Compliance & Documents

Borderbolt provides comprehensive tools for customs compliance monitoring, document management, and regulatory tracking. Ensure your declarations meet customs requirements and maintain audit-ready documentation.

Compliance Dashboard

Overview

The Compliance Dashboard provides a real-time view of:

• Declarations requiring action
• Pending customs responses
• Non-closure risks (transit and export)
• Document requirements
• Authorization expirations
• Audit alerts

Accessing the Dashboard

1. Navigate to Compliance in the main menu
2. Dashboard shows key metrics and alerts

Dashboard Widgets

Pending Actions

Declarations awaiting your action:

• Control Notifications: Customs requests for documents or inspection
• Amendment Requests: Corrections needed before release
• Document Submissions: Supporting documents required
• APE Submissions: Proof of export required for export declarations

Action Required: Click any item to open the declaration and take action.

Response Timeframes

Track customs response SLAs:

• Acceptance: Average time to acceptance (target: <5 minutes)
• Release: Average time to release (target: <30 minutes)
• Control: Average time to control resolution (target: <24 hours)
• Rejection: Count of rejections (lower is better)

Health Indicators:

• 🟢 Green: Within target SLA
• 🟡 Yellow: Approaching SLA limit
• 🔴 Red: SLA breach

Non-Closure Risks

Transits and exports at risk of non-closure:

• Critical (🔴): Severely overdue (>7 days)
• High (🟠): Overdue (1-7 days)
• Medium (🟡): Approaching deadline (within 2 days)
• Low (🟢): On track for timely closure

See Non-Closure Monitoring below for details.

Authorization Expirations

Upcoming expiries for customer authorizations:

• 30 Days: Authorizations expiring within 30 days (🟡 warning)
• 7 Days: Authorizations expiring within 7 days (🔴 critical)
• Expired: Authorizations already expired (🔴🔴 urgent)

Types Tracked:

• AEO certificates (C504, C505, C507)
• Vergunningen (goods location authorizations)
• EIDR authorizations (C514)
• Procedure authorizations (IP, OP, etc.)
• BTI rulings

Action: Renew with customs or update customer records.

Document Management

Supported Document Types

Borderbolt supports comprehensive document management for customs declarations:

Commercial Documents

Transport Documents

Origin & Certification Documents

Permits & Licenses

Customs Documents

Other

Uploading Documents

Single Upload

1. Open a declaration
2. Click Documents in the header toolbar
3. Click Upload Document
4. Fill in:
   • Document Type: Select from the list above
   • File: Choose PDF, Word, Excel, or image (max 50MB)
   • Reference Number: Document number (invoice #, B/L #, etc.)
   • Issue Date: Document date
   • Issuer: Who issued the document (supplier, freight forwarder, etc.)
   • Notes: Additional information or context
5. Click Upload
6. Document is saved and linked to the declaration

Bulk Upload

Upload multiple documents at once:

1. Click Bulk Upload
2. Drag and drop files or click to browse
3. Select multiple PDFs/images
4. For each file:
   • Assign document type
   • Enter reference number (optional)
5. Click Upload All
6. All documents are processed and linked

Email Attachment Import

Documents can be automatically imported from customer emails:

1. Enable document import in Settings → Email Integration
2. When customer emails with attachments, documents are:
   • Automatically uploaded to the matching declaration (if MRN/LRN in subject)
   • Stored in a pending queue for manual linking (if no match)

Viewing Documents

Inline Viewer

1. Click on any document in the Documents list
2. Document opens in an inline viewer:
   • PDF: Rendered with zoom, page navigation
   • Images: Full-size with zoom
   • Word/Excel: Rendered as HTML preview
3. Click Download to save locally

Document Metadata

Each document shows:

• Thumbnail preview
• Document type and code
• Reference number
• Upload date and user
• File size and format
• Linked declarations (if attached to multiple)

Document Actions

Download: Save document locally

View: Open in inline viewer

Edit Metadata: Update document type, reference, notes

Link to Declaration: Attach to another declaration

Delete: Remove document (disabled by default for compliance)

Document Search

Find documents across all declarations:

1. Go to Documents → Search
2. Search by:
   • Document Type: Filter by type (invoice, B/L, EUR.1, etc.)
   • Reference Number: Search by invoice #, B/L #, etc.
   • Date Range: Upload date or issue date
   • Customer: Documents for specific customer
   • Declaration MRN/LRN: Find documents attached to a declaration
   • Full-Text: Search within document content (PDF text extraction)
3. Results show matching documents with metadata
4. Click to view or download

CMR Creation and Generation

What is a CMR?

CMR (Convention relative au contrat de transport international de Marchandises par Route) is the international consignment note for road freight. It serves as:

• Proof of contract of carriage
• Receipt for goods
• Document of title (in some cases)
• Required for TIR/transit declarations

Creating a CMR

1. Navigate to Documents → CMR
2. Click New CMR
3. Fill in the CMR details:

Sender/Consignor

• Name and address
• Contact details
• Reference number

Consignee

• Name and address
• Contact details
• Delivery instructions

Carrier

• Carrier name and address
• Vehicle registration
• Trailer registration
• Driver name

Goods Description

• Number and type of packages
• Description of goods
• Gross weight
• Volume
• Shipping marks

Transport Details

• Place and date of loading
• Place of delivery
• Successive carriers (if applicable)
• Special instructions or agreements

4. Click Generate CMR

CMR PDF Generation

The CMR PDF includes:

• All party details (sender, consignee, carrier)
• Goods description and package details
• Transport information
• Legal disclaimers and carrier liability terms
• Signature blocks for sender, carrier, and consignee
• Multiple copies (sender, carrier, consignee)

Format: Standard CMR format compliant with UN/ECE standards

Barcode: Includes barcode for quick scanning and reference

CMR Management

• Save Draft: Save CMR for later completion
• Generate PDF: Create printable CMR
• Email: Send CMR to carrier and consignee
• Link to Declaration: Attach CMR to related transit or export declaration
• Archive: Store completed CMRs for compliance (7-year retention)

ATR Certificates

What is an ATR?

ATR (Algemeen Bewijs van Goederenverkeer / Attestation de Circulation) is a movement certificate for goods moving between the EU and Turkey under the Customs Union agreement. It provides:

• Proof of EU or Turkish origin
• Exemption from customs duties
• Required for qualifying goods

ATR Workflow

1. Eligibility Check: Verify goods qualify for EU-Turkey customs union treatment
2. Request ATR: Request ATR from supplier (if import) or issue ATR (if export)
3. Upload: Attach ATR to the declaration
4. Validation: Customs validates the ATR during clearance
5. Duty Relief: Duties are reduced or eliminated

Managing ATRs

Upload ATR

1. Open a declaration
2. Go to Documents → Upload Document
3. Select A.TR as document type
4. Upload the ATR certificate (PDF or scan)
5. Enter ATR reference number
6. Save

Generate ATR (Export)

For exports to Turkey where you are the authorized exporter:

1. Open the export declaration
2. Click Generate ATR
3. Borderbolt creates an ATR certificate with:
   • Exporter details (from company settings)
   • Consignee details (from declaration)
   • Goods description and HS codes
   • Origin declaration
   • Authorized exporter stamp (if applicable)
4. Download and sign the ATR
5. Attach to the shipment
6. Upload the signed ATR to the declaration

ATR Verification

Customs may verify ATRs:

• Check origin criteria (manufacturing in EU)
• Validate authorized exporter status
• Confirm goods description matches declaration
• Verify ATR serial number authenticity

Keep supporting documents:

• Supplier declarations
• Manufacturing records
• Bill of materials (for processed goods)
• Previous import documentation (if EU goods)

Authorization Tracking

What are Authorizations?

Authorizations are permissions from customs to use simplified procedures or special treatments:

• AEO (Authorized Economic Operator): Simplified customs procedures, reduced controls
• Vergunningen: Authorized goods locations, warehouses
• EIDR (Entry in Declarant’s Records): H7 simplified import declarations
• Procedure Authorizations: Inward Processing (IP), Outward Processing (OP), etc.
• BTI (Binding Tariff Information): Official HS code rulings

Tracking Expirations

Borderbolt monitors authorization expiry dates:

1. Navigate to Compliance → Authorizations
2. View all customer authorizations with expiry dates
3. Filter by:
   • Customer: Specific customer’s authorizations
   • Authorization Type: AEO, vergunning, BTI, etc.
   • Expiry Status: Expiring soon, expired, valid
4. Alerts are shown for:
   • 🟡 30 Days: Expiring within 30 days (plan renewal)
   • 🔴 7 Days: Expiring within 7 days (urgent renewal)
   • 🔴🔴 Expired: Already expired (update records, stop using)

Authorization Renewal Workflow

1. 30-Day Alert: Notify customer to begin renewal process with customs
2. Submit Renewal: Customer submits renewal application to customs
3. Pending Renewal: Mark authorization as “Pending Renewal” in Borderbolt
4. Approval: Customs approves renewal with new expiry date
5. Update Records: Update authorization in customer master data with new dates
6. Verify: Verify authorization is valid before creating new declarations

Authorization Management

Adding Authorizations

1. Go to Customers → Select customer → Authorizations tab
2. Click Add Authorization
3. Fill in:
   • Authorization type
   • Authorization number
   • Issuing office
   • Effective from/until dates
   • Scope/conditions (optional)
4. Upload authorization document (PDF)
5. Save

See Customers - Authorizations for details.

Bulk Import

Import multiple authorizations from CSV:

1. Go to Compliance → Authorizations → Import
2. Download CSV template
3. Fill in authorization data
4. Upload and import

BTI Management

What is a BTI?

Binding Tariff Information (BTI) is an official ruling from customs on the HS code classification of a specific product. Benefits:

• Legally Binding: Customs must honor the BTI ruling
• Valid EU-Wide: Accepted by all EU member states
• 3-Year Validity: Valid for 3 years from issuance (unless tariff changes)
• Audit Protection: Protects against reclassification during audits
• Consistency: Ensures same item always uses same HS code

BTI Workflow

1. Application: Submit BTI application to customs with product details, samples
2. Review: Customs reviews and issues BTI ruling (can take 60-120 days)
3. Receive BTI: BTI document with HS code and validity period
4. Register in Borderbolt: Add BTI to item master
5. Use in Declarations: Reference BTI in declarations
6. Monitor Expiry: Track BTI expiry and renew before it lapses

Managing BTIs in Borderbolt

Adding BTI to Item

1. Go to Item Master → Select item
2. Go to Compliance tab
3. Click Add BTI
4. Fill in:
   • BTI Number: Reference number from customs (format: NLBTI + 8 digits)
   • Issuing Office: Customs office that issued the BTI
   • Issue Date: BTI issuance date
   • Valid Until: BTI expiry date (usually 3 years from issuance)
   • HS Code: The official HS code from the BTI
   • TARIC: Additional TARIC code if applicable
5. Upload BTI document (PDF)
6. Save

BTI Tracking

1. Go to Compliance → BTI
2. View all BTIs with expiry tracking
3. Filter by:
   • Customer
   • Item
   • Expiry status (valid, expiring soon, expired)
   • HS code
4. Alerts for expiring BTIs (30 days, 7 days, expired)

BTI Renewal

1. 90-Day Alert: Begin BTI renewal process
2. Submit Renewal: Apply for new BTI (customs may require updated samples/info)
3. Receive New BTI: Update item master with new BTI details
4. Retire Old BTI: Mark old BTI as “Superseded” but retain for audit trail

Non-Closure Monitoring

Overview

Non-closure occurs when transit or export declarations are not properly closed by customs, creating financial and compliance risks.

Transit Non-Closure

Scenario: T1/T2 departure declaration submitted, but no arrival notification or write-off received.

Risks:

• Guarantee claim by customs
• Financial liability for duties on goods
• Suspension of transit authorizations
• Penalties and fines

Expected Timeframes:

• Road transit: 7 days
• Rail transit: 14 days
• Sea/Air transit: 21 days

Export Non-Closure

Scenario: Export declaration released, but no proof of exit from EU territory received.

Risks:

• Challenge of export VAT zero-rating
• VAT reclaim by tax authorities
• Export license violations (if controlled goods)
• Compliance score reduction

Expected Timeframe: 30 days for APE (Alternative Proof of Export)

Monitoring Non-Closure

1. Navigate to Compliance → Non-Closure Risk
2. View declarations at risk:
   • MRN: Master Reference Number
   • Customer: Customer name
   • Type: Transit or Export
   • Departure Date: When declaration was released
   • Expected Closure: Deadline for closure
   • Days Overdue: How many days past deadline
   • Risk Level: Low (🟢), Medium (🟡), High (🔴), Critical (🔴🔴)
3. Take action on overdue declarations

Actions for Non-Closure

Transit Non-Closure

1. Submit Enquiry (CC140C): Check transit status with customs
2. Contact Carrier: Verify goods delivered and POD (Proof of Delivery) received
3. Contact Destination: Confirm arrival notification was submitted
4. Manual Intervention: Contact destination customs office if no response
5. Document Resolution: Upload POD and closure documents

Export Non-Closure

1. Request APE: Contact destination customs for exit confirmation
2. Collect Evidence: Gather proof of export (B/L, AWB, delivery confirmation)
3. Submit APE: Submit Alternative Proof of Export to customs
4. Upload Documents: Attach all evidence to declaration

Automated Alerts

Set up automatic alerts for non-closure risks:

1. Go to Settings → Compliance → Non-Closure Alerts
2. Configure:
   • Warning Threshold: Days before expected closure (default: 2)
   • Overdue Threshold: Days after expected closure (default: 1)
   • Critical Threshold: Days severely overdue (default: 7)
   • Recipients: Email addresses to notify
   • Frequency: Real-time, daily digest, or weekly
3. Save

Email Alerts Include:

• List of at-risk declarations
• Risk level and days overdue
• Recommended actions
• Link to Compliance Dashboard

Audit Compliance

Audit Readiness

Borderbolt maintains audit-ready documentation:

• 7-Year Retention: All declarations and documents retained
• Immutable Records: Finalized declarations cannot be edited
• User Audit Trail: Track who made changes and when
• Document Versioning: Track document uploads and replacements
• BTI Records: Link BTI rulings to declarations
• Authorization History: Track authorization usage and validity

Audit Reports

Generate reports for customs audits:

Declaration Audit Report

1. Go to Compliance → Audit Reports → Declarations
2. Select date range (e.g., full year for annual audit)
3. Filter by:
   • Declaration type (import, export, transit)
   • Customer
   • Declarant
   • Office
4. Report includes:
   • All declarations submitted
   • Acceptance/rejection status
   • Duty and VAT totals
   • Documents attached
   • BTI references
   • Authorizations used
5. Export to CSV or PDF

Document Audit Report

1. Go to Compliance → Audit Reports → Documents
2. Select date range
3. Report shows:
   • All documents uploaded
   • Document types and references
   • Linked declarations
   • Upload user and timestamp
4. Verify all required documents are present

Authorization Usage Report

1. Go to Compliance → Audit Reports → Authorizations
2. Report shows:
   • All authorizations used in declarations
   • Authorization validity at time of use
   • Frequency of use per authorization
   • Expired authorizations used (compliance violations)
3. Identify any unauthorized usage

Best Practices

Document Management

• Immediate Upload: Upload documents as soon as received (don’t wait until submission)
• Correct Types: Use the correct document type codes for customs matching
• Complete Metadata: Fill in reference numbers, issue dates, and issuers
• Quality: Ensure PDFs are clear and readable (300 DPI minimum for scans)
• Retention: Never delete documents (7-year retention required)

Authorization Management

• Proactive Renewal: Begin renewal process 90 days before expiry
• Verify Before Use: Always check authorization validity before creating declarations
• Notify Customers: Alert customers 30 days before expiry
• Document Renewals: Upload new authorization documents immediately upon receipt
• Audit Trail: Keep records of all renewals and correspondence with customs

BTI Management

• Prioritize High-Value: Obtain BTIs for high-value or frequently declared items first
• Monitor Tariff Changes: Review BTIs annually for tariff updates that may invalidate them
• Renewal Timing: Submit BTI renewal applications 4-6 months before expiry
• Use Consistently: Always reference BTI in declarations for covered items
• Archive: Retain old BTIs even after expiry for audit trail

Non-Closure Prevention

• Timely Arrivals: Submit arrival notifications within 24 hours of delivery
• Carrier Coordination: Ensure carriers understand their responsibilities for arrival notification
• Proactive Enquiries: Submit enquiries for transits delayed >50% of expected timeframe
• Documentation: Maintain POD (Proof of Delivery) for all transits and exports
• Weekly Review: Check non-closure dashboard weekly, not just when alerted

Related Topics

• Declarations - Create compliant declarations
• Transit - Monitor transit closure
• Customers - Manage customer authorizations
• Item Master - BTI tracking for items
• Reports - Generate compliance reports