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DMS for GTS

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Slides

Document Management for Global TradeDeloitte Academy 2017

© 2017 Deloitte Belgium 2

Document Management from a Legal and Compliance perspective

Document management for Global Trade


48%of corporate documents are

stored on unmanaged locations

Unchecked Growth of

Electronically Stored Information

Data Loss

Content scattered over

multiple systems

An increasingly complex and

dynamic regulatory landscape

92%of corporate content has been created in the past 2 years

100,000+

Governance rules and regulations

worldwide

Companies realize that benefits from their Trade automation

solutions cannot be fully exploited without

Document Management tools

Missing Audit Trail

Business decisions based on

inaccurate data

Poor Access Management

are endangering confidentiality

Information ChaosDocument Silos

The Information Age – Some Challenges


With the entry into force of the Union Customs Code, there is a minimal retention period of at least 3 years

In Belgium, the retention period of customs

documentation is extended to 5 or 10 years

From a VAT perspective, the document retention period is 7 years

Document retention from a legal perspective

Many different rules and regulations exist on which documents need to be retained and for which period. Operators have a need for control and visibility on document retention

In case of non-compliance to UCC provisions, the Belgian General Law on Customs and Excises foresees penalties of 125 to 1250 Euros


Documents must be kept: “by any means accessible by and acceptable to the customs authorities” Operators need to have sufficient control and visibility on the complete document flow

In Belgium, operators have to transmit the required documents in the week following the initial request for documents from the Authorities (unless self-archiving simplification is in place).

Fulfill all requirements of a secure archiving environment

Ensure customs declarations and supporting documentation are kept together

Store all global trade related documents in an electronic way

Be clear and allow easy consultation by customs authorities

ARCHIVE REQUIREMENTS

Document integrity from a legal perspective


How documents are integrated in global trade supply chain

Bank

ConsignorExporter

ConsigneeImporter

Authorities country A

Customs brokerFreight

Forwarder

Insurance Company

Authorities Country B

Carrier A

Port authority B

Port Authority A

Data exchange

Data exchange

Data exchange

Data exchange

Data exchange

Data exchange

Customs brokerFreight

Forwarder

Carrier C

Bank

Customs administration

Regulatoryagencies

Customs administration

Regulatory agencies

1 2 3 4 5

Border

1 Packing listInvoiceSupplier documentationExport license (if applicable)

2 Shipping documentation (BoL)Freight insurance documentationShipping invoiceBroker documentationExport declaration

3 Import declarationDeclaration of valueBroker documentationTrade preference documentation (if applicable)Import license (if applicable)

4 Roadway billTransit documentation (if applicable)

5 Incoming commercial InvoiceSeller Communication

The example below illustrates the typical global trade related documentation that can be involved in a typical supply chain process involving cross-border trade


Examples of global trade related documentation

Sales and Purchase related documentation

Customs related documentation

Shipment related documentation

The Single Administrative Document (SAD) is commonly used in the EU, Turkey, Switzerland, Norway and Iceland to control the import and export of goods arriving into and departing from EU countries.

Sales and purchase documentation

Bill of lading Pro Forma Invoice

Invoice

Trade Preference Certificates

EUR 1 Certificate

Form A Certificate

ATR Certificate

• Sales/ Purchase Orders

• Letter of Credit

• Import/Export controls documentation

• Certificate (goods related) and Licenses (transactional)

• Broker Instruction Sheet

• Customs Declarations

• Declaration of Value

• Transit documentation (if applicable)

• Other Import/Export accompanying documentation (e.g. INF4)

• Customs invoice (duty payment)

• Trade preference documentation

• Packing list

• Shipping documentation (BoL, CMR, AWB, CIM, Freight Insurance)

• Shipment Invoices

• Forwarder Communication


Introduction

Document management for Global Trade


Why should you consider a DMS

A document management system for global trade serves as a backbone of information to manage the full documentation audit trail

One central place to manage documents

• easily accessible via Web, Outlook, ERP

• to store proof of export/import documents and all supporting

documentation

• and avoid documentation scattered across file servers,

mailboxes and paper archives at different places

Ensure document integrity by

• preventing users from deleting documents

• managing retention times with records management framework

• reporting on user and system activity

• automated completeness checks

Have a transparent system that

• automatically re-uses ERP data

• allows searching on both business and document related data

• can be used by the customs department and business users

• provides management KPI dashboards


User roles and expectations

Anna – Customs and Trade Compliance manager

Bob – Compliance Officer Laura – Procurement support

“Anna has been busy all week collecting all documentation for a

VAT/customs audit. Her team is searching for proof of

import/export that may be scattered across different locations, in different formats (paper-based,

pdf) or to be obtained from different brokers and stakeholders.”

“Bob needs to ensure compliance with local regulations.

He is looking how to manage, secure and audit the storage and

retention of all global trade related documentation, taking into account

different legal requirements on archiving formats (e.g. originals, pdf, etc.) and retention periods

(e.g. country & area specific variances).”

“Laura periodically reaches out to vendors to request or renew long-

term vendor declarations for products manufactured in the EU and eligible for preferential status

in the framework of FTA’s concluded by the EU with non-EU

countries.These documents should be easily accessible by the Customs & Trade

Compliance Manager for further processing.”

Many roles in the organization are challenged in having a compliant approach towards global trade related documentation

Manage declarations and

related documentation in

one centralized system

accessible from everywhere.

Smart search.

Deploy records

management for document

integrity.

Manage authorizations.

Reports and Dashboards.

Enable collaboration

between business users and

the customs and trade

team.

Easy access points (web,

outlook, …).


Illustrate by example






Manage declarations and related documentation in one centralized system accessible from everywhere. Smart search.

• Access a declaration workspace from customs document transaction in the ERP system













Access Declaration Workspace from SAP










• Retrieve a document workspace in the DMS













Quick Search in DMS


Quick Search in DMS

Quick Search Bar

Search Form Search Results


Find Workspace in DMS


Find Workspace in DMS

Form to specify search Overview of all Import Declarations











• Search for similar documents across multiple declaration workspaces













Access Find Document section in DMS


Find Document across the DMS

Specify Document Type and FTO to make search more specificSearch results are shown











• Search for similar documents across multiple declaration workspaces

• Search, collect and download batches of documents based on list of registration numbers













Search and download

1. Search based on MRN numbers

3. Download collected documents2. Collect documents



Deploy records management for document integrity. Manage authorizations. Reports and Dashboards.

• Track missing mandatory documents from document incompleteness dashboard

• Report on user actions and system evolution

• Deploy records management to avoid documents being deleted during the legal storage time


















Access Reporting Center in DMS


Miscellaneous reports


KPI Dashboard on missing documents



Enable collaboration between business users and the customs and trade team. Easy access points (web, outlook, …).

• Upload a document in Outlook to the correct declaration workspace in the DMS via drag and drop in Outlook


















Drag and drop from Outlook



Enable collaboration between business users and the customs and trade team. Easy access points (web, outlook, …).

• Upload a document in Outlook to the correct declaration workspace in the DMS via drag and drop in Outlook

• Share documents between colleagues and departments


















Easy sharing


DRIVERS | Why implement Document Management (DMS) in a Trade and Logistics context

COST SAVING

• Reduce cost of paper based storage or storage in Trade automation system

• Cost effective long term storage of content

• Only keep what is required

• Save by deduplication of content

• Avoid cost of failed customs audit and data loss

RISK MITIGATION TIME SAVING

INCREASED PERFORMANCE

• Automated Capturing, Storage, Archiving and Records Management

• Information and Content sharing between feeder system and trade automation tools

• Reporting and KPI dashboard with instant view on missing mandatory documents

• Reporting and mass-selection and extraction

• Access to all information related to the process of Trade Operation Management from anywhere

• Documented process instead of documented transaction

• Support global trade decision making with centralized DMS system for multiple feeder systems

• Intuitive access via SAP/Windows/Web/Mobile

• Full control and visibility on the complete document flow ensure the preservation of critical content

• Safeguard Confidentiality by preventing Unauthorized Access to content and information

• Ensure Legal Compliance for Document Retention

• Solid Documentation Audit Trail and Document Integrity


Wrap up

Deloitte provides a multidisciplinary approach towards defining the most suitable

solution for document management in a global trade context, combining both tax and

DMS expertise

Dries Bertrand

Director | Indirect Tax Customs and Trade

+32 479 90 31 25 | [email protected]

Koen Simonet

Director | Enterprise Content Management

+32 471 38 99 21 | [email protected]

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© 2017 Deloitte Belgium