ISO/PAS 28005-1:2012

Ships and marine technology — Electronic port clearance (EPC) — Part 1: Message structures — Implementation of a maritime single window system

ISO/PAS 28005-1:2012 provides necessary guidance information related to electronic port clearance (EPC), such as message transmission requirements, business scenarios, message structures and software requirements. Within the context of ISO/PAS 28005-1:2012, EPC includes the activities that a user, such as a ship's master, a shipping agency or a ship owner undertakes to submit electronic data to appropriate organisations to approve or reject the clearance for the ship to enter or leave a port. ISO/PAS 28005-1:2012 defines XML message structures for transmission or information between a ship or its representatives and certain organisations responsible for the processing of the ship's port clearance request. The information to be transferred is that which is defined by the FAL Convention and other related international instruments as defined by ISO 28005-2. These mesage structures are primarily intended for machine to machine data transfers. ISO/PAS 28005-1:2012 allows different configurations of the single window (SW), from a minimum solution to support basic clearance requirements to a more complex system to facilitate more extensive cooperation between ship and shore organisations.

Systèmes de management de la sûreté pour la chaîne d'approvisionnement — Operations portuaires assistées par systèmes électroniques — Partie 1: Structure des messages — Mise en oeuvre d'un système maritime à guichet unique

General Information

• Status: Withdrawn
• Publication Date: 23-Aug-2012
• Withdrawal Date: 23-Aug-2012
• ICS: 35.240.60 - IT applications in transport
• ICS: 47.020.99 - Other standards related to shipbuilding and marine structures
• Technical Committee: ISO/TC 8 - Ships and marine technology
• Drafting Committee: ISO/TC 8 - Ships and marine technology
• Current Stage: 9599 - Withdrawal of International Standard
• Completion Date: 25-Feb-2013

Relations

• Revised: ISO 28005-1:2013 - Security management systems for the supply chain — Electronic port clearance (EPC) — Part 1: Message structures
• Effective Date: 07-Apr-2012

Standards Content (Sample)

PUBLICLY ISO/PAS
AVAILABLE 28005-1
SPECIFICATION
First edition
2012-09-01

Ships and marine technology —
Electronic port clearance (EPC) —
Part 1:
Message structures — Implementation of
a maritime single window system
Systèmes de management de la sûreté pour la chaîne
d'approvisionnement — Operations portuaires assistées par systèmes
électroniques —
Partie 1: Structure des messages — Mise en oeuvre d'un système
maritime à guichet unique




Reference number
ISO/PAS 28005-1:2012(E)
©
ISO 2012

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ISO/PAS 28005-1:2012(E)

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©  ISO 2012
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ii © ISO 2012 – All rights reserved

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ISO/PAS 28005-1:2012(E)
Contents Page
Foreword . iv
Introduction . v
1  Scope . 1
2  Normative references . 1
3  Terms and definitions . 1
4  Conceptual system design . 3
4.1  General single window functionality . 3
4.2  Business to administration or business to business system . 3
4.3  Alternative message sequences . 4
4.4  Information sent by ship or agent . 4
4.5  Input data once . 4
5  General transaction requirements . 5
5.1  General transaction pattern . 5
5.1.1  Unique journal number . 5
5.1.2  Request . 5
5.1.3  Receipt . 6
5.1.4  Cancellation . 6
5.1.5  Acknowledgement . 6
5.2  Multiple copy-to parties . 7
5.3  Support for other reporting requirements . 7
5.4  Support for alternative data sources . 7
5.5  Support for alternative information transfer mechanisms . 7
5.6  Electronic communication interface requirements . 8
5.6.1  Ship interface . 8
5.6.2  SW interface . 8
5.7  Operational security . 8
6  Message requirements . 8
6.1  Example of message descriptions . 8
6.2  XML Schema to be used . 9
6.2.1  File header and end . 9
6.2.2  New data type definitions . 9
6.2.3  Data block definitions . 9
6.2.4  Message definitions . 10
6.3  Structure of the EPC message . 10
6.4  Structure of request data block . 11
6.5  Structure of cancel data block . 13
6.6  Structure of receiptdata block . 13
6.7  Structure of acknowledgement data block . 13
7  New data types . 14
7.1  epc:MessageTypeContentType — New code values . 14
7.2  RequestErrorCode — request error codes . 14
7.3  EPCClearanceStatusType — Data type for clearance status . 14
Annex A (informative) Implementation advice for single window . 16
Annex B (informative) Development of a single window . 22
Bibliography . 28

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ISO/PAS 28005-1:2012(E)
Foreword
ISO (the International Organization for Standardization) is a worldwide federation of national standards bodies
(ISO member bodies). The work of preparing International Standards is normally carried out through ISO
technical committees. Each member body interested in a subject for whom a technical committee has been
established has the right to be represented on that committee. International organizations, governmental and
non-governmental, in liaison with ISO, also take part in the work. ISO collaborates closely with the
International Electrotechnical Commission (IEC) on all matters of electrotechnical standardization.
International Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 2.
The main task of technical committees is to prepare International Standards. Draft International Standards
adopted by the technical committees are circulated to the member bodies for voting. Publication as an
International Standard requires approval by at least 75 % of the member bodies casting a vote.
In other circumstances, particularly when there is an urgent market requirement for such documents, a
technical committee may decide to publish other types of normative document:
 an ISO Publicly Available Specification (ISO/PAS) represents an agreement between technical experts in
an ISO working group and is accepted for publication if it is approved by more than 50 % of the members
of the parent committee casting a vote;
 an ISO Technical Specification (ISO/TS) represents an agreement between the members of a technical
committee and is accepted for publication if it is approved by 2/3 of the members of the committee casting
a vote.
An ISO/PAS or ISO/TS is reviewed after three years in order to decide whether it will be confirmed for a
further three years, revised to become an International Standard, or withdrawn. If the ISO/PAS or ISO/TS is
confirmed, it is reviewed again after a further three years, at which time it must either be transformed into an
International Standard or be withdrawn.
Attention is drawn to the possibility that some of the elements of this document may be the subject of patent
rights. ISO shall not be held responsible for identifying any or all such patent rights.
ISO/PAS 28005-1 was prepared by Technical Committee ISO/TC 8, Ships and marine technology.
ISO 28005 consists of the following parts, under the general title Ships and marine technology — Electronic
port clearance (EPC):
 Part 1: Message structures — Implementation of a maritime single window system [Publicly Available
Specification]
1
 Part 2: Core data elements

1
ISO 28005-2, Security management systems for the supply chain — Electronic port clearance (EPC) — Part 2: Core
data elements.
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ISO/PAS 28005-1:2012(E)
Introduction
This Publicly Available Specification contains technical specifications that facilitate an efficient exchange of
electronic information between ships and shore for coastal transit or port calls. This Publicly Available
Specification is intended to cover the exchange of safety and security information required under the IMO FAL
Convention and other international specification as defined in ISO 28005-2. This Publicly Available
Specification is based on XML and UN/CEFACT standards such as those specified in the FAL Compendium.
Implementors of this PAS should normally also provide electronic interfaces supporting the use of
UN/EDIFACT standards. Parties with economic interests related to the ship, cargo, passengers or crew, such
as land transporters, receiving parties, insurers, and financial entities, may also find value in configuring their
data reception capability to receive information formatted in accordance with this Publicly Available
Specification. However, this is not a requirement of this Publicly Available Specification.
It should be noted that there are a number of other data exchanges related to port calls taking place that are
outside the requirements of this Publicly Available Specification such as:
 Administrative and trade related data exchanges.
 Customs clearance for import and export of goods.
 Logistics arrangements for loading and discharge of cargo, including bay plans, mooring instructions, tug
orders and other needs.
 Commercial exchanges related to freight costs, ownership and insurance of cargo. Ship operational
exchanges related to the ordering of consumables, water, bunkers and spare parts, or the exchange of
crews.
 Commercial exchanges related to port logs/statements of fact, calculations of demurrage and port fees,
etc.
Other ISO Committees, e.g. ISO/TC154, provide message and data transmission standards for such data
exchanges.
This Publicly Available Specification, possibly together with other international standards, can be used to
implement a single window for port clearance. This single window can provide for: 1) the simplified electronic
means for clearance of ships in maritime transport, 2) standardization in logisitics activities, interface, and
information in overall maritime transport, 3) improved maritime logistics activities, interface, and information in
overall maritime transport, 4) improved maritime logistics efficiency and strengthened maritime logistics
competitiveness of IMO member states. The single window standard for maritime transport is built upon
general single window concepts and characteristics and has been expanded to integrate the requirements of
maritime transport.
ISO 28005 consists of two parts. Part 1 (PAS) specifies the overall configuration of electronic port clearance
(EPC) and defines the message structures for use in EPC. Part 2 contains detailed definitions of core data
elements used in the message structures.
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PUBLICLY AVAILABLE SPECIFICATION ISO/PAS 28005-1:2012(E)

Ships and marine technology — Electronic port clearance
(EPC) —
Part 1:
Message structures — Implementation of a maritime single
window system
1 Scope
This Publicly Available Specification provides necessary guidance information related to electronic port
clearance (EPC), such as message transmission requirements, business scenarios, message structures and
software requirements. Within the context of this Publicly Available Specification, EPC includes the activities
that a user, such as a ship's master, a shipping agency or a ship owner undertakes to submit electronic data
to appropriate organisations to approve or reject the clearance for the ship to enter or leave a port.
This Publicly Available Specification defines XML message structures for transmission or information between
a ship or its representatives and certain organisations responsible for the processing of the ship's port
clearance request. The information to be transferred is that which is defined by the FAL Convention and other
related international instruments as defined by ISO 28005-2. These mesage structures are primarily intended
for machine to machine data transfers.
This Publicly Available Specification allows different configurations of the single window (SW), from a
minimum solution to support basic clearance requirements to a more complex system to facilitate more
extensive cooperation between ship and shore organisations.
Informative Annex A provides implementation advice for a SW. Informative Annex B suggests a methodology
for the development of a SW.
2 Normative references
The following referenced documents are indispensable for the application of this document. For dated
references, only the edition cited applies. For undated references, the latest edition of the referenced
document (including any amendments) applies.
ISO 28005-2, Security management systems for the supply chain — Electronic port clearance (EPC) —
Part 2: Core data elements
3 Terms and definitions
For the purposes of this document, the following terms and definitions apply.
3.1
acknowledgement
message sent from authorities giving the final acknowledgement of a request with the result of the request as
an approval or denial
3.2
authority
entity or entities acting on behalf of the port state under national legislation
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ISO/PAS 28005-1:2012(E)
3.3
cancellation
message sent from the ship to the single window to cancel a previous request
NOTE If the request is for port call clearance, the cancellation applies to all requests associated with that port call.
3.4
electronic port clearance
EPC
port clearance carried out by electronic messaging through a single window
3.5
empty tag
data elements that cannot be given a value by the sender and that are empty
NOTE See ISO 28005-2:2011.
3.6
journal number
reference code assigned by the single window to one specific call from one specific ship to the port
NOTE The journal number is normally assigned as a result of a first request message, but can also be assigned by
other methods. A scheduled service could get a pre-assigned series of journal numbers to cover a certain period. The
journal number is used in the exchanges between ship and single window to identify what port call a certain transaction
refers to.
3.7
port
location on a coast or shore containing one or more port facilities where ships can berth and transfer people or
cargo to and from land
NOTE Clearance to port will normally imply clearance for one specific port facility as defined in SOLAS Chapter XI-2
(International Ship and Port Facility Security Code - ISPS). Shifting the ship from one port facility to another will normally
require additional clearance, although not as extensive as for the general port clerance. For the purpose of this Publicly
Available Specification the term Port is used with the meaning of a port and an associated specific port facility in the port
3.8
port clearance
process undertaken by an entity or entities for the purpose of determining if a ship may enter the port, berth at
a facility, conduct certain operations, and/or depart the port
NOTE For cargo, additional clearance may be required to allow the unloading of the cargo or import of the cargo from
the tax free areas.
3.8
receipt
message sent from the single window as an inital response to a request
NOTE The receipt shows that the message was received and read and that necessary processing has been initiated.
In cases where all processing is done within the single window, the receipt may be the only response to the request.
3.9
request
message sent from the ship to the single window, containing a request for some form of clearance or other
service from one or more authorities connected to the single window
3.10
ship
ship itself, an agent in the port of call, the owner or management company, or any other entity that can legally
represent the ship in the transaction
NOTE When the term ship is used as one of the parties to a communication with a single window.
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ISO/PAS 28005-1:2012(E)
3.11
single window
SW
facility that allows parties involved in trade and transport to lodge standardized information and documents
with a single entry point to fulfil all import, export, and transit-related regulatory requirements
NOTE 1 If information is electronic, then individual data elements should only be submitted once.
NOTE 2 In this Publicly Available Specification, the term single window is restricted to a single window that is used for
clearance of ships according to requirements in the FAL Convention. This is sometimes called a maritime single window.
NOTE 3 Defined in UNR33.
3.12
Uniform Resource Identifier
URI
string of characters used to identify a name or a resource enabling interaction with representations of the
resource over a network (typically the World Wide Web) using specific protocols
NOTE 1 Schemes specifying a concrete syntax and associated protocols define each URI.
NOTE 2 A valid URI is specified according to ISOC RFC 3305. Schemes such as “mailto”, “http” and “https” are used in
this Publicly Available Specification.
4 Conceptual system design
4.1 General single window functionality
This Publicly Available Specification does not directly define the functionality of a single window (SW).
However, it is assumed that a SW exists and that it implements functionality to provide an electronic interface
between the ship or the ship representatives and authorities ashore.
Ship Authority 1
Agent Authority 2
SW
... ...
Party n Authority n

Figure 1 — General topology of SW system
The expected system configuration is shown in Figure 1. The SW acts as a single message centre for data
sent to or received from the ship or its representatives. The relevant authorities use the SW to perform their
clearance functions. The dashed line is the interface covered by this Publicly Available Specification.
4.2 Business to administration or business to business system
The definition of SW implies that the SW is uniquely a mechanism that implements a business to
administration (B2A) relationship. However, in the context of the interface between ship and port state
authorities, the port will in some cases operate as an authority and in other cases as a private entity. Thus,
this Publicly Available Specificiation will support both types of SW as illustrated below.
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ISO/PAS 28005-1:2012(E)
Public systems Private systems
Ship Authority 1
Port
SW
... ...
Authority n
Private systems Public systems
Ship
Authority 1
Port .
SW
...
Authority n

Figure 2 — Alternative SW solutions
Thus, a SW may in principle be implemented by private parties in the port and transfer data to public
authorities or vice versa. Also, data transfer could be between the ship and public authorities and the port
itself may not be part of the message exchange at all. This Publicly Available Specification does not mandate
any particular organisation of the SW.
4.3 Alternative message sequences
Port clearance can be a simple process where one clearance request is sent from a ship and one clearance
acknowledgement is returned from the SW when the ship has been cleared by the relevant authorities.
However, it may also be more complex, involving early bookings, updates, as well as cancellations of the
whole port call as illustrated below.
Activities before voyage Activities during voyage In port

Figure 3 — Example of a more complex ship voyage timeline
4.4 Information sent by ship or agent
Some ships may not have Internet access or may have delegated reporting responsibilities to an agent for
other reasons. This Publicly Available Specification will support information transmissions both from ship and
agent. Even if ships have access to the Internet, this may not be available at all times so the SW needs to
support some form of store and forward (e-mail) transmission mechanism in addition to direct web-based
access. This does not have any direct consequence for message formats.
4.5 Input data once
This Publicly Available Specification defines message structures that require information to be input only once.
This also includes provisions for the SW to accept certain data in other formats than what this Publicly
Available Specification defines.
4 © ISO 2012 – All rights reserved

Early booking
Cancellation
Booking update
Pre-arrival notice
Cargo update
48 hour notice
24 hour notice
Departure notice
Update departure data

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ISO/PAS 28005-1:2012(E)
5 General transaction requirements
5.1 General transaction pattern
The general transaction pattern is shown in Figure 4. The shaded areas represent message exchanges that
are optional in this Publicly Available Specification.
SW Authorities
Ship
Clearance Request
Receipt
Auth. transfer request(s)
Update Request 1.n
Receipt 1.n
Cancellation
Receipt
Adm. Response 1.n
Acknowledgement 1.n
Auth. Response
Acknowledgement

Figure 4 — General transaction pattern
5.1.1 Unique journal number
With the following exception, all message exchanges between the ship (or agent) and the SW relating to one
specific port call shall be identified by a unique journal number for the port call. The journal number is a field in
the message header structure. The exception to this rule is that the first clearance request from the ship (or
agent) to the SW shall have an empty tag for the journal number if the journal number is unknown to the ship
or agent at the time of transmission. The receipt message from the SW, if the receipt accepts the request, will
contain the journal number to be used in all subsequent message exchanges. This will ensure that all
messages related to one particular port call can be easily and uniquely identified.
NOTE The SW needs to construct a unique journal number for each ship’s port call and embed it in a token string.
5.1.2 Request
A request message is sent to request clearance to enter or leave the port. The request message may also be
used for other purposes as described in 5.3 if the SW accepts such messages.
The SW may allow a request message to be updated for the puposes of changing or adding information
related to the port call.
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ISO/PAS 28005-1:2012(E)
The SW is, however, not required to accept updates of request messages. If updates are not allowed,
approval or denial of port clearance will be based on the initial request submission and further requests will
automatically receive a negative receipt message. In this case, if the orginal request message was; in error,
incomplete, or the information had subsequently changed, the original request should be cancelled and a new
request submitted.
When information contained in an accepted update is received, the authorities that require that information
shall be informed by the SW and previous approvals issued by that authority, which were based on the
original information, shall be automatically cancelled. The corresponding status of all required
acknowledgements will be transmitted to the ship in the receipt message.
The ship must keep track of the status of the required approvals.
The request message shall list the copy-to parties that should be copied on all responses to the request. The
SW may limit the number of recipients and this will be conveyed in the receipt message.
5.1.3 Receipt
All messages from the ship to the SW that can be processed by the SW will receive a receipt message from
the SW. The receipt message will signify one of two cases:
1. The information and syntax of the message sent from the ship is free of syntax errors and sufficiently
complete to be forwarded to some or all authorities involved. The receipt message will list those
authorities to which the request message had been forwarded. Upon receipt of the forwarded message,
the authorities will begin processing the information and for the purpose of issuing a request approval or
denial through an acknowledgement message. Port clearance approval or denial will be sent to the ship
when processing is complete. The receipt message will also specify which, if any, authorities do not have
enough information to process their approval or denial decision.

2. The message from the ship contained syntax errors, was incomplete, or contained information that cannot
be processed by the SW. The message will not be forwarded to the authorities and will not cause any
further processing. Incomplete request messages to a SW that do not allow for updates will be ignored.
The message needs to be corrected and resent. Examples of information that cannot be processed
include excessively long copy-to lists, illegal number of message bodies, illegal message codes or similar.
Messages that cannot be processed by the SW will be silently ignored and will not receive a receipt.
5.1.4 Cancellation
A cancellation message can be sent to the SW to cancel a previously submitted request. A cancellation
message that received a receipt will cease any further processing of the request and all previously received
acknowledgement messages, if any, will be voided.
NOTE A successful cancellation only applies to the SW process and there may still be consequences related to, e.g.
port fees.
5.1.5 Acknowledgement
An acknowledgement message is sent to the ship when one or more authorities have processed a request
and made a decision. An example transaction pattern is shown in Figure 5.
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ISO/PAS 28005-1:2012(E)
SW Auth. 1 Auth. 2
Ship
Clearance Request 0
Receipt
Acknowledgement 0
Acknowledgement 0

Figure 5 — Normal approval/denial sequence
If the SW allows multiple updates to a request and these updates result in retransmission of certain
approval/denial (acknowledgement) messages, the ship must keep track of acknowledgement messages so
that an accurate at-the-moment status can be maintained. The SW is not required to forward
acknowledgement messages for requests that have already been updated or cancelled.
This Publicly Available Specification allows for the SW to buffer and merge acknowledgements from two or
more authorities and send only one acknowledgement message to the ship. In this case, the initial receipt
shall specifiy one authority (the SW its
...