April 2009,

since its legal basis expired on 1 May 2016 following the entry into

application of the UCC. The amendment contains the minimum necessary changes, as the

substantial review of the existing common risk criteria, the establishment of the new ones

(e.g. air cargo security) and any other relevant aspects, such as the ones stemming from

the implementation of the Objectives 1 and 2 of the Strategy, will need to be addressed at

a later stage as appropriate.

The favourable vote on the draft proposal for a Commission Implementing Decision on

common security risk criteria and standards (entry and exit) took place in the Customs

Code Committee on 18 March 2016.

DELIVERABLES: the legal act is adopted. CRCs are implemented in PCA where

necessary and ongoing. CRCs currently being developed in areas such as air cargo

security, financial risks and others will be integrated in the future Commission

Decision (see also the next action 4.5.1)

COM acts in the framework of the current CCC and UCC establishing CRC

CRC implemented via Priority Control Actions

Action 4.5

Systematically monitor, evaluate and improve implementation

of the EU risk management by the MS and measure

performance of the CRMF

Continue to evaluate and improve the effectiveness and

efficiency of the existing CRC; improve the arrangements for

CRC review

4.5.1

ONGOING

As regards the air cargo security CRC and risk indicators, any move towards legal

adoption is pending the evolution of the project of developing these criteria, which

effectively depends on the target date of Implementation of Objective 1 and 2, together

with the appropriate additional risk analysis capacity to support the implementation of

CRC/risk indicators by the MSs (i.e. risk engine for execution of risk rules/ algorithms).

Develop a structured approach (evaluation cycle) for

systematically monitoring, evaluating and improving

implementation of EU risk management by the MS and

measuring the performance of the CRMF, to ensure

harmonised, effective and efficient implementation

4.5.2

ONGOING

The systematic CRMF evaluation cycle concept is in development in close consultation

with the Member States. The overall concept and the specific areas for the CRMF

evaluation cycle and Customs Union Performance (CUP) are mutually supportive.

Coordination is ensured between the Customs Code Committee — Section Controls and

Risk Management and the CUP Project Subgroup on controls. The work of that subgroup

is dedicated to improvement and further development of performance indicators in the

field of control.

There exists a separate set of indicators for post-clearance controls. A summary of key

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figures and trends on control indicators is regularly prepared in CUP Analytical and

Annual Reports. Cooperation of the CUP project and the risk management area has been

established. The cooperation covers several aspects: exchange of information on the

current state of play and further plans, consultation on summary reports and definitions

of performance indicators, creation of a structured list of areas for further development of

performance indicators on customs controls.

The following activities are planned to be carried out:

•

Joint meetings of the CUP Steering Group with risk management experts.

Detailed analysis of CUP 2015 data. 2015 Analytical and Annual Reports will be

prepared in the first half of 2016 in cooperation/consultation with the control and risk

management area.

A survey on three areas: border management/passenger traffic, mobile controls and

non-intrusive inspections. The outcome of the survey will create a basis for

considering the approach and identifying potential candidates for further performance

indicators in the control area in cooperation between the CUP and CRMF. This is

planned for 2016/2017.

An amended version of definitions for the current CUP performance indicators on

controls will be prepared aligning them with the UCC and DA/IA, by end of 2016.

•

DELIVERABLE: work is ongoing to contributing to the deliverable

CRMF performance measurement implemented (CRMF evaluation cycle)

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4.5

Objective 5: Promoting interagency cooperation and improving information

sharing between customs and other authorities at Member State and EU level,

in order to ensure effective risk management

Interagency cooperation means cooperation between customs and other authorities.

Ensuring border-crossing for persons and goods that is both secure and smooth and fast,

while also applying the rules on border checks and customs control has become a

challenge at many border-crossing points, with the overall flow of goods and persons

increasing. Interagency cooperation between the authorities responsible for checks on

persons and control of goods could facilitate this task. Customs services’ ability to carry

out effective risk assessment depends on information and intelligence received from

other agencies. Some examples of such cooperation are mentioned in the following

paragraphs, and more specific details are given in the description of the actions.

The guidelines on cooperation between

customs and border guards

working at the

external borders issued in 2013 are a practical tool that supports cooperation in a

structured way (i.e. by synchronising both the timing and location of checks). The

guidelines provide informal and non-binding guidance for Member States in eight areas

of cooperation, depending on the specific national circumstances (e.g. the organisational

structures in place and the local situation). The eight areas include: synchronised checks,

joint planning of infrastructure and procurement, information exchange, risk analysis,

equipment, investigations, joint operations and training.

A document on cooperation between customs and

market surveillance authorities

(MSA) on risk management in the area of product safety and compliance controls on

imported goods was finalised in December 2015. It provides a methodology for the

exchange of risk information between customs and MSA. A large number of operational

activities have been undertaken in the product safety and compliance sector in recent

years, mainly as part of joint enforcement activities for MSA and customs financed by

grants from the consumer policy budget. The increased value of goods sold via the

internet (e-commerce) being imported into the EU, which take the form of a high volume

of small parcels, presents a new challenge for enforcement authorities, including

customs, who need to enforce prohibitions and restrictions through effective risk

management and controls.

national level,

customs authorities cooperate with other border and law enforcement

authorities, either through customs representatives in ministerial councils or on the basis

of cooperation agreements or memoranda of understanding with other authorities. Some

examples from Member States include the following:

─

In the Netherlands, the control of goods by different authorities is coordinated by

a state inspectorate terminal at the port of Rotterdam and a joint inspection centre

at Schiphol airport.

Croatian and Spanish customs authorities have signed cooperation agreements for

integrated border management with relevant authorities from the ministries of

Agriculture, Health, Maritime Affairs and others.

Finnish customs has a cooperation framework with the national transport agency

set up through Portnet, in which notifications of the arrival and departure of

─

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vessels are centrally collected and can be used for risk analysis of Entry Summary

Declarations (ENS).

─

The Italian customs agency is the coordinating body for the Italian Single

Window system. (For further details, see action 5.1.4).

Customs’ contribution to the fight against organised crime and the related

police-

customs cooperation

is described in more detail under action 5.3.

Action 5.1

Develop further cross-sectoral cooperation arrangements,

improve sharing and accessibility of (risk) information and

customs involvement in risk and threat assessments

Develop further the cooperation arrangements between customs

and other competent authorities, with a view to ensuring

complementarity of roles in supply chain risk management

5.1.1

ONGOING

For the development of multi-agency cooperation 10 main areas of cooperation have

been identified: Law Enforcement; Intellectual Property Rights; Transport (maritime and

aviation security); Animal, food, feed and plant health and safety; Product safety and

compliance; Health protection; Environment; Tax; Non-proliferation and conventional

weapons; and Cultural goods. Outcomes from actions ongoing under the objectives 3 and

4 deliver an important input in establishing cooperation arrangements between customs

and other authorities.

Law Enforcement:

A Customs 2020 High-Level Seminar on cooperation between border authorities was

organised by the Latvian Council presidency in Riga (May 2015). This seminar on

passenger controls identified an agenda for further work and cooperation between

customs and other border authorities, e.g. to ensure that advance passenger data are also

available for customs use.

For

cash movements controls

an analysis and evaluation of current information sharing

mechanisms is being conducted against the backdrop of the ongoing revision of

Regulation (EC) 1889/2005.

Intellectual Property Rights:

A High-Level Conference on cooperation between the authorities in the fight against

infringements of IPR took place in February 2016 and highlighted the difficulties in the

area of systematic exchange of information between all law enforcement authorities,

prosecutors and judicial authorities.

For the linking of COPIS with AFIS the inception activities are ongoing. The date for

launching the production is estimated for Q2 2017.

Transport (maritime and aviation security):

Concerning

aviation security

see the details on development of common risk criteria

outlined under action 4.4.1.

For the maritime domain, the Commission launched a study (March 2016) in order to

analyse risk assessment capacities within

Coastguard functions

including Customs in

the area of maritime security. The study is expected to contribute to a better overview of

multi-agency cooperation in conducting risk assessment tasks of individual authorities,

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and to provide recommendations in this area. The results are expected for spring 2017.

In the area of maritime transport the Commission has launched the

DTLF

in 2015. This

Forum aims at the further digitalisation of freight transport and logistics. It brings

together Member States and stakeholders from transport and logistics communities in

order to identify areas where common action in the EU is needed. (Further details are

mentioned under Objective 2, Action 3).

Within the framework of the

EU Maritime Security Strategy

various initiatives are

ongoing in the area of improving multi-agency cooperation and exchange of information.

At EU and national level customs actively contributes to improving supply chain security

and supports risk-based surveillance of goods movements in the maritime domain in the

fight against terrorist and organised crime activities such as the smuggling of goods and

the trafficking of arms and narcotics, along with cross-border movements of cash as

proceeds of this illegal trade. The development of a Common Information Sharing

Environment (CISE) promotes the exchange of relevant information among the different

authorities involved in the maritime area. CISE has been developed as a meta-project for

enhanced cooperation and information exchange between civil and military authorities

with a view to further enhance a common maritime situational awareness picture and data

exchange. With the aim of improving supply chain security and supporting the risk-based

surveillance of the movement of goods in the maritime domain, CISE promotes the

exchange of information between the different authorities involved in the fight against

terrorist and organised crime (e.g. smuggling of goods, trafficking of arms and narcotics

and cross-border movements of the cash proceeds of illegal trade). In the context of

CISE, relevant EU agencies (e.g. EMSA, EFCA, FRONTEX, EDA and EUROPOL) and

other European agencies (e.g. ESA) are invited to reinforce cooperation between those

agencies. Also, the Pre-Operational Validation project 'EUCISE2020' is to test CISE at

large scale by 2017-2018, followed by a step-by-step implementation until 2020.

Animal, food, feed and plant health and safety:

A workshop with

customs and veterinary authorities

was held in March 2016, further

workshops should be planned with other sanitary import control authorities. See further

details under action 4.4.1.

To handle requests for cross-border cooperation in cases of non-compliance in the food

and feed chain, each Member State has appointed a contact point within

the EU Food

Fraud Network (FFN).

The network has been operational since July 2013; and since its

creation the Commission has observed a marked increase in the number of exchanges

from 30 in 2013 to more than 100 in 2015, adding up to more than 200 cases in total

since the creation of the network.

A dedicated IT tool, the

Administrative Assistance and Cooperation (AAC) system,

was launched on 18 November 2015 to facilitate the exchange of administrative

information between national authorities. At a later stage, it will be made available also

to the liaison bodies working on cases of Administrative Assistance and Cooperation not

related to fraudulent practices. Only Member State Authorities can introduce information

on fraud cases into the AAC system, not the Commission.

A project initiated by the Commission integrating electronic Certificates of Inspection

(COI) certifying the organic status of agricultural products exported from third countries

to the Union in the

TRACES

is ongoing. The pilot creates an interface including risk

management information giving input to customs’ automated systems for import

declarations.

EU Single Window CVED:

Synchronised communication with TRACES is already

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working with the national customs authorities in the

Czech Republic, Ireland, Slovenia,

Latvia

and partly in

Poland.

With other Member States (AT, CY, NL and LT)

conformance testing is planned.

Notifications from the

RASFF data base

are regularly transformed in RIFs.

Product safety and compliance:

In the framework of the support to Member States for the implementation of common

guidelines for customs and market surveillance authorities, 25 visits took place from

2012 until October 2015. Two more visits will be carried out in 2016. These visits

provide customs authorities with a better view on the objectives of market surveillance

authorities and other organisations at national level as well as EU level. There is a

specific reference to the treatment of Small- and Medium-sized Enterprises.

With the use of

RAPEX

relevant notifications are selected which are then transformed in

a RIF and uploaded in CRMS on a regular basis. However, specific information

requested by customs related to routing, means of transport, goods description is not

always available to market surveillance authorities’ (MSA) activities. This is

understandable where MSA take measures within the EU and customs enforces controls

at the external border at the moment of entry and import of goods.

See also details mentioned under action 4.4.1.

Health protection:

Commission services are closely working together on the

draft official control

regulation

which should repeal Regulation (EC) No 822/2004 to ensure appropriate

cooperation structures between customs and sanitary import control authorities. The new

draft regulation is still in discussion at the Council in the frame of the co-decision

procedure. It is expected that the new regulation will be adopted at the end of 2016.

The development of the

tobacco traceability solution

required under Article 15 of the

Tobacco Products Directive is important. Commission services cooperate to make certain

that there is customs input and advice on customs risk management needs: notably access

to the data for CRM processes, and referencing of the solution at the relevant moment in

the customs declarations (including pre-arrival/pre-departure and NCTS).

Environment:

In response to the problem of illegal logging and related trade, the European Commission

launched an

Action Plan on

Forest Law Enforcement, Governance and Trade

(FLEGT),

setting a range of measures for tackling illegal logging in the world's forest.

Within the framework of FLEGT Regulation, the cooperation and communication

between customs and other competent authorities is a key element of the implementation

of border controls. For the support of customs in effectively carrying out their tasks, the

European Commission Notice: Customs and FLEGT Implementation Guidelines - Public

Summary, was published in 2014. Furthermore, FLEGIT (IT system) has been developed

by Commission services for the electronic management of FLEGT licences by Member

States competent authorities and customs authorities. Those authorities have also

received training on FLEGIT in Brussels in the first half of 2016, while onsite training

sessions have been scheduled for the second half of 2016 in interested Member States

The EU Timber Regulation (EUTR) is the key instrument for the implementation of the

FLEGT Action Plan, to address the problem from the demand side. EUTR prohibits the

placing by operators (i.e. any (natural or legal) person first placing timber on the EU

market) of illegally harvested timber on the EU market. Although the regulation does not

stipulate measures for border control measures, a better access to customs data, regarding

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the identification of operators and relevant import data from competent authorities is

essential. This information exchange will facilitate checks using a - risk based approach-

supporting more effective enforcement of EUTR.

For 2017 a joint workshop is considered to be organised for customs and competent

environmental authorities on

Invasive Alien Species.

This concerns enforcement to

prevent such species, for example exotic algae or insects that can damage the

environment, entering the EU.

For the control of cross-border controls on

shipments of waste

between the EU and

China, a set of recommendations has been endorsed by a mixed group of customs and

environmental authorities (EU and China), including a recurrent data collection and

analysis exercise to support risk management activities (first exercise to be completed by

end 2017).

Tax:

Fiscalis 2020 Group No 10 issued its report at the end of 2015. The group provided

recommendations on how to

enhance the cooperation between customs and tax

administrations. The multiple connection points between the two types of administration

were identified as well as the specification of information to be exchanged. The group

identified points for attention in the following areas of interest: Customs Procedure

42/63; Valuation of goods in customs procedures; Excise products and Tax collection.

The proposals will be used as a starting point for further elaboration to improve tax and

customs cooperation.

Non-proliferation and conventional weapons:

A joint

simulation exercise

(SIMEX) with involvement of customs authorities as well as

licensing authorities was organised in 2015. Also a Priority Control Action (PCA) was

carried out in 2015 to support and complement a joint action initiated by the WCO. The

objective was to streamline the information from EU customs and to underline the

complementarity of actions.

Cultural goods:

It has been widely reported that

illicit trafficking of cultural goods

is a source of

terrorist financing. To enforce restrictions on the import of cultural goods from Iraq and

Syria, a RIF for imports has been created. To further identify the parameters of the

problems related to the import of cultural goods and determine an appropriate risk

management approach, the Commission has launched a study to map the situation in the

EU, the conclusions of which are expected by the end of September 2016. The study

should also suggest solutions (binding measures, coupled perhaps by ‘soft-law’) on how

the problems can be best tackled. A Commission proposal for a legal instrument

regulating the import of cultural goods is expected by mid-2017.

Regulation (EU) No 1143/2014 of the European Parliament and of the Council of 22 October 2014 on the prevention and

management of the introduction and spread of invasive alien species.

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5.1.2

ONGOING

Ensure customs participation in relevant supply chain security

threat and risk assessments done at national and EU levels and

ensure the integration of this work in customs risk management

of the supply chain

EU level

most details related to this action are given in the reporting above on the

actions 4.4.1 and 5.1.1.

Belgium, Greece, Ireland, Italy, Poland, Portugal, Slovakia, Slovenia

and

Spain

report that their customs authorities are part of a national structure in which competent

authorities participate, mostly at ministerial level, to ensure national threat and risk

assessments in various policy areas, e.g. on firearms and dual-use goods.

Belgium

mentions cooperation between the national market surveillance authority and

customs in the area of product safety, ensuring an appropriate exchange of control and

risk information.

The Netherlands

mentions a Joint Data Analysis for analysing risks for air passenger

controls jointly between customs and the border guard authority.

A maritime operations

centre is planned to be developed by the national coast guard, in which customs also

participates. Concerning cooperation with the coast guard,

Latvia

refers to the use by

customs of SafeSeaNet

operated by the European Maritime Security Agency.

Croatia

informs on agreements that customs signed regarding mutual cooperation and

information sharing with other authorities, such as the police and the tax service. An

agreement for integrated border management was also signed between customs and

Ministry of Interior, Ministry of Finance, Ministry of Agriculture, Ministry of Health,

Ministry of Foreign Affairs, Ministry of Maritime Affairs, Transport and Infrastructure,

Ministry of Tourism and Croatian Personal Data Protection Agency. Cooperation and

information sharing structures not based on formal agreements exist also with other

authorities in the area of product safety and dual-use goods. Also

Slovenia

points out

improved cooperation with the Ministry of Economy at national level on the licensing of

dual-use goods in order to avoid diversion of export of goods for which an export licence

has been denied.

In the area of risk and threat assessments on fiscal fraud,

Lithuania

established a risk

analysis centre in 2014 by joint order of the Customs Department, State Tax Inspectorate

and Financial Crime Investigation Service. It is run by a group of representatives from

each of the institutions ensuring a continuous exchange of information.

Estonia

strategic comprehensive risk analysis (Base analysis) is established by

customs annually. This covers all known risk areas and is used, among others, as a base

document for creating new risk profiles. Customs shares these analyses with the police

authorities and border guards.

An agreement on mutual cooperation in the area of waste management between the

Financial Administration and the

Slovak

Environmental Inspectorate is currently being

discussed. The agreement foresees joint controls of cross-border movements of waste and

exchange of information between the relevant authorities. Also, regular meetings are

organised to ensure cooperation and exchange of information between customs and other

authorities on the implementation of FLEGT and IPR.

Spain

cooperation between customs and other authorities is operating in national

De KMAR: de Koninklijke Marechaussee (Royal Military Police).

SafeSeaNet is a vessel traffic monitoring and information system.

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structures for exchange of information between the relevant authorities and customs,

concerning denials for licences of dual-use goods, from TRACES, and from MSA.

Customs uses this information in their risk analysis processes.

Sweden

emphasises cooperation mechanisms between customs and other law

enforcement authorities to coordinate and combat organised crime.

Luxembourg

indicates that their customs authority can interact at any given time in the

supply chain based on transport and commercial related data which is not yet declared to

customs. These data can be required by means of memoranda of understanding (MOU).

Multi-agency cooperation is partly done under an ongoing project for establishing a

national single window.

Since June 2015,

Portuguese customs

is part of the National Superior Council for

Internal Security. This Council is responsible for threat assessment in all issues related to

security and advises the Prime Minister in such matters. In matters of security, also

Denmark

indicates that there is a structure in place at national level for cooperation

between relevant services, including customs.

In the area of cooperation with aviation security services,

Croatia, Cyprus, Finland and

Latvia

mention planned activities in the near future.

5.1.3

ONGOING

Develop together with the competent authorities the EU

common risk criteria and standards and mechanisms for their

regular evaluation and review, where appropriate

Concerning the development of CRC see the details on ongoing activities given under

Objective 4, actions 3 and 4.

The development of mechanisms for regular evaluation and review is described in detail

under Objective 4, action 5.

Concerning financial risks the issue of exports of out-of-quota sugar under Regulation

(EU) No 951/2006 remains, which requires physical customs checks by reference to

Regulation (EU) No 1276/2008. Regulation (EU) No 951/2006 is expected to expire

when the sugar quota system expires at the end of September 2017.

Agricultural import and export licences entail the personal obligation of the licence

titular holder to have products released for free circulation or export. In order to enable

customs and licence authorities to check this obligation, the Commission introduced the

mandatory use of the EORI number in the licences. The customs procedure may,

however, be carried out by a customs representative based on Article 18 of Regulation

(EU) No 952/2013. The problem is that in certain complex representation formats the

EORI number of the ‘importer’ or ‘exporter’ mentioned in the customs declaration is not

necessarily the EORI number of the licence titular holder. In the framework of the AGRI

CMO Committee, Commission services and Member States are in connection to come to

solutions covering this problem.

In the review of agricultural licence legislation, about to be finalised, the number of

products for which an import or export licence is required has been drastically reduced in

cases where the licence only serves as a means of market monitoring. This simplification

could be achieved because the customs surveillance system has been significantly

improved in terms of information generation and performance. In the meantime, using

customs surveillance for agricultural market monitoring has been introduced as a

standard for use of market monitoring by Commission services.

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A system for local control coordination in concrete cases between customs, paying

agencies, and licence-issuing authorities should continue for at least preferential and

TRQ imports.

TRQs with a high quota rent (= profit) are sensitive for abuse on issues

like origin or classification, e.g. garlic. Customs surveillance over time shows shifts in

imports under certain CN codes or in origins per CN code. Such patterns can be normal,

but could also identify an abuse interesting for further analysis.

Improve accessibility, sharing and utilisation of risk

information from other authorities and ensure its timely

integration into the risk management of the supply chains,

including in ad hoc / crisis situations

5.1.4

ONGOING

Sharing of risk information between customs and other authorities is done at a daily basis

Austria, the Czech Republic, Denmark, Estonia, Finland, Greece, Germany,

Ireland, Italy, Latvia, Luxembourg, Poland

and

Slovenia.

Belgium

indicates in the area of environmental issues an extensive collaboration between

customs and the competent national authority, which has led to an integrated common

risk management; including control results from the national authority being

communicated to customs, on the basis of which customs risk profiles are updated. The

cooperation also ensures risk evaluation and targeting. In addition, Belgian customs is

developing automated data-mining tools in order to improve the targeting of risky

consignments, and the development of a single window for import release is being

considered with other authorities.

In 2016 a single information exchange system between the

Bulgarian customs

and the

national Agency for Food Safety will be deployed in order to ensure that specific

products of animal origin can only be released when authorised by the food safety

authority.

Cyprus,

customs is a co-competent authority for the implementation of the National

Action Plan for crisis situations regarding emergency response to radiological and

nuclear incidents. The roles and competencies of the different authorities, including

customs, are defined in the national plans. For customs there is a specific reference to

exercising controls based on common risk criteria and information exchange through

CRMS.

Swedish customs

also actively participates in national response plans for

CBRNE.

France

an internal framework note has been concluded, defining and describing the

actions to be done in real time to implementing newly identified risks in the CRMS

platform.

Finland

refers to the Portnet portal

used nationally, supporting a single window

approach in the maritime environment. Finnish Customs has developed the notification

procedure for vessel traffic together with the Finnish Transport Agency, ship agents,

shipping companies, other government agencies, harbours and other maritime operators.

The electronic Portnet system provides for electronic submission to customs of

notifications related to arrival and departure of vessels.

Integrated control of goods (one-stop-shop) is a reality in

the Netherlands

through the

state inspectorate terminal (Rijksinspectie Terminal, RIT) Rotterdam and the joint

Tariff Rate Quota is an agricultural term in the WTO agreement; used for agricultural products

www.portnet.fi.

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inspection centre (JIC) at Schiphol Airport. Information is exchanged between customs

and other authorities in many areas. For example, the programme NLIP (Neutral

Logistics Information Platform) gradually develops facilities for the joint use of data.

Customs is working with other governmental agencies and in consultation with industry

players through the NLIP provision for one-time delivery, re-use and rendering of

information. The Maritime Single Window, which will be phased in from the end of

2015, is a basic provision. Dutch Customs is also participating in the CORE project, of

which one of the working packages is focusing on the Amsterdam Airport Schiphol. The

objectives of this demonstrator are to demonstrate benefits of data sharing between value

chain partners and between the different control agencies, including customs and

phytosanitary control.

Since 2011 in

Italy

the Customs Agency has implemented the Italian Single Window

system, where the customs administration acts as a coordinating and monitoring body. It

collects all information and data required for clearance and exchanges them with

economic operators and the other administrations (Health, Foreign Affairs, Transport,

economic development, Agriculture, food and forestry policies etc.) involved through the

electronic dialogue. Important is the one-stop-shop, which implies that controls by

customs and other public administrations are carried out jointly and risk-relevant

information is shared.

Lithuanian customs

receives information on unsafe products from the responsible

national institution on a daily basis and transfers this into risk profiles. They have only

limited access to some police data and data from the State Border Guard Service.

Furthermore, the actual exchange of information with other services is rather limited

although mutual agreements are in place.

Portugal

considers organising in 2016 a seminar for other authorities to explain the role

and responsibilities of the customs authorities.

Slovakia

will establish a joint analytic centre of

Police and Customs

with the aim to

apply a common methodology of data evaluation (this activity resulted from the National

Action Plan of the fight against tax fraud). It is being considered to introduce

string matching technologies into the National Risk Profiling System based on the

experiences from the Customs 2020 Project Group on Data Mining. There are also

various projects planned at national level covering exchange of information with other

national authorities such as the Nuclear Regulatory Authority, police and the civil

aviation authority for PNR data and cooperation with control authorities for waste,

FLEGT and dual-use goods.

Slovenia

is also planning to develop an IT application for daily updates on denials for

export of

dual-use goods,

issued by other Member States in cooperation with the

Ministry of the Economy responsible for licensing exports of dual-use goods

For entry and exchange of information between customs and, for example, aviation

security authorities, the further

developments and the final deployment of the system

ICS 2.0

are important. A common repository is the core and fundamental prerequisite for

the required improvements in data quality and availability (See objectives 1 and 2).

Germany and Italy

indicate that they are awaiting these developments in order to make

the necessary changes at national level. Italy refers specifically to the targeted activities

requiring cooperation with other national law enforcement agencies that can only be

planned when the common repository and additional functionalities such as e-screening

and risk analysis on pre-loading data for security purposes will be in place. The

willingness of such national administrations in sharing info is a crucial turning point for

such cooperation and the only way to get effective and efficient security risk analysis.

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5.1.5

ONGOING

Promote complementarity and coherency of initiatives from

other authorities aimed to improve security of the supply chain

to avoid undue disruption or burden to trade

Commission services are cooperating in order to ensure coordinated contributions and

consistency to the development of various initiatives and finding synergies.

European Agenda on security:

Through various actions, customs contributes to the protection of European citizens with

regard to ongoing increase of threats, in particular posed by terrorism and serious and

organised crime: EU Maritime Security Strategy, Air cargo security, EU action plan

against illicit trafficking in and use of firearms and explosives, EU action plan for

strengthening the fight against terrorist financing, EU action plan against wildlife

trafficking and the initiative on smarter and stronger information systems for EU borders

and security (COM(2016)205).

Maritime Safety and Security:

Several actions from the customs Strategy also support the EU MSS as the two strategies

share several objectives, in particular in the area of improving multi-agency cooperation

and exchange of information. (See action 5.1.1). Furthermore, there is a Commission

initiative to create a Contact Group developing common views on how to further enhance

EU Coastguard capacities including information sharing, multipurpose operations and

common practices; including the relevant actors such as customs.

In 2015 the Commission launched the DTLF for the next three years. For details see

action 5.1.1.

Air cargo security:

The Security Risk Rules Project for the establishment of specific risk rules for Air cargo

security common risk criteria is another crucial project for customs authorities to

contribute to the EU Security. See the details on the development of common risk criteria

outlined under action 4.4.1.

Non-proliferation and conventional weapons:

A joint simulation exercise (SIMEX) with involvement of customs authorities as well as

licensing authorities was organised in 2015. For further details see action 5.1.1.

Product, animal, food and feed safety, protection of environment:

CITES: The Commission has presented an Action Plan against Wildlife trafficking.

Further implementation of customs-related actions is supported in the framework of the

PARCS activities (See Objective 3).

WASTE: For mid-2016, the adoption of Commission Implementing Regulation on the

correlation of waste codes with customs tariff codes is foreseen. The Implementing

Regulation intends to support customs in a more targeted selection of high-risk shipments

of waste.

FLEGT: Commission services have been consulted the customs aspects related to the

implementation of the FLEGT Regulation.

EUTR: the implementation of the EUTR to the product scope of the regulation is done

with reference to CN codes.

COM(2016) 87 + SWD(2016) 38 final

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Intellectual Property Rights:

Within the framework of the EU Customs Action Plan to combat IPR infringements

action 2.2.1 aims to improve customs’ capabilities to detect IPR infringing goods in

different kinds of consignments. Activities are ongoing involving cooperation between

IPR specialists and customs risk analysis experts in order to improve the targeting of

customs controls.

The impact assessment for the ‘review of export control policy’ is ongoing.

DELIVERABLES: work is ongoing contributing to all four foreseen deliverables

Cross-sectoral cooperation arrangements

Customs involvement in risk and threat assessment including crisis situations

CRC for risk and threat assessment

Procedures for sharing of information in crisis situation

Action 5.2

Strengthen the EU Authorised Economic Operator (AEO)

concept through broader recognition and promotion by other

authorities

Strengthen the EU Authorised Economic Operator (AEO)

concept through its broader recognition by other authorities in

the relevant existing or future partnership programmes or in

the control regimes stemming from other policies

5.2.1

ONGOING

Cooperation with other government authorities remains one of the core priorities in the

context of the EU AEO concept.

Aviation security:

Regulation (EC) 687/2014 for regulated agents referring to AEO

standards is implemented and continuously monitored by the responsible Commission

services.

Dual-use goods:

In 2015, work was launched on the identification of synergies and

possible strengthened cooperation between the EU AEO concept and a (future) market

surveillance scheme. Besides, the work of the Joint Working Group on AEO-ICP

Convergence resulted in final recommendations that were adopted by the AEO network

and the Dual Use Coordination Group. A roadmap defining next steps regarding AEO-

ICP Convergence has been drafted. Further increase of capacity building in the area of

dual-use items is considered. Amendment of the AEO guidelines containing a reference

to ICP has been completed.

In the area of

market surveillance

and in other policy areas, possible cooperation will be

further investigated.

Concerning

maritime security

and

product safety:

discussions at national and EU level

are ongoing in order to improve the mutual understanding of the different security

schemes and explore possibilities for future cooperation between customs and other

authorities.

In the area of product safety and compliance, statistics have been collected on customs

controls, based on visits at points of entry in Member States. The outcomes will be used

for further elaboration of different compliance schemes.

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DELIVERABLES: work is ongoing to contribute to both foreseen deliverables

Feasibility study

Where appropriate, proposals for broader recognition of the AEO status in control

regimes of other competent authorities

Action 5.3

Promote use of good practices and cooperation methods

between customs and other national authorities

Encourage the exchange of good working practices and

cooperation methods between Member State customs and other

national authorities (Customs 2020, CCWP)

5.3.1

ONGOING

PARCS Factsheets

Factsheets for a selection of legislations in the area of health and safety, setting

prohibitions and restrictions at the border have been drafted in close cooperation with

Member States and Commission services. Each factsheet gives the description of the

legislative framework, the role of customs and the documentary and physical checks to

be applied and cooperation with other authorities. These factsheets provide a basis to

evaluate the best place for customs to control and whether further recommendations for

customs and other authorities need to be formulated.

The cooperation of customs and sanitary authorities for controls on SANTE-regulated

goods is laid down in these factsheets. In addition, there is a so-called positive list,

Decision 2007/275/EC as amended by Decision 2012/31/EC, specifying all animals and

products of animal origin which need to go for mandatory import controls to border

inspection posts. A first joint workshop for customs and veterinary authorities regarding

import controls on live animals and products of animal origin from third countries took

place in March 2016 to exchange best practices and cooperation methods between

Member State customs and veterinary authorities during import controls.

In July 2015 the Commission launched the

DTLF.

The forum will continue its work until

2018.

In accordance with Directive 2010/65 on reporting formalities for ships that arrive in or

depart from EU ports, Member States needed to establish by 1 June 2015 National Single

Windows for the electronic reporting of port call notifications. Information, submitted in

electronic format and ‘only once’, should be shared at national level with all authorities

involved in ship clearance (e.g. authorities dealing with transport, maritime safety and

security, pollution and waste control, border control, customs, health, phytosanitary and

veterinary control). This covers information such as ship details, voyage information,

crew and passengers lists, cargo, security, safety and health information. Relevant

information also has to be shared between Member States via the SafeSeaNet system, the

vessel traffic monitoring and information system established in accordance with

Directive 2002/59. An expert group was established with representatives from all

authorities concerned, including customs, and industry stakeholders with the aim to

ensure harmonised implementation of the Directive.

OLAF provides lecturers to CEPOL on excise fraud (cigarettes) and VAT, actively

involves Europol in the Joint Customs Operations and supports the actions initiated by

Europol where OLAF has a mandate.

Commission services actively participate and assist Member States within the framework

of the Customs Cooperation Council Working Party (CCWP) on the realisation of the

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eighth Action Plan

adopted by the CCWP and the

EMPACT Operational Action

Plans (OAP) 2016.

Participation of customs authorities in these actions, coordinated by

police authorities, is increasing.

Europol presented to Council working parties its views on how to further develop the

police and customs cooperation in the ‘Strategic

Review: Europol and customs’

and

also organised a first meeting of Directors of customs agencies in the framework of the

European Police Chiefs Convention, in 2015. In order to further strengthen the links and

cooperation between Commission services and Europol, a study visit was organised in

the beginning of 2016. On this visit, further cooperation possibilities in the area of risk

analysis and information exchange were discussed. The Commission also supports the

effort of systematic involvement of customs authorities in the preparation of the EU

Serious and Organised Crime Threat Analysis (SOCTA).

As regards

the cooperation between customs and police,

close cooperation exists in

many Police and Customs Cooperation Centres (PCCCs). Among the 46 existing

multinational cooperation centres involving Member States, 25 include the presence of

national customs representatives. The same holds for the Single Points of Contact

(SPOCs) located in international police cooperation units serving as unique contact point

for all international police cooperation requests. Also there, the presence of customs

officials is very appreciated by Member States applying this practice. Both SPOCs and

PCCCs have as main task to ensure information exchange on cross-border crime.

Commission services launched a project to evaluate the cooperation between

Customs

and Border guards

working at the external border in February 2015. The evaluation is

based on eight working areas described in the Guidelines for cooperation between

Customs and Border Guards issued in 2013. The areas are: 1/ synchronised checks;

2/joint planning of infra-structure and procurement; 3/information exchange; 4/risk

analysis; 5/equipment; 6/ investigations; 7/ joint operations and 8/ training. For each area

three modules representing different levels (low, middle and high) of co-operation have

been developed. The Guidelines outline a practical approach for strengthening the co-

operation between the Customs authorities and Border Guards, taken into account the

differences in organisational structures and competencies at national level.

The evaluation started by sending a questionnaire to Member States. The replies to the

questionnaires are made available on a shared information platform providing examples

of existing cooperation practices to both authorities in all Member States. The

questionnaire is follow-up by on-the-spots visits that are currently carried out in some

countries. The evaluation teams are always composed of Commission officials for

different services and Member States experts from Customs and Border Guards. The

general objective of the evaluation is to strengthen the co-operation through the

information gained and update of the Guidelines by the end of 2017.

Best working practices have already been identified for example streamlining of

information exchange either through national coordination centres or appointing liaison-

officers. Sharing of information and risk profiles related to illegal movements of persons

and the related goods and cash will reinforce the capacity to detect all types of risks and

analysis of trends of mutual interest for both authorities. Shared access to the different

databases and systems of the authorities as well as mutual use of equipment is already

daily practice in several Member States. Officials from both Customs and Border Guard

also participate in each other's training programmes. Through the evaluation project those

positive experiences and working practices have been seen and are promoted for use in

other Member States. Also the issues eventually identified as difficulties require more

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detailed analysis to find out whether and how these challenges can be addressed. It will

also be necessary to consider practical experience from the perspective of the different

type of borders (land, sea, air).

The Customs services of

Lithuania, Latvia and Estonia

are going to implement the

joint project ‘Development of joint data exchange network between X-ray scanners used

by customs services of Baltic States’ (BAXE). The project will create a possibility to

exchange X-ray images and search them according various criteria, thus increasing the

abilities for risk analysis. The authorities of the three Member States are also connecting

their Automated Licence Plate Recognition systems at the border for profiling, analysis,

investigation and control purposes.

Such a centralised X-ray database of NII images exists in

Poland

as well, employed by

the National X-ray Inspection Centre in Gdańsk (See Action 4.2.3). The national centre

provides training on recognition of X-ray images also to customs authorities from other

countries (Ukraine, Moldova, Georgia, Germany and Finland).

DELIVERABLE: various activities are ongoing, from which the outcomes will

contribute to the foreseen deliverable

Recommendations for best practices for cooperation between customs and other

competent control authorities

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4.6

Objective 6: Developing cooperation with trade to secure and facilitate

legitimate trade

Major achievements have been made in this area in respect of

strengthening the AEO

programme.

The main changes needed to be made to the AEO in the context of the UCC and its

Delegated and Implementing acts are related to the overall changes in policies and

structure under the UCC and also to the lessons learned over more than five years of

practical implementation of the EU AEO programme. The AEO guidelines have been

updated.

The AEO network group was created in 2007 as the main way of monitoring the

implementation of the programme. The results of the second monitoring exercise,

launched in 2013, confirmed that the EU had established a sound and reliable AEO

programme. Member States have developed robust procedures for applying the AEO

legislative requirements, guaranteeing high quality and efficient management of the

programme in a consistent and highly uniform way, as can be shown, for example, by the

number of suspensions and revocations of certificates.

The structures currently in place within the AEO programme and the other Compliance

Programmes are further analysed in cooperation with competent authorities (Objective 5)

at EU and national level, with a view to identifying areas where the same best practices

can be applied, in order to avoid duplications and needless administrative burdens both

for operators and competent authorities. In the area of

maritime security and market

surveillance,

discussions are being held at EU and Member State level, thus improving

the mutual understanding of the different security schemes.

Commission Implementing Regulation (EU) No 687/2014

refers to the AEO standards

to define the concept of

regulated agents.

Reciprocal customs legislation does the same

for the recognition of regulated agents and non-consignors. Implementation of the

legislation is continuously monitored by the Commission.

A number of indicators have been implemented within the CUP reporting to measure the

impact of the AEO concept. The CUP contributes to achieving the strategic objectives of

the EU customs union including the AEO concept. Under the main area relating to

facilitation/competitiveness in particular, the AEO concept is analysed on the basis of

general aspects such as the number of certificates and applications at EU level, the

involvement of AEOs in the supply chain and the control rates for AEOs in comparison

with economic operators not certified as AEO.

Two specific target groups were created within CRMS for the exchange of risk

information concerning the AEO process and procedures (For further details, see action

6.1.1). In other areas covered by this objective, such as improving the knowledge of

supply chains, progress has been slower.

http://ec.europa.eu/taxation_customs/resources/documents/customs/policy_issues/customs_security/aeo_guidelines_en.pdf.

Commission Implementing Regulation (EU) No 687/2014 of 20 June 2014 amending Regulation (EU) No 185/2010 as regards

clarification, harmonisation and simplification of aviation security measures, equivalence of security standards and cargo and

mail security measures (OJ L 182, 21.6.2014, p. 31).

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Action 6.1

Continue to strengthen and promote the AEO concept, by

addressing any relevant weaknesses identified and providing

further benefits

Continue to strengthen the AEO concept by addressing any

relevant weaknesses identified through the monitoring and

evaluation of the implementation of the programme and by

ensuring its harmonised implementation throughout the EU

6.1.1

ONGOING

The CUP (see 4.5.2) supports achieving strategic objectives of the AEO concept. In

particular under the main area relating to facilitation/competitiveness, the AEO

programme is analysed. A basic set of CUP performance indicators was established

already in 2014. This set covers three main elements: AEO involvement in the supply

chain in terms of declarations; rate of controls of AEOs, and electronic risk-based

element for AEO (rate of cases where irregularities were found based on direct electronic

selection). Quality Assurance Initiative activities were carried out on all AEO-related

CUP indicators.

In 2015, two specific target groups were created within CRMS for the exchange of risk

information specifically related to AEO processes and procedures. Both target groups

will be used by the Commission and Member State customs authorities. The target group

‘EU AEO process’ deals with the exchange of any relevant information related to all

stages in the AEO process that due to its sensitive nature and/or format cannot be

exchanged via the EOS/AEO system. The target group ‘MRA AEO’ focuses on the

exchange of information about irregularities involving partner country AEOs.

Belgium, Greece, Ireland, Slovenia, Spain, Sweden

ensure systematic and continuous

analyses of cases recorded by the AEO helpdesk and through the monitoring process of

the AEO network.

Austria

has developed a concept for monitoring of the AEO programme in coordination

with the Central Anti-Fraud Department. AEOs are monitored every six months taking

into consideration any detected or suspected irregularities.

Greece

further develops the concept of pre-audits in order for customs to have

information to decide where and when to control; to identify and determine with other

competent authorities relevant weaknesses or difficulties encountered in practical

implementation, in particular the fulfilment of criteria of security and safety standards.

Over the last 2 years,

Germany

has shared practical experiences on the implementation,

derived from monitoring and expert analysis in seminars at national level. There is

cooperation on implementation of the AEO standards for regulated agents (See 5.2.1).

Also a regular exchange of information between customs and the national aviation

security authority is implemented since March 2015 and continuously evaluated. Since

June 2015 such regular exchange is also done in

Poland.

Slovakia

refers to the national implementation of AEO standards for regulated agents.

Belgium

monitors the granting process of AEO with an IT tool (RAM — risk analysis

management) to ensure that the requirements stipulated in the AEO guidelines and

annexes are met. Based on risk analysis for each AEO, an individual control and

The AEO Network Group was established in 2007 in order to ensure a uniform application of the AEO

EU rules. The network has regular meetings between national AEO contact points and the Commission.

The group exchanges information and communications on AEO issues, explores common solutions,

contributes to updates of the Guidelines and amendments of EU customs legislation.

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assistance plan is defined and integrated in the IT automated selection tool for

transactions. As regards licensing for dual-use goods, customs and the licensing

authorities are cooperating in a common audit procedure of AEO.

Also

Italy

uses an automated tool (AIDA) to implement AEO benefits in customs

controls with regard to pre-audit, goods release and post-audit. Italy indicates concerns

about providing benefits to AEO intermediaries. These enterprises should guarantee also

for their clients in terms of customs infringements committed. Violations committed by

the clients of intermediaries need to be also considered in the decision of releasing,

revocating or suspending an AEO authorisation for intermediary economic operators not

being owner of the goods.

Lithuania

reports that AEOs are periodically excluded from the application of risk

profiles and control. Profiling of AEOs is based on results of the trader’s assessments

completed before the issuing of AEO authorisations.

France

indicates that reduction of controls for AEO is not applied for security controls.

Luxembourg

provides lesser controls only in the area of financial risks. In

Finland

new automated risk analysis system is deployed for implementing better AEO benefits.

Estonia, Poland

and

Portugal

announce re-assessment of AEO authorisations as soon as

the updated AEO guidelines are published.

Part of the implementation of the enforcement vision of the

Dutch customs

focuses on

the Green Lane: the known traders. Apart from data of the declaration and customs

knowledge of goods, the knowledge of AEOs is incorporated as well. In particular, the

involvement of more than one ‘known trader’ in a particular supply chain leads to

adjustment of the control level (downwards) and the level of service (upwards).

6.1.2

ONGOING

Identify and develop enhanced benefits for AEOs to be given by

customs, propose and adopt adequate legal acts

Spain

mentions that they are exploring new benefits for AEOs certified within the EU as

well as by third countries with Mutual Recognition Agreements.

Cyprus

and

Greece

examine possibilities for lower guarantees for AEOs in the

application of specific customs procedures such as temporary storage and warehousing.

Italy

informs on application of further benefits such as fast corridors to compliant

traders, in general when quality data and required information are provided beforehand to

customs in order to perform risk analysis and appropriate control.

Belgium

customs meets regularly with AEO certified traders to discuss new benefits in

addition to already existing national AEO benefits. Decisions on additional benefits are

communicated to the AEO.

The Netherlands

has developed for AEOs an instruction for the implementation of

benefits (so called AEO staalkaart). This document elaborates on the benefits related to

traders and their specific role in the supply chain. AEOs have a dedicated ‘Trader contact

point’ with specific customs officers who will act as their point of contact. Regular

meetings with AEOs are hosted as well by customs.

Poland

lists benefits that have been introduced at national level for AEOs:



Shifting VAT payments to the day of a monthly VAT settlement.



Introduction of the programme ‘Ports 24h’, on the basis of which the required

formalities related to the clearance of goods imported by sea to Poland shall take no

more than 24 hours. In this programme, Customs has a coordinating role for control

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activities of all services operating in the Polish sea ports.

Planned projects are reported by several Member States:

Belgium:

Adaptation of an IT transaction selection tool — Dataflux — in order to

integrate the AEO’s individual control plan.

Greece

will launch the possibility for applying electronically for AEO status.

The Netherlands:

The next step for implementation of the Green Lane will consist of

more detailed knowledge on the size and complexity of the Green Lane in the different

customs processes. Subsequently, steps will be taken to enlarge the Green Lane by

increasing insight in supply chains and the role of known traders (potentially by using

different databases or make available the option to submit additional data to link

databases).

DELIVERABLES

are completed.

Adopt COM acts in the framework of the UCC, where appropriate

Update AEO common guidelines

Action 6.2

Improve the knowledge of supply chains, raise trade awareness

and exploit valuable data available to trade

Increase supply chain visibility by ensuring that valuable

additional data (not required by customs legislation), available

to traders and made available to customs, is exploited for risk

management purposes by getting access to economic operators’

knowledge and information

6.2.1

ONGOING

The Customs 2020 ConTraffic-ENS Pilot Project Group tested, through the

experimentation performed at the JRC and by using its ConTraffic system, the

application of data analytics techniques in the combination of container status movement

(ConTraffic) data primarily with Entry Summary Declaration (ENS) data as well as pre-

arrival datasets. The group confirmed the business value on several dimensions and

provided a preliminary view of capacity needs for effective integration of CSM-based

risk indicators in real-time risk analysis and of flexible data analytics approaches (EU

Classified given the operational relevance to CRC).

The ConTraffic-ENS Project Group will be supported by the JRC over 2016-2018 in the

development of a preliminary solution design for effective integration of CSM in real-

time pre-arrival risk analysis and in flexible analytics. Commission services strongly

support the work of the JRC on this project as it is regarded beneficial to improving

customs risk management in particular on entry of goods.

The

Horizon 2020 security research programme

finances Research and Innovation

Actions on architectures and organisations, large data and data analytics for customs risk

management of the international goods supply chain.

CORE

is a consortium created

under the umbrella of Horizon 2020 and aims to enhance the speed, reliability and

efficiency of legitimate trade and logistics whilst enhancing effectiveness in supervising

global trade and safeguarding supply chain security. CORE demonstrators are currently

being prepared or carried out and first results can be expected in the beginning of 2017.

Member States actively participate in these initiatives aiming to identify possible further

risk management capabilities at national and EU level in line with the objectives laid

down in the Strategy. A project, financed by Horizon 2020, will test and demonstrate the

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use of data pipeline concepts and container security technologies to introduce a more

efficient exchange and re-use of data along the supply chain.

The Commission has created a

network of maritime R&D

to create a clear vision and to

propose a cross-sectoral agenda for maritime security research. The initiative will

promote dual-use R&T and R&D. The network was established late in 2015 and will

gradually pick up work during 2016 and onwards.

The development of a

CISE

in the maritime domain is promoting exchange of relevant

information amongst the different authorities involved. The creation of common

technical solutions, interoperability in procedures, operation aspects will also enhance

performance in this area. CISE is expected to deliver a platform by 2017-2018 ready for

actors to use and where all sectors and agencies can exchange information.

In 2015 the Commission launched the

DTLF

for the next three years. The Forum aims at

the further digitalisation of freight transport and logistics. It brings together Member

States and stakeholders from transport and logistics communities in order to identify

areas where common action in the EU is needed, to provide recommendations and

solutions, and to work on the implementation of these recommendations and solutions,

where appropriate. Two subgroups were created as part of the DTLF: