[KENYA TRADE NETWORK AGENCY]
STANDARD OPERATING PROCEDURE
Kenya Electronic Single Window System
Prepared by
Kenya Trade Network Agency (KENTRADE)
August 30, 2013
The purpose of this document is to present the Standard Operating Procedures
(SOP) for the above mentioned Procedures facilitated through the Kenya
Electronic Single Window System (KESWS)
ACKNOWLEDGEMENTS
The Kenya Trade Network Agency (KENTRADE) would like to thank the
Stakeholder organizations who collectively contributed to the development of
this Standard Operating Procedure document. This guidance document would
not have been actualized without their knowledge, time and effort.
DISCLAIMER
While all the efforts have been made to ensure that the document is error free,
KENTRADE welcomes any omissions identified after finalization of the document.
Mention of trade names or commercial products does not constitute
endorsement or recommendation for use.
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STANDARD OPERATING PROCEDURE APPROVALS:
Revision Number: 1.0 Effective Date: 31st October 2013
Approved by Trade Facilitation Manager: Daniel M. Kiange
Sign:……………………………… Date:……………………………………
Approved by Project Director: Amos Wangora
Sign:…………………………… Date:……………………………………
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1. Introduction
1.1 Purpose
The purpose of this Standard Operating Procedure (SOP) document is to
describe the standard procedures to be followed by the Kenya Electronic Single
Window System (KESWS) users.
Procedures must be in place to ensure the accountability, traceability, and
consistency of activities while using the Single Window System. Once signed-off
and approved, the SOPs document will serve as a roadmap to assist
stakeholders in the use of KESWS.
The procedure should be easily accessible to the users who interact with KESWS
or the Stakeholders systems one way or the other. The SOP should be used in
conjunction with the KESWS user guide that provides specific details regarding
use of the KESWS.
1.2 Scope
This SOP document highlights the procedures having a bearing on international
trade and logistics procedures i.e. import, export and transit related
transactions.
1.3 Document Convention
The document captures the procedures using elaborate descriptions of the step
and also presents graphical representation of the steps. The following
process/steps symbols are used:
Process Diagram Symbol Meaning
An activity within a process
Process Start and End
Decision
Single document or Product
Electronic Data
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Process Diagram Symbol Meaning
Direction of Process flow
1.4 Context Diagram
The context diagram defines the boundary between the Kenya Electronic Single
Window System and its environment, showing the entities that interact with it
including the Payment Gateway and the other Stakeholder systems. This
diagram is a high level view of the system and having an understanding of the
modules will put the SOPs to perspective.
The diagram is as follows:
Kenya Electronic Single Window System
(KESWS) Regulatory Agencies
Traders lodge Process lodged Docs
Documents
Clearing Agent TRADENET
KPA KWATOS
Shipping Line/
OGA Release
Agent
updates
KRA SIMBA
Query Risk Profile
Importer/Exporter OGA Module Risk Payment Gateway
Request MD Management
Module Ris
& CD kP
Approval Response hit a ra
profle me Government
ter
s Agencies
PPB
TBK
Port Health
KEPHIS
MD & CD HCDA
Approval/ DVS
Rejection KEBS
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1.1 Application & submission of an IDF Procedure
SOP Number: 0001 Title: Application & submission Procedure
Revision No: Effective Date: 31/10/2013
Issued By: TRADE FACILITATION MANAGER Date: 31/10/2013
Approved By: KRA Date: 31/10/2013
A. OVERVIEW
An IDF is the form an importer completes in a prescribed format (form C 61) prior
to shipment of goods.
An IDF is applied for by the Exim through KESWS and submitted for KRA
processing. The KRA officer logs into KESWS to check the details before
processing. KRA routes it to the relevant OGAs for relevant approvals e.g. PPB for
permits to import drugs, KEBS for approval import used motor vehicle etc.
The Exim makes payment for the IDF in KESWS so that the application is routed
back for KRA to evaluate and approve the IDF.
B. SCOPE OF PROCEDURE:
The procedure entails creation of an IDF; the approved IDF is a pre-requisite for
creation of an entry in Simba.
C. RESPONSIBILITIES:
C.1 The exim is responsible for the applying for/creation of the UCR and IDF
through KESWS.
C.2 KESWS is responsible for assigning the UCR.
C.3 Kenya Revenue Authority (KRA) is responsible for evaluating and
approving the IDF.
C.4 The exim is responsible for making the prepayments.
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C.5 The relevant OGAs are responsible for approving the requisite permits (e-
docs).
D. REQUIREMENTS
The exim must be registered in KESWS
E. DEFINITIONS
E.1 CA- Clearing agents
E.2 IDF – Import Declaration Form
E.3 PPB- Pharmacy & Poisons Board
E.4 KESWS- Kenya Electronic Single Window System
E.5 KEBS – Kenya Bureau of Standards
E.6 UCR – Unique Consignment Reference
E.7 OGAs – Other Governmental Agencies
E.8 EXIM – The clearing agent
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F. PROCEDURE:
G. STEPS
The steps below describe the creation of an IDF details of interaction are
available in the KESWS user guide.
G.1 Creation of an IDF
The exim creates the UCR in KESWS. The exim then applies for an IDF using the
UCR already issued by KESWS.
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The system will provide an option to select “Import”. If import is selected the
exim is able to input all the necessary details for that consignment.
The exim then makes prepayments for the consignment.
G.2 Submission of an IDF
The exim updates the draft IDF and submit. The exim is able to track the
document in his exim profile under “track approval” status as submitted.
G.3 Evaluation of the IDF for approval
The KRA officer checks the details of the IDF in KESWS.
Where an approval of an OGA is required, the officer routes the application
to the relevant OGA for approval.
Once approved by the relevant OGA, the document is available now for
approval by KRA
G.3 Approval by KRA
The KRA officer is now to approve the IDF.
The document can be viewed by the exim once approved by KRA and its
status confirmed whether “approved,”rejected or “on-hold”
The approved IDF which now has a number can be viewed and printed by
the exim.
NB: The system should be able to automatically select the relevant OGA for
approval as soon as the HS code is selected before it is routed for KRA’s
approval.
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1.2 Submission of IDF amendment Procedure
SOP Number: 0001 Title: Application & Submission of a request for IDF
amendment
Revision No: Effective Date: 31/10/2013
Issued By: TRADE FACILITATION MANAGER Date: 31/10/2013
Approved By: KRA Date: 31/10/2013
A. OVERVIEW:
An IDF is created by the exim through KESWS. Since this is a document done
prior to shipment of the expected goods sometimes there arises need to
change some particulars of the document.
Examples of the particulars for which changes are requested for include
exporter/seller names, country of origin, addition of items or removal of some,
currency, incoterms, etc.
The exim applies for amendment of an IDF specifying the details to be
amended.
The exim pays the fees for amendment (USD 5.00).
The exim submits the amendment request for approval by the KRA officer.
KRA logs in to KESWS to view the application and approve/reject.
The Standard Operating Procedures (SOP) for covers the following:
i. Application for an amendment of an IDF
ii. Submission of amendment request for an IDF
iii. Approval of an IDF amendment request
B. SCOPE OF PROCEDURE:
The procedure entails application, payments and submission of the amendment
request. A revised invoice and amendment fees are pre-requisites for
amendment to be approved.
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C. RESPONSIBILITIES:
C.1 The exim is responsible applying for & submitting an IDF amendment
request through KESWS
C.2 Kenya Revenue Authority is responsible for approving the amendment
in KESWS.
C.3 Exim is responsible for paying amendment fees through KESWS
D. REQUIREMENTS
The exim must be registered in KESWS
E. DEFINITIONS
E.1 IDF –Import Declaration Form
E.2 EXIM –Importer/clearing agent
E.3 IDF – Import Declaration Form
E.4 KESWS- Kenya Electronic Single Window System
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F. PROCEDURE:
G. STEPS
The steps below describe the creation of an amendment request; details of
interaction are available in the KESWS user guide.
G.1 Create a request for an amendment
The exim applies for amendment of an IDF in KESWS.
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The system under search for consignment allows for amendment details to be
input by the exim.
The exim pays for the amendment fees in KESWS.
G.2 Submission of amendment request
The exim submits the request for KRA to approve in KESWS.
G.3 Approval of the amendment
KRA evaluates the amendment request based on the revised invoice,
confirms payment of amendment fees and approves/ rejects.
The exim is able to view the application under track approval status to confirm
status. If approved the amended IDF is shown as version 2 and the exim can
print it.
NB: All amendment requests attract amendment fees of USD 5.00 except in
cases where the importer details have to be changed in which case the exim is
required to Kshs 5,000.
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1.3 Submission of IDF cancellation Procedure
SOP Number: 0001 Title: Application & Submission of a request for IDF
cancellation
Revision No: Effective Date: 31/10/2013
Issued By: TRADE FACILITATION MANAGER Date: 31/10/2013
Approved By: KRA Date: 31/10/2013
A. OVERVIEW:
An IDF cancellation request arises in a number of occasions some of which are
cancellation of the order by importer, in availability of the item of interest from
exporter, decision to source for product locally etc.
A request for cancellation of an IDF is applied for by the exim in KESWS.
Exim pays for the cancellation request after KRA approves the cancellation
request.
NB: Reconciliation window necessary for reconciling the IDF before approving
cancellation. This is to safeguard the revenue leakages that more often is
associated with the IDF cancellations.
The Standard Operating Procedures (SOP) covers the following:
i. Application for cancellation of an IDF
ii. Submission of cancellation request for an IDF
iii. Approval of a cancellation request
B. RESPONSIBILITIES:
B.1 The exim is responsible for applying for IDF cancellation request.
B.2 Kenya Revenue Authority is responsible for approving the cancellation
in KESWS.
B.3 Exim is responsible for paying cancellation fees(USD 10.00) through
KESWS
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C. RESPONSIBILITIES:
C.1 The exim is responsible applying for & submitting an IDF amendment
request through KESWS
C.2 Kenya Revenue Authority is responsible for approving the
amendment in KESWS.
C.3 Exim is responsible for paying amendment fees through KESWS
D. REQUIREMENTS
The exim must be registered in KESWS
E. DEFINITIONS
E.1 IDF –Import Declaration Form
E.2 EXIM – clearing agent
E.3 IDF – Import Declaration Form
E.4 KESWS- Kenya Electronic Single Window System
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F. PROCEDURE:
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G. STEPS
The steps below describe the creation of a cancellation request
G.1 Create a request for an IDF cancellation
The exim applies for cancellation of an IDF in KESWS.
The system under search for consignment allows for details to be input by the
exim.
The exim pays for the cancellation fees (USD 10.00).
G.2 Submission of cancellation request
The exim submits the request for KRA to approve in KESWS.
G.3 Approval of the cancellation request
KRA evaluates the cancellation request based on the reconciliation data,
confirms payment of cancellation fees and approves/rejects.
The exim checks the document “track approval status” to confirm the status
whether approved or rejected.
NB: (1.) Window necessary to reconcile IDF before an approval of cancellation
of the same is done to safeguard revenues/curb revenue leakages.
(2.) KESWS should have provision for generation of IDF reports e.g.
rejected, utilized, unutilized etc.
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1.4 IDF Expiry/Renewal
SOP Number: 0001 Title: IDF Expiry/Renewal
Revision No: Effective Date: 31/10/2013
Issued By: TRADE FACILITATION MANAGER Date: 31/10/2013
Approved By: KRA Date: 31/10/2013
A. OVERVIEW
An Import Declaration Form remains valid until is utilized; it has no time limit
neither does it expire nor need an extension of validity period.
However, it is important that the lifetime be set for purposes of controls since the
current open ended status creates many unutilized IDFs in the system and
consequent loopholes leading to revenue leakages.
The KESWS has a provision for expiry and extension of the validity period of an
IDF though no test cases were presented/done for the same.
The Standard Operating Procedures (SOP) covers the following:
i. Validity period/lifetime of an IDF
ii. Expiry of an IDF
iii. Extension of validity period of an IDF
B. RESPONSIBILITIES
KRA is responsible for extension/determining of the lifetime of an IDF.
NB: KRA is in the process of coming up with a legislation to govern the validity
period of an IDF to enable the application of the same.
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