1、Electronic invoicingPart 4: Guidelines on interoperability of electronic invoices at the transmission levelPD CEN/TR 169314:2017BSI Standards PublicationWB11885_BSI_StandardCovs_2013_AW.indd 1 15/05/2013 15:06TECHNICALREPORT RAPPORT TECHNIQUETECHNISCHER BERICHTCEN/TR 16931-4 July 2017ICS 35.240.63;
2、35.240.20EnglishVersionElectronic invoicing - Part 4: Guidelines on interoperability of electronic invoices at the transmission levelFacturation lectronique -Partie 4: Lignesdirectricesrelatives linteroprabilit des factures lectroniquesau niveau de la transmissionElektronische Rechnungsstellung - Te
3、il4: Leitfadenber die Interoperabilitt elektronischer Rechnungen auf der bertragungsebeneThis Technical Report wasapproved by CENon 14 May 2017. It has been drawn up by the Technical Committee CEN/TC 434.CEN members are the nationalstandards bodies of Austria, Belgium, Bulgaria, Croatia, Cyprus, Cze
4、ch Republic, Denmark, Estonia, 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 Ki
5、ngdom.EUROPEAN COMMITTEE FOR STANDARDIZATIONCOMIT EUROPEN DE NORMALISATIONEUROPISCHES KOMITEE FR NORMUNGCEN-CENELEC Management Centre: Avenue Marnix 17, B-1000 Brussels 2017 CEN All rights of exploitation in any form and by any means reservedworldwide for CENnational Members.Ref. No. CEN/TR 16931-4:
6、2017 ENational forewordThis Published Document is the UK implementation of CEN/TR 169314:2017.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
7、not purport to include 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 97022 1ICS 35.240.63; 35.240.20Compliance with a British Standard cannot confer immunity
8、from legal obligations.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 169314:2017TECHNICAL REPORT RAPPORT TECHNIQUE TECHNISCHER B
9、ERICHT CEN/TR 16931-4 July 2017 ICS 35.240.63; 35.240.20 English Version Electronic invoicing - Part 4: Guidelines on interoperability of electronic invoices at the transmission level Facturation lectronique - Partie 4: Lignes directrices relatives linteroprabilit des factures lectroniques au niveau
10、 de la transmission Elektronische Rechnungsstellung - Teil 4: Leitfaden ber die Interoperabilitt elektronischer Rechnungen auf der bertragungsebene 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 stand
11、ards bodies of Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, Former Yugoslav Republic of Macedonia, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania, Serbia, Slova
12、kia, Slovenia, Spain, Sweden, Switzerland, Turkey and United Kingdom. EUROPEAN COMMITTEE FOR 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
13、 reserved worldwide for CEN national Members. Ref. No. CEN/TR 16931-4:2017 EPD CEN/TR 169314:2017CEN/TR 16931-4:2017 (E) 2 Contents Page European foreword . 3 Introduction 4 1 Scope 6 2 Normative references 8 3 Terms and definitions . 8 4 The challenge of interoperability at the transmission level .
14、 9 4.1 Definition of Interoperability . 9 4.2 The current market reality for e-Invoicing . 9 5 Guidelines . 11 5.1 Common terminology . 11 5.2 Best practices for transmission and related network services . 11 5.3 Use of common technology standards at the transmission level 12 5.4 Identification, add
15、ressing and routing . 13 5.5 Authenticity and integrity . 14 5.6 Data protection . 15 5.7 Implications of format conversion services at the transmission level . 15 5.8 The role of visual presentations (for legibility) including hybrid invoices 16 5.9 Guidance for the implementation of Operating Mode
16、ls . 17 5.9.1 Introduction . 17 5.9.2 Specific additional Guideline regarding Direct Connection (Bilateral) models 17 5.9.3 Specific additional Guideline regarding three-corner models 18 5.9.4 Specific additional Guideline regarding four-corner models 18 5.10 The need for legally binding agreements
17、at the transmission level 18 Annex A (informative) Legislation summary . 20 Annex B (informative) Abbreviations . 21 Bibliography . 23 PD CEN/TR 169314:2017CEN/TR 16931-4:2017 (E) 3 European foreword This document (CEN/TR 16931-4:2017) has been prepared by Technical Committee CEN/TC 434 “Electronic
18、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 identifying any or all such patent rights. This document has been prepared under a mandate
19、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 of the core elements of an electronic invoice; CEN/TS 16931-2:2017, Electronic invoicing Part
20、 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, Electronic invoicing Part 3-2: Syntax binding for ISO/IEC 19845 (UBL 2.1) invoice and credit n
21、ote; 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 D16B; CEN/TR 16931-4:2017, Electronic invoicing Part 4: Guidelines on interoperability of elec
22、tronic 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 the real environment; FprCEN/TR 16931-6:2017, Electronic invoicing Part 6: Result of the tes
23、t of EN 16931-1 with respect to its practical application for an end user. PD CEN/TR 169314:2017CEN/TR 16931-4:2017 (E) 4 Introduction The European Commission states that “The mass adoption of e-invoicing within the EU would lead to significant economic benefits and it is estimated that moving from
24、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 2020 in Europe”. As a means to achieve this goal, Directive 2014/55/EU 2 on electronic invoi
25、cing 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 trading between economic operators themselves (B2B). In particular, it sets out the legal framewor
26、k 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 publication of the reference to EN 16931-1 in the Official Journal of the European Union, all contra
27、cting 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 represented in any of the syntaxes identified in CEN/TS 16931-2, in accordance with the request
28、 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 Standardization Request issued by the European Commission in connection with Directive 2014/55/EU requested that CE
29、N should also develop Guidelines on interoperability of electronic invoices at the transmission level, taking into account the need of ensuring the authenticity of the origin and the integrity of the electronic invoices content, to be given in a Technical Report (TR) The Guidelines cover interoperab
30、ility at the transmission level for invoices based on the core invoice model and its syntax representations to and from the involved trading and supporting parties. They could also be applied more widely to cover the transmission of electronic invoices rendered in other standards and formats i.e. th
31、ey are invoice content and format neutral. The Guidelines for interoperability at the transmission level (the Guidelines) are intended to guide all stakeholders who make use of e-Invoicing within the European Union (EU) and the European Economic Area (EEA), and Switzerland. They are addressed to tra
32、ding parties, service and software providers in relation to the transmission methods or network solutions they use or support, in order to encourage the adoption and further development of good practices, recommendations and standards for the transmission level. This is intended to promote efficient
33、, cost effective and widely available e-Invoicing practices and services. It is expected that some groups of stakeholders, such as small and medium-sized businesses (SMEs) and smaller contracting authorities, may find these Guidelines inherently technically challenging and inaccessible at a practica
34、l level. This is recognized, and consequently it is important that at a context-specific level e.g. at Member State or Sector level, policy-makers, larger contracting authorities, SME representative and municipal associations, supportive government agencies, professional advisers, and service and so
35、lution providers take responsibility to guide such organizations in relation to these Guidelines. It is by the nature of the Guidelines that the provision of further specific guidance for SMEs and smaller contracting authorities could not be done at a European level, but rather at national and secto
36、r-specific level, It is recommended that the Guidelines set out herein are adopted by market participants, in such a way that separate and competing approaches, solutions and networks find common ground at the PD CEN/TR 169314:2017CEN/TR 16931-4:2017 (E) 5 transmission level, and on the basis of whi
37、ch trading parties are able to reach the maximum number of their counterparties in a convenient manner. The Guidelines leave as many aspects as possible as a matter of choice or in the competitive domain by only focusing on those features of transmission that are essential to establishing interopera
38、bility. It is envisaged that a large number of network and network-based solution instances will subscribe to and adopt the Guidelines. There is a clear separation between the Guidelines and the design and implementation of individual network and transmission solutions, which range from use of the o
39、pen Internet through virtual private Networks and managed services. The Guidelines are neutral as to the individual interoperability models that the market develops and uses to accelerate the mass adoption of e-Invoicing. The following EU stakeholders have been consulted in addition to the Members o
40、f CEN/TC 434 and their supporting National Standards Organizations (NSOs): European Multi Stakeholder Forum on e-Invoicing; European Commission units responsible for EU Large Scale Pilots, in particular e-SENS DIGIT, DG CONNECT, DG GROW, and for the Connecting Europe Facility (CEF) in particular the
41、 Digital Service Infrastructure for e- Delivery; OpenPEPPOL Association; European E-invoicing Service Providers Association (EESPA). PD CEN/TR 169314:2017CEN/TR 16931-4:2017 (E) 6 1 Scope This Technical Report recommends a set of Guidelines to ensure interoperability at the transmission level to be
42、used in conjunction with the European Norm (EN) for the semantic data model of the core elements of an electronic invoice and its other associated deliverables. The Guidelines are by nature non-prescriptive and non-binding. These Guidelines take into account the following aspects: 1) recommending be
43、st practices for use at the transmission level; 2) supporting interoperability between all the parties and systems that need to interact and within the various operating models in common use; 3) ensuring a level playing field for the various operating models and bi-lateral implementations and for th
44、e use of existing and future infrastructures, which support e-Invoicing; 4) promoting a common terminology and non-proprietary standards for transmission and related areas; 5) ensuring the authenticity of origin and integrity of electronic invoice content; 6) providing guidance on data protection, o
45、n the enablement of format conversion, and on e-invoice legibility, including the use of a readable visual presentations, as required; 7) providing guidance for identification, addressing and routing; 8) identifying requirements for robust legal frameworks and governance arrangements; 9) recognizing
46、 the roles of trading parties, solution and service providers and related infrastructure providers. The Objectives of the Guidelines are: 10) to support the implementation of the EU Directive 2014/55/EU on e-Invoicing and the core invoice model; 11) to propose best practices and recommendations for
47、standards to enable electronic exchange of e-Invoices and related data between participants by providing a basis for interoperability at the transmission level, based on common requirements and scenarios; 12) to facilitate Straight Through Processing (STP) by the key actors in the supply chain (Buye
48、rs, Sellers, Tax Authorities, Agents, Banks, Service and Solution Providers, etc.); 13) to provide a set of non-prescriptive and non-binding Guidelines and recommendations that are applicable to all common operating models for e-invoice exchange and transmission whilst also providing recommendations
49、 specific to each of the common operating models. To accomplish these objectives, the Guidelines are based on the following Requirements and Guiding Principles: 14) the need to cover the transmission of e-invoices and related documents from the system of the sending trading party to the system of the receiving trading party, including transmission issues for any intermediary platforms; PD CEN/TR 169314:2017CEN/TR 16931-4:2017 (E) 7 15) the need to allow any seller in any European (EU, EE
