module 5.1 CRC - ABF5.1.6 INDUSTRY EXPORTS MANUAL – V1.1 27/07/2007 When lodging a CTO receival notice for air cargo, fields relevant to air cargo are displayed. Tip: Before attempting

INDUSTRY EXPORTS MANUAL – V1.1 27/07/2007 5.1.1

5.1 CTO RECEIVAL

NOTICES

Australian Customs Service 5 Constitution Avenue Canberra ACT 2601 Telephone: 1300 558 099 Facsimile: 02 6122 5534

© Commonwealth of Australia 2004 This work is copyright. Apart from any use as permitted under the Copyright Act 1968, no part may be reproduced by any process without prior written permission from the Australian Customs Service. Requests and enquiries concerning reproduction rights should be addressed to the Director, Corporate Communication, Australian Customs Service, 5 Constitution Avenue, Canberra, ACT, 2601.

CTO RECEIVAL NOTICES

5.1.2 INDUSTRY EXPORTS MANUAL – V1.1 27/07/2007

CONTENTS CTO receival notices overview ...................................................................... 3

What export cargo must be reported by the CTO? ............................... 3

How is the delivery of export cargo reported? ....................................... 3

Status ............................................................................................................ 4

Legislation..................................................................................................... 5

Offences ........................................................................................................ 5

Lodging a CTO Receival Notice (Air)............................................................ 5

Lodging a CTO Receival Notice (Sea).......................................................... 9

Searching for a CTO Receival Notice ......................................................... 12

Amending a CTO Receival Notice ............................................................... 18

Adding a Line (Air) .................................................................................... 21

Adding a Line (Sea) .................................................................................. 23

Deleting a Line (Air and Sea) .................................................................. 25

Withdrawing a CTO Receival Notice........................................................... 25

Related Topics............................................................................................ 27

Further Assistance..................................................................................... 27



CTO RECEIVAL NOTICES OVERVIEW

To allow Customs to facilitate export trade across the Australian border while protecting the community and maintaining compliance with Australian law, Customs requires cargo/container terminal operators1 (CTOs) to advise Customs electronically when cargo is delivered to the wharf or airport for exportation.

This allows Customs to provide the CTO/cargo handler with advice as to whether the cargo may be loaded on board a vessel or aircraft for export. If Customs believes that the cargo warrants examination or other action, then Customs is able to access the cargo, conduct appropriate compliance activities and resolve any issues without delaying the legitimate exportation of cargo. If the cargo should not be exported, then the shipping company or airline has time to adjust their load requirements for the vessel or aircraft.

WHAT EXPORT CARGO MUST BE REPORTED BY THE CTO?

Most export cargo including:

• all air cargo

• all containerised sea cargo

• most break-bulk sea cargo

• some bulk cargo.

must be reported by the CTO/cargo handler to Customs when it arrives at the wharf or airport for export.

HOW IS THE DELIVERY OF EXPORT CARGO REPORTED?

The CTO/cargo handler must, within three hours of the cargo being delivered to the wharf or airport, lodge a CTO receival notice using the Integrated Cargo System (ICS).

The CTO receival notice will include information about:

• where the goods have been received – this will be an establishment identifier

• the authority for the goods to be dealt with, which will be either:

o an EDN

o an ACEAN

o a CRN

o a transhipment number, or

1 CTO may also refer to stevedores or other cargo handlers who accept and/or load export cargo.



o an export entry exemption code.

• identification of the cargo, for example:

o air waybill number for air cargo

o shipping container number, for containerised sea cargo

o bill of lading number or booking reference, for non-containerised sea cargo.

• the intended date of export for air cargo, or the vessel, voyage and responsible shipping company for sea cargo.

STATUS

Cargo movement status

A CTO receival notice may include details about several lines of export cargo. Each line of cargo is assessed as to whether the authority to deal with the goods is valid.

• if the authority is valid and Customs has no interest in the cargo, then the line of cargo will be assigned a ‘movement status’ of ‘Load’

• if the authority is not valid, then the line of cargo will be assigned a movement status of ‘Do Not Load’.

The movement status assigned to the line of cargo does not affect the document status of the EDN, ACEAN, CRN or transhipment number.

EXDOC users completing an export declaration can request a permit via the EXDOC system. AQIS processes this request and forwards the data to the ICS for the creation of an EDN. If a permit is not issued immediately by EXDOC, a substitute permit is issued (excluding some permits for certain goods destined for the European Union (EU). This substitute permit will provide the EXDOC user with a clear EDN and the consignment will receive a ‘load’ status upon CTO receival.

Non EXDOC users completing an export declaration who do not have permit details at the time of creation of an EDN can use the ICS to obtain a clear EDN. This is done by entering the letters ‘PIA’ followed by their unique AQIS export authority number. This is available for AQIS permits only, excluding some permits for certain goods destined for the EU. This substitute permit provides a clear EDN and the consignment will receive a ‘load’ status upon CTO receival.

CTO receival notice document status

The CTO receival notice will be assigned a document status based on the line movement statuses.

If ALL lines of cargo listed on the CTO receival notice have a movement status of ‘Load’, then the CTO receival notice will have a document status of ‘Clear’.



If ANY line of cargo listed on the CTO receival notice has a movement status of ‘Do not load’, then the CTO receival notice will have a document status of ‘Error’.

The CTO receival notice may be amended if lines of cargo were incorrectly reported. When this occurs, the movement status of each line and the CTO receival notice document status are re-evaluated.

If cargo is delivered to the wharf or airport and subsequently removed, the CTO receival notice should not be amended or withdrawn. In this case the CTO/cargo handler must lodge a CTO removal notice for the cargo.

When the CTO receival notice has been evaluated by the ICS, an electronic CTO receival notice response will also be sent by the ICS to the CTO/cargo handler. For sea cargo an electronic message will be sent to the responsible shipping company advising whether the cargo may be loaded on board the ship for export.

LEGISLATION

Customs Act 1901

Subsection 114F(1A) - requires that the cargo terminal operator give notice electronically to Customs within the prescribed period from the delivery of the goods stating that the cargo has been received and giving such particulars as are required.

Customs Regulations 1926

Regulation 98B states that the prescribed period for subsection 114F is within 3 hours of receipt of the goods.

Schedule 1AAC lists the goods that are not exempt from sections 114E and 114F of the Act.

OFFENCES

Section 114F - An offence against subsection s114F(2) – contravention of subsection 114F(1A) or 114F(1B) – is an offence of strict liability, with a penalty of 60 penalty units. The Infringement Notice Scheme (INS) applies to offences against s114F(1A), with a maximum penalty of twelve penalty units. A penalty unit is defined within the Crimes Act 1914.

A penalty unit means $110 as defined in s4AA of the Crimes Act 1914.

LODGING A CTO RECEIVAL NOTICE (AIR)

The CTO Receival Notice Lodge screen enables user with the appropriate access to lodge a CTO receival notice to Customs. There are two modes of transport available when lodging a CTO receival notice, air or sea.



When lodging a CTO receival notice for air cargo, fields relevant to air cargo are displayed.

Tip: Before attempting to lodge a CTO receival notice, ensure that you have all required information and codes required. It is NOT possible to use the reference search function (eg, for an AHECC code) and lodge a CTO receival notice simultaneously.

Tip: a CTO receival notice can contain a maximum of 999 lines. A maximum of ten lines can be added to a CTO receival notice before it must be submitted. To add additional lines, refer to Amending a CTO Receival Notice.

To lodge a CTO receival notice (air):

Step 1. From the main menu, click on Exports, then click on CTO Receival Notice and then click on Lodge.

The CTO Receival Notice Lodge screen displays.

The CTO Receival Notice Lodge screen enables users to lodge details about cargo that is being received at an airport for export.

Note: the Reporting Party Id field will default to the ABN/CCID (Australian Business Number/Customs Client Identifier) of the reporting party and is read only.

Step 2. In the Senders Ref field, enter the sender’s unique reference for the notice.

Step 3. In the Mode of Transport field, click on the drop down button and select AIR.

Step 4. In the CTO Estab Id field, enter the CTO establishment identifier for the party receiving the goods.

Step 5. Click on the Add Line button.

The CTO Receival Notice Lodge screen displays with the relevant line fields for lodging a CTO receival notice for air cargo.



Note: there must be at least one line on a CTO receival notice.

Step 6. (Conditional) In the Customs Authority No field, enter the customs authority number for the goods.

Note: this field can only be used if the Exempt Code field is left blank.

Step 7. (Conditional) In the Exempt Code field, click on the drop down button and select one of the following options:

• AUSTRALIAN DOMESTIC CARGO - EXDC

• MILITARY GOODS. OWNED BY AUS. GOVERNMENT – EXDD

• GOODS UNDER VALUE OF $2000 (AUD) – EXLV

• AUSTRALIA POST OR DIPLOMATIC MAIL BAGS – EXML

• UNACCOMPANIED PERSONAL EFFECTS – EXPE

• AUSTRALIAN SPARES – EXSP

• CARNET OR TRYPTIQUE. TEMPORARY IMPORTS – EXTI

• CONTINGENCY CUSTOMS AUTHORITY NO. (CCAN) – EXCC.

Note: The exempt code EXDD may only be applied to goods belonging to the Australian Defence Force.

Note: this field can only be used if the Customs Authority No field is left blank.

Note: when EXPE or EXLV exemption codes are entered, the following fields are mandatory Owner Name or Owner Id, Goods Description and Country of Destination.



Step 8. (Optional) If these goods have had a contingency Customs authority number issued to them, in the Contingency CAN field, enter the contingency CAN.

Note: the Contingency CAN field can only be used if the Exempt Code is EXCC.

Note: for further details on contingency Customs authority numbers, refer to the Business Continuity Plan.

Step 9. (Optional) Select the Offload Indicator checkbox when cargo is split between CTO’s or when the goods have entered the CTO by being offloaded from another aircraft.

Step 10. In the Air Waybill field, enter the master air waybill number relating to the goods. The air waybill number must be exactly eleven characters in length and must not contain any special characters (eg, -).

Step 11. (Conditional) In the Owner Id field, enter the ABN or CCID of the owner of the goods. If the owner does not have an ABN/CCID, in the Owner Name field, enter the owner name.

Step 12. (Conditional) In the Goods Description field, enter a plain text description of the cargo.

Step 13. In the Proposed Depart Date field, enter the proposed departure date for the cargo.

Step 14. (Conditional) In the Country of Dest field, enter the UN country code for the country the cargo is going to be delivered to.

Note: to add a line, click on the Add Line button.

Note: a maximum of ten lines can be added to a page before a CTO receival notice must be submitted.

Note: to exit this screen without saving, click on the Cancel button.

Step 15. Click on the Submit button.

A confirmation box displays.

Step 16. Click on the OK button.

An information box displays.




The CTO Receival Notice Line Summary screen displays with the updated details.

LODGING A CTO RECEIVAL NOTICE (SEA)

The CTO Receival Notice Lodge screen enables user with the appropriate access to lodge a CTO receival notice to Customs. There are two modes of transport available when lodging a CTO receival notice, air or sea.

When lodging a CTO receival notice for sea cargo, fields relevant to sea cargo are displayed.

Tip: Before attempting to lodge a CTO receival notice, ensure that you have all required information and codes. It is NOT possible to use the reference search function (eg, for an AHECC code) and lodge a CTO receival notice simultaneously.

Tip: a CTO receival notice can contain a maximum of 999 lines. A maximum of ten lines can be added to a CTO receival notice before it must be submitted. To add additional lines, refer to Amending a CTO Receival Notice on page 5.18.

To lodge a CTO receival notice (sea):

Step 1. From the main menu, click on Exports, then click on CTO Receival Notice and then click on Lodge.

The CTO Receival Notice Lodge screen displays.

The CTO Receival Notice Lodge screen enables users to lodge details about cargo that is being received at a wharf for export.



Note: the Reporting Party Id field will default to the ABN/CCID (Australian Business Number/Customs Client Identifier) of the reporting party and will be read only.

Step 2. In the Senders Ref field, enter the sender’s unique reference for the notice.

Step 3. In the Mode of Transport field, click on the drop down button and select SEA.

Step 4. In the CTO Estab Id field, enter the CTO establishment identifier for the party receiving the goods.


The CTO Receival Notice Lodge screen displays with the relevant line fields for lodging a CTO receival notice for sea cargo.

Note: there must be at least one line on a CTO receival notice.









• CONTINGENCY CUSTOMS AUTHORITY NO. (CAN) – EXCC.








Step 9. (Optional) Select the Offload Indicator checkbox when cargo is split between CTOs or when the goods have entered the CTO by being offloaded from another vessel.

Step 10. In the Container No/Non-Containerised Id field, enter the container number or relevant identifier.

Step 11. In the Cargo Id Type field, click on the drop down button and select the appropriate option.

Step 12. In the Carrier Party Id field, enter the carrier party identifier (ABN/CCID).

Step 13. In the Vessel Id field, enter the unique identifier for the departing vessel. This may be either a Lloyd’s number (an internationally recognised register of unique numbers issued primarily to commercial vessels) or a Customs ship number (a unique alpha-numeric identifier assigned by Customs for vessels that do not have a Lloyd’s number).

Step 14. In the Voyage No field, enter the unique voyage number of the identified vessel. This number is assigned by the principal agent of the vessel and may include alpha characters.

Note: to add a line, click on the Add Line button.

Note: a maximum of ten lines can be added to a page before a CTO receival notice must be submitted.










The following table lists the options available on the CTO Receival Notice Lodge screen.

Option Action Result

To navigate to a particular line.

Note: if the line number does not exist, the next available line number will display. Enter 999 to display the last line.

In the Goto Line No field, enter the line item number and press the ‘Enter’ key on the keyboard.

The details for the line number entered displays.

To view the previous or next line.

Note: only available if more than one line exists.

Click on the Line Prev or Next button.

The previous or next line displays.

SEARCHING FOR A CTO RECEIVAL NOTICE

It is possible to search for a CTO receival notice that has previously been lodged, by entering information into a selected search combination. You can only search for notices created using your company’s reporting party identifier.

To search for a CTO receival notice:



Step 1. From the main menu, click on Exports, click on CTO Receival Notice and then click on Search.

The CTO Receival Notice Search screen displays.

The CTO Receival Notice Search screen enables users to search for a CTO receival notice. The default search criteria in the Select a Search Combination field will be Reporting Party Id & Senders Ref. Fields for this Select a Search combination are mandatory fields. All other fields are disabled.

Note: the Reporting Party Id field will default to the ABN/CCID (Australian Business Number/Customs Client Identifier) of the reporting party and is read only.

Step 2. In the Select a Search Combination field, click on the drop down button and select one of the following options:

• Reporting Party Id & Senders Ref (default)

• Reporting Party Id & CTO Estab Id

• Reporting Party Id & Transaction Date

• Reporting Party Id & Cargo Id & Transaction Date

Tip: Choosing an appropriate search option will make searching more efficient.

When a broad search option is used, a list will usually be returned. From this screen a specific document can be chosen. The broadest search option available is the Reporting Party Id & Transaction Date option. The most specific search option is the Reporting Party Id & Senders Ref option.

Step 3. Enter the relevant values in the mandatory fields.

Note: the transaction date range must be no more than 30 days duration.



Note: to clear the search criteria entered, click on the Clear button.

Step 4. Click on the Search button.

If one record is found, the CTO Receival Notice Line Summary screen displays.

If more than one record is found, the CTO Receival Notice List screen displays.

The CTO Receival Notice List screen enables users to view a list of CTO receival notices found by a search.

The list is sorted by transaction date and then by senders reference.

The following table lists the options available on the CTO Receival Notice List screen.


To view a previous or next page of results.

Note: only available if more than one page exists.

Click on the Page Prev or Next button.

The previous or next page of results displays.

To perform another search (with existing search values retained).

Click on the Back hyperlink.

The CTO Receival Notice Search screen displays with the previously entered search criteria.

To perform another search (with default

Click on the New Search hyperlink.

The CTO Receival Notice Search screen displays




search values). with the default search parameters.

Step 5. Click on a hyperlink in the Senders Ref column.

The CTO Receival Notice Line Summary (air) screen displays.

Or the CTO Receival Notice Line Summary (sea) screen displays.



The CTO Receival Notice Line Summary screen enables users to view summary details of the lines of cargo on a CTO receival notice.

The following options are available on the CTO Receival Notice Line Summary screen.


To navigate to the previous or next page of lines within the current CTO receival notice.



The previous or next page of lines displays.

To view the previous or next CTO receival notice.

Note: only available if this screen was accessed from the CTO Receival Notice List screen.

Click on the Notice Prev or Next button.

The previous or next CTO receival notice displays.

Step 6. Click on a hyperlink in the Line No column.

The CTO Receival Notice View (air) screen displays.



Or the CTO Receival Notice View (sea) screen displays.

The CTO Receival Notice View screen is divided into two sections. The header section at the top of the screen displays information that relates to the whole CTO receival notice. The lower section of the screen displays individual line details.

Note: if the status is Withdrawn or Processing, the Amend and Withdraw buttons will be disabled. If the movement status is Hold For Customs, the Withdraw button will be disabled.

The following table lists the options available on the CTO Receival Notice View screen:


To navigate to a particular line.

Note: if the line

In the Goto Line field, enter the line item number and press the

The details for the line number entered displays.




number does not exist and is not greater than the last line number, the next available line number displays. Enter 999 to display the last line.

‘Enter’ key on the keyboard.

To navigate to the previous or next page of line details within the current CTO receival notice.


Click on the Line Prev or Next button.

The previous or next page of line details displays.

To amend a CTO receival notice.

Click on the Amend button.

The CTO Receival Notice Amend screen displays.

To withdraw a CTO receival notice.

Click on the Withdraw button.

A confirmation box displays. Refer to Withdrawing a CTO Receival Notice.

AMENDING A CTO RECEIVAL NOTICE

The CTO Receival Notice Amend screen enables users with the appropriate access to amend the details of a CTO receival notice in the Integrated Cargo System (ICS). Only the reporter who lodged the notice can make subsequent changes to it. Significant amendments, particularly those involving goods subject to a permit may be subject to further investigation.

Tip: Before attempting to amend a CTO Receival Notice, ensure that you have all required information and codes. It is NOT possible to use the reference search function (i.e., for an AHECC code) and amend a CTO receival notice simultaneously.

To amend an existing CTO Receival Notice:

Step 1. From the CTO Receival Notice View screen, click on the Amend button.

The CTO Receival Notice Amend (air) screen displays.



Or the CTO Receival Notice Amend (sea) screen displays.

The CTO Receival Notice Amend screen enables users to change the line details of a CTO receival notice.

Note: the mode of transport used (air or sea) will determine what fields will be displayed on this screen.

The following fields are read only:

• Reporting Party Id

• Senders Ref

• Mode of Transport



• CTO Estab Id.

If the mode of transport is air, the following fields can be amended if required:

• Line Action

• Customs Authority No

• Exempt Code

• Contingency CAN

• Offload Indicator

• Air Waybill

• Cargo Id Type

• Owner Id

• Owner Name

• Goods Description

• Proposed Depart Date

• Country of Dest.

If the mode of transport is sea, the following fields can be amended if required:

• Line Action

• Customs Authority No

• Exempt Code

• Contingency CAN

• Offload Indicator

• Container No/Non-Containerised Id

• Cargo Id Type

• Carrier Party Id

• Vessel Id

• Voyage No.

Step 2. Locate the line that requires amendment.

Step 3. In the Line Action field, press the ‘A’ key on the keyboard (to indicate amend).

Step 4. Make the required changes.



Note: to amend other lines, refer to Step 2.






ADDING A LINE (AIR)

Lines of cargo can be added to a CTO Receival Notice if required.

To add a line (air):

Step 1. Ensure the CTO Receival Notice Amend screen is displayed.


The line number will increase to the next available number and fields will be displayed for population.






• GOODS UNDER VALUE OF $2000 (AUD) – EXLV


• UNACCOMPANIED PERSONAL EFFECTS – EXPE








Note: when EXPE or EXLV exemption codes are entered, the following fields are mandatory Owner Name or Owner Id, Goods Description and Country of Destination.




Step 6. (Optional) Select the Offload Indicator checkbox when cargo is split between CTO’s or when the goods have entered the CTO by being offloaded from another aircraft.

Step 7. In the Air Waybill field, enter the master air waybill number relating to the goods. The air waybill number must be exactly eleven characters in length and must not contain any special characters (eg, -).

Step 8. (Conditional) In the Owner Id field, enter the ABN or CCID of the owner of the goods. If the owner does not have an ABN/CCID, in the Owner Name field, enter the owner name.

Step 9. (Conditional) In the Goods Description field, enter a plain text commercial description of the cargo.

Step 10. In the Proposed Depart Date field, enter the proposed departure date for the cargo.

Step 11. (Conditional) In the Country of Dest field, enter the two letter UN country code of the country the cargo is going to be delivered to (eg, GB = Great Britain).

Note: a maximum of ten lines can be added to a page before a CTO Receival Notice must be submitted. A CTO receival notice can contain a maximum of 999 lines per header.

Note: to exit out of this screen without saving, click on the Cancel button.







ADDING A LINE (SEA)

Lines of cargo can be added to a CTO receival notice if required.

To add a line (sea):



The line number will increase to the next available number and fields will be displayed for population.

















Step 6. (Optional) Select the Offload Indicator checkbox when cargo is split between CTO’s or when the goods have entered the CTO by being offloaded from another vessel.

Step 7. In the Container No/Non-Containerised Id field, enter the container number or relevant identifier.

Step 8. In the Cargo Id Type field, click on the drop down button and select the appropriate option.

Step 9. In the Carrier Party Id field, enter the carrier party identifier (ABN/CCID).

Step 10. In the Vessel Id field, enter the unique identifier of the departing vessel. This may be either a Lloyd’s number (an internationally recognised register of unique numbers issued primarily to commercial vessels) or a Customs ship number (a unique alpha-numeric identifier assigned by Customs for vessels that do not have a Lloyd’s number).

Step 11. In the Voyage No field, enter the unique voyage number of the identified vessel. This number is assigned by the principal agent of the vessel and may include alpha characters.

Note: a maximum of ten lines can be added to a page before a CTO receival notice must be submitted. A CTO receival notice can contain a maximum of 999 lines per header.

Note: to exit out of this screen without saving, click on the Cancel button.







DELETING A LINE (AIR AND SEA)

Lines of cargo can be deleted from a CTO receival notice if required.

To delete a line:


Step 2. Locate the line that requires deletion.

Step 3. In the relevant Line Action field, press the ‘D’ key from the keyboard (to indicate delete).






The following table list the options available on the CTO Receival Notice Amend screen.


To navigate to the previous or next line within the current CTO receival notice.


The previous or next line displays.

Note: only available if more than one line exists.

WITHDRAWING A CTO RECEIVAL NOTICE

CTO receival notice withdraw functionality is found on the CTO Receival Notice View screen and enables users with the appropriate access to withdraw a CTO receival notice in the Integrated Cargo System (ICS).

To withdraw a CTO removal notice:

Step 1. From the CTO Removal Notice View screen, click on the Withdraw button.







The CTO Receival Notice View screen redisplays with a status of Processing. Upon conducting a search for the notice, the status will have changed to Withdrawn.



RELATED TOPICS

For more information on Export Declarations, refer to Module 2.

For more information on Warehouse Release and Return Notices, refer to Module 3.

For more information on Depot Receival and Removal Notices, refer to Module 4.

For more information on Sub Manifests, refer to Module 6.

For more information on Departure Reports, refer to Module 7.

For more information on Main Manifests, refer to Module 8.

FURTHER ASSISTANCE

The quick reference guides CTO Receival Notices and CTO Removal Notices are available from www.customs.gov.au.

For technical support email [email protected] or phone 1300 558 099.

Documents

module 5.1 CRC - ABF5.1.6 INDUSTRY EXPORTS MANUAL – V1.1 27/07/2007 When lodging a CTO receival notice for air cargo, fields relevant to air cargo are displayed. Tip: Before attempting