CEN TR 16931-5-2017 Electronic invoicing - Part 5 Guidelines on the use of sector or country extensions in conjunction with EN 16931-1 methodology to be applied in the real environ.pdf

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1、Electronic invoicingPart 5: Guidelines on the use of sector or country extensions in conjunction with EN 16931-1, methodology to be applied in the real environmentPD CEN/TR 16931-5:2017BSI Standards PublicationWB11885_BSI_StandardCovs_2013_AW.indd 1 15/05/2013 15:06TECHNICAL REPORT RAPPORT TECHNIQUE

2、 TECHNISCHER BERICHT CEN/TR 16931-5 July 2017 ICS 35.240.20; 35.240.63 English Version Electronic invoicing - Part 5: Guidelines on the use of sector or country extensions in conjunction with EN 16931-1, methodology to be applied in the real environment Facturation lectronique - Partie 5: Lignes dir

3、ectrices pour lutilisation des extensions de secteur ou de pays conjointement avec la Norme europenne, avec une mthodologie appliquer dans lenvironnement rel Elektronische Rechnungsstellung - Teil 5: Leitfaden ber die Verwendung von branchen- oder lnderspezifischen Erweiterungen der EN 16931-1 einsc

4、hlielich einer im realen Umfeld einzusetzenden Methodik This Technical Report was approved by CEN on 14 May 2017. It has been drawn up by the Technical Committee CEN/TC 434. CEN members are the national standards bodies of Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia

5、, Finland, Former Yugoslav Republic of Macedonia, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania, Serbia, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and United Kingdom. EUROPEAN COMMITTEE FOR

6、 STANDARDIZATION COMIT EUROPEN DE NORMALISATION EUROPISCHES KOMITEE FR NORMUNG CEN-CENELEC Management Centre: Avenue Marnix 17, B-1000 Brussels 2017 CEN All rights of exploitation in any form and by any means reserved worldwide for CEN national Members. Ref. No. CEN/TR 16931-5:2017 ENational forewor

7、dThis Published Document is the UK implementation of CEN/TR 16931-5:2017.The UK participation in its preparation was entrusted to Technical Committee IST/34/-/1.A list of organizations represented on this committee can be obtained on request to its secretary.This publication does not purport to incl

8、ude all the necessary provisions of a contract. Users are responsible for its correct application. The British Standards Institution 2017 Published by BSI Standards Limited 2017ISBN 978 0 580 97023 8ICS 35.240.63; 35.240.20Compliance with a British Standard cannot confer immunity from legal obligati

9、ons.This Published Document was published under the authority of the Standards Policy and Strategy Committee on 30 September 2017.Amendments/corrigenda issued since publicationDate Text affectedPUBLISHED DOCUMENTPD CEN/TR 169315:2017TECHNICAL REPORT RAPPORT TECHNIQUE TECHNISCHER BERICHT CEN/TR 16931

10、-5 July 2017 ICS 35.240.20; 35.240.63 English Version Electronic invoicing - Part 5: Guidelines on the use of sector or country extensions in conjunction with EN 16931-1, methodology to be applied in the real environment Facturation lectronique - Partie 5: Lignes directrices pour lutilisation des ex

11、tensions de secteur ou de pays conjointement avec la Norme europenne, avec une mthodologie appliquer dans lenvironnement rel Elektronische Rechnungsstellung - Teil 5: Leitfaden ber die Verwendung von branchen- oder lnderspezifischen Erweiterungen der EN 16931-1 einschlielich einer im realen Umfeld e

12、inzusetzenden Methodik This Technical Report was approved by CEN on 14 May 2017. It has been drawn up by the Technical Committee CEN/TC 434. CEN members are the national standards bodies of Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, Former Yugoslav Republ

13、ic of Macedonia, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania, Serbia, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and United Kingdom. EUROPEAN COMMITTEE FOR STANDARDIZATION COMIT EUROPEN DE

14、 NORMALISATION EUROPISCHES KOMITEE FR NORMUNG CEN-CENELEC Management Centre: Avenue Marnix 17, B-1000 Brussels 2017 CEN All rights of exploitation in any form and by any means reserved worldwide for CEN national Members. Ref. No. CEN/TR 16931-5:2017 EPD CEN/TR 169315:2017CEN/TR 16931-5:2017 (E) 2 Co

15、ntents Page European foreword . 3 Introduction 4 1 Scope 6 2 Normative references 6 3 Terms and definitions . 6 4 The challenge of interoperability 7 4.1 Interoperability through standardization . 7 4.2 The challenge 7 4.3 The purpose of extension specifications 8 4.4 Who will develop extension spec

16、ifications and why? 8 5 Conformance . 9 5.1 Conforming objects . 9 5.2 Conformance of the extension specifications . 9 5.3 Conformance of sending or receiving party 9 5.4 Conformance of an invoice instance document. 10 6 Extension specification rules . 10 6.1 Introduction to extension specification

17、rules 10 6.2 What may be specified in an extension specification . 10 6.3 Documentation of extension specifications . 12 6.4 Publication of specifications 12 6.5 Mapping to syntax 12 6.6 Relation between extension specifications 12 6.7 Governance of extension specifications . 12 6.8 Identification o

18、f extension specification . 13 6.9 Validation 13 7 The methodology 14 7.1 How do parties agree on using an extension 14 7.2 Process for defining extensions 14 7.3 Statement of objectives 16 7.4 Gathering of business requirements . 16 7.5 Mapping against norm 16 7.6 Re-evaluate requirements and/or re

19、-evaluate processes 16 7.7 List requirements . 17 7.8 Define required changes 17 7.9 Create specification . 17 7.10 Evaluate type of changes . 17 7.11 Publish extension specification 18 7.12 Bind to syntax 18 Bibliography . 19 PD CEN/TR 169315:2017CEN/TR 16931-5:2017 (E) 3 European foreword This doc

20、ument (CEN/TR 16931-5:2017) has been prepared by Technical Committee CEN/TC 434 “Electronic invoicing”, the secretariat of which is held by NEN. Attention is drawn to the possibility that some of the elements of this document may be the subject of patent rights. CEN shall not be held responsible for

21、 identifying any or all such patent rights. This document has been prepared under a mandate given to CEN by the European Commission and the European Free Trade Association. This document is part of a set of documents, consisting of: EN 16931-1:2017, Electronic invoicing Part 1: Semantic data model o

22、f the core elements of an electronic invoice; CEN/TS 16931-2:2017, Electronic invoicing Part 2: List of syntaxes that comply with EN 16931-1; CEN/TS 16931-3-1:2017, Electronic invoicing Part 3-1: Methodology for syntax bindings of the core elements of an electronic invoice; CEN/TS 16931-3-2:2017, El

23、ectronic invoicing Part 3-2: Syntax binding for ISO/IEC 19845 (UBL 2.1) invoice and credit note; CEN/TS 16931-3-3:2017, Electronic invoicing Part 3-3: Syntax binding for UN/CEFACT XML Industry Invoice D16B; CEN/TS 16931-3-4:2017, Electronic invoicing Part 3-4: Syntax binding for UN/EDIFACT INVOIC D1

24、6B; CEN/TR 16931-4:2017, Electronic invoicing Part 4: Guidelines on interoperability of electronic invoices at the transmission level; CEN/TR 16931-5:2017, Electronic invoicing Part 5: Guidelines on the use of sector or country extensions in conjunction with EN 16931-1, methodology to be applied in

25、the real environment; FprCEN/TR 16931-6:2017, Electronic invoicing Part 6: Result of the test of EN 16931-1 with respect to its practical application for an end user. PD CEN/TR 169315:2017CEN/TR 16931-5:2017 (E) 4 Introduction The European Commission states that “The mass adoption of e-invoicing wit

26、hin the EU would lead to significant economic benefits and it is estimated that moving from paper to e-invoices will generate savings of around EUR 240 billion over a six-year period” 1. Based on this recognition “The Commission wants to see e-invoicing become the predominant method of invoicing by

27、2020 in Europe 1.” As a means to achieve this goal, Directive 2014/55/EU 2 on electronic invoicing in public procurement aims at facilitating the use of electronic invoices by economic operators when supplying goods, works and services to public administrations (B2G), as well as the support for trad

28、ing between economic operators themselves (B2B). In particular, it sets out the legal framework for the establishment and adoption of a European Standard (EN) for the semantic data model of the core elements of an electronic invoice (EN 16931-1). In line with Directive 2014/55/EU 2, and after public

29、ation of the reference to EN 16931-1 in the Official Journal of the European Union, all contracting public authorities and contracting entities in the EU will be obliged to receive and process an e-invoice as long as: it is in conformance with the semantic content as described in EN 16931-1; it is r

30、epresented in any of the syntaxes identified in CEN/TS 16931-2, in accordance with the request referred to in Paragraph 1 of Article 3 of Directive 2014/55/EU; it is in conformance with the appropriate mapping defined in the applicable subpart of CEN/TS 16931-3 (all parts). The semantic data model o

31、f the core elements of an electronic invoice the core invoice model as described in EN 16931-1 is based on the proposition that a limited, but sufficient, set of information elements can be defined that supports generally applicable invoice-related functionalities. It is expected that in most situat

32、ions, business partners would use the core invoice model exclusively and the invoices they send or receive would not need to contain any additional structured information elements. However, in some sectors or situations where there are specific additional information requirements, the required infor

33、mation may be conveyed in the form of unstructured text. Unstructured text has the drawback that it cannot be processed automatically and therefore requires human intervention. Alternatively, the specific information requirements can be implemented using information elements that extend the core inv

34、oice model. In these circumstances, it should be possible to define a number of required additional information elements whilst still utilizing the concepts of the core invoice model. In other situations, additional guidance or restrictions on the use of the information elements already defined in t

35、he core invoice model may be required and documented in a core invoice usage specification as outlined in EN 16931-1. In order to comply with the provisions of Directive 2014/55/EU 2, guidelines on the optional use of extensions to the core invoice model, including a methodology to be applied in the

36、 real environment, are needed. This technical report provides this methodology and complies at least with the following criteria: it is technologically neutral; it is compatible with relevant international standards on electronic invoicing; PD CEN/TR 169315:2017CEN/TR 16931-5:2017 (E) 5 it has regar

37、d to the need for personal data protection in accordance with Directive 95/46/EC 3, to a data protection by design approach and to the principles of proportionality, data minimization and purpose limitation; it is consistent with the relevant provisions of Directive 2006/112/EC 4; it allows for the

38、establishment of practical, user-friendly, flexible and cost-efficient electronic invoicing; it takes into account the special needs of small and medium-sized enterprises as well as of sub-central contracting authorities and contracting entities; it is suitable for use in commercial transactions bet

39、ween enterprises. The methodology and rules described in this document are based on the following key design principles: Extension specifications are used to provide user communities with the ability to add information elements or functions to the core invoice model in order to support their specifi

40、c business requirements. An extension specification is not intended to be used to specify legally required information elements and expected to be mandatory by law. However the further specification of specific legal requirements may be stated in an extension specification in bilateral agreements. I

41、nformation provided in supplementary documents (attachments) to an invoice are not considered to be extensions, as these are an integral part of the core invoice model. Extension specifications should not be used to remove information elements from the core invoice model, only to add information ele

42、ments. An extension is defined in an extension specification. Extension specifications should be made publicly available in an appropriate repository in order to foster awareness and reuse, as this is expected to foster convergence over time (see 6.7). Reuse the syntax binding methodology applied to

43、 EN 16931-1. The actual implementation and use of an extension specification is subject to agreement between the trading partners. PD CEN/TR 169315:2017CEN/TR 16931-5:2017 (E) 6 1 Scope This Technical Report describes how trading partners may extend the core invoice model and the related business ru

44、les and code lists, in order to support business cases that are specific to their trading environment, while at the same time maintaining semantic interoperability with the core invoice model. This Technical Report does not define a methodology for creation of core invoice usage specification, nor d

45、oes it describe the detailed process of syntax binding. 2 Normative references The following documents, in whole or in part, are normatively referenced in this document and are indispensable for its application. For dated references, only the edition cited applies. For undated references, the latest

46、 edition of the referenced document (including any amendments) applies. EN 16931-1:2017, Electronic Invoicing Part 1: Semantic Data Model of the Core Elements of an Electronic Invoice CEN/TS 16931-3-1, Electronic invoicing Part 3-1: Methodology for syntax bindings of the core elements of an electron

47、ic invoice CEN/TS 16931-3-2, Electronic invoicing Part 3-2: Syntax binding for ISO/IEC 19845 (UBL 2.1) invoice and credit note CEN/TS 16931-3-3, Electronic invoicing Part 3-3: Syntax binding for UN/CEFACT XML Industry Invoice D16B CEN/TS 16931-3-4, Electronic invoicing Part 3-4: Syntax binding for U

48、N/EDIFACT INVOIC D16B 3 Terms and definitions For the purposes of this document the terms and definitions given in EN 16931-1:2017 and the following, apply. 3.1 core invoice usage specification specification that provides additional explanations and examples, as well as (business) rules related to t

49、he actual implementation and use of the core invoice model in a specific trading situation 3.2 invoice instance document individual electronic invoice 3.3 core invoice instance document instance of an electronic invoice that is compliant to a core invoice usage specification 3.4 extended invoice instance document electronic invoice instance document that is compliant to an extension specification Note 1 to entry: An extended invoice instance document