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ICMS-ST complement and restitution process and declaration for RS, SC and SP states


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Introduction

The Brazilian states RS, SP and SC have defined and implemented a new process to calculate and report compensation and restitution of ICMS-ST tax amounts in internal operations to final consumers when goods are acquired under the Tax substitution regime (ICMS-ST). This process is applicable for retailers and non-retailers companies

As a general rule,  the taxpayer should determine on monthly base the difference between the ICMS-ST amount calculated in incoming fiscal documents and the ICMS-ST amount calculated in outgoing fiscal documents to the final consumer. Other exceptions and specific rules may applies depending on the state definition

This difference is named: ICMS-ST adjustment, because this correction could be positive (+) or negative (-) and it must be reported in SPED Fiscal or other related tax statements.
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High level example

Purchase - Incoming fiscal document BC ICMS ST = 80,00

                ICMS-ST calculated => 80,00 * 18% = R$ 14,00

Sales - Outgoing fiscal document Base amount = 90,00

                ICMS-ST effective = 90,00 * 18% = R$ 16,20 

 ICMS ST amount to complement = R$ 16,20 (ICMS ST effective) - R$ 14,00 (ICMS ST from purchase) = R$ 2,20 (> 0.00)

Or

Purchase - Incoming fiscal document BC ST = 80,00

                ICMS-ST calculated  => 80,00 * 18% = R$ 14,00

 Sales - Outgoing fiscal document Base amount = 70,00

                ICMS-ST effective =  70,00 * 18% = R$ 12,60 

ICMS ST amount for restitution = R$ 12,60 (ICMS ST effective) - R$ 14,00 (ICMS ST from purchase) = R$ -1,40 (< 0.00)


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Overview

Sao Paulo state implementation

New tax statement named CAT 1219 was introduced by SP state where the companies must submit ICMS-ST tax declaration on a monthly base for tax complement and restitution of ICMS-ST amounts.

The statement file is generated based on version 1.1.0 of guidance layout document.

Scope

The CAT 1218 statement includes the generation of following records:

Record 0000 – Statement opening and Taxpayer Identification and Participant Identification

Number

Field 

Description 

01 

REG 

Fixed text containing "0000" 

02 

PERIODO 

Reporting period

03 

NOME 

Entity business name 

04 

CNPJ 

Registration number of the entity in the CNPJ 

05 

IE 

State Registration of the entity 

06 

COD_NUM 

IBGE code

07 

COD_VER 

Version code of the layout. Filled in manually at the reports run.

08 

COD_FIN 

Code of the purpose of the file, filled in manually at the report run:

Code 

Description 

00 

Regular file Delivery

01 

File delivery required by specific intimation 

02 

File delivery for replacement of previously uploaded file  

Record 0150 - PARTICIPANT TABLE 

Only participants with transactions in period; one record per participant

Number 

Field 

Description 

01 

REG 

Fixed text containing "0150" 

02 

COD_PART 

Identification code of the participant

03 

NOME 

Personal or business name of the participant. 

04 

COD_PAIS 

Country code of the participant

05 

CNPJ 

Participant CNPJ 

06 

CPF 

Participant CPF 

07 

IE 

Participant  State Registration  

08 

COD_MUN 

IBGE  code

Record 0200 - ITEM IDENTIFICATION TABLE 

Only items with operations in record 1100. One line per item.

 Number 

Field 

Description 

01 

REG 

Fixed text containing "0200" 

02 

COD_ITEM 

Item Code 

03 

DESCR_ITEM 

Description item 

04 

COD_BARRA 

Product bar code

05 

UNID_INV 

Inventory Unit of measurement

06 

COD_NCM 

Fiscal classification code 

07 

ALIQ_ICMS 

ICMS rate applicable to the item in internal operations 

08 

CEST 

Tax Substitution Specifier Code 

Record 1050 – BALANCE RECORD 

 Total amount (initial inventory position and final inventory position) of records 1100

One line for each item of the file.

Information is fetched from the Presumed taxed balances.

Number 

Field 

Description 

01 

REG 

Fixed text containing "1050" 

02 

COD_ITEM 

Item code according Record 0200 

03 

QTD_INI 

Initial item quantity at the beginning of the period 

04 

ICMS_TOT_INI 

Accumulated initial value of the total of the ICMS supported by the taxpayer, calculated for the item at the beginning of the period 

05 

QTD_FIM 

Final item quantity at the end the period 

06 

ICSM_TOT_FIM 

Accumulated final value of the total of the ICMS supported by the taxpayer, calculated for the item at the end of the period 

Record 1100 – BALANCE DELAILS RECORD 

Details of electronic Fiscal documents.

Information is fetched from the Outgoing and Incoming tabs of the Presumed taxes form

Number 

Field 

Description 

01 

REG 

Fixed text containing "1100" 

02 

CHV_DOC 

Electronic Fiscal Document ACCESSKEY

03 

DATA 

Fiscal document date 

04 

NUM_ITEM 

Sequential number of item in the  Electronic Fiscal Document 

05 

IND_OPER 

Indicator of operation type: 

0- Input; 

1- Output 

06 

COD_ITEM 

Item code according Record 0200 

07 

CFOP 

Fiscal Code of Operation and Provision 

08 

QTD. 

Item Quantity - no negative values for returns; always positive

09 

ICMS_TOT 

Total value of ICMS supported by taxpayer in incoming fiscal documents

10 

VL_CONFR 

ICMS and ICMS ST value for outgoing fiscal documents

11 

COD_LEGAL 

Code of Legal Framework of the hypothesis of Refund or Complement of ICMS ST 

Described below in the table. 

Code

Hypothesis of Restitution or Complement of ICMS ST 

Observation

Operation where the Restitution or Complement of ICMS ST is applicable in the hypothesis of Item I of Article 269 of the RICMS 

Outgoing Fiscal Document to final consumer - ICMS ST [60]

Operation where the Restitution of ICMS ST is applicable in the hypothesis of Item II of Article 269 of the RICMS 

Outgoing Fiscal Document for inventory decrease CFOP 5.927/others - ICMS CST [90] (Generating fact did not occur)

Operation where the Restitution of ICMS ST is applicable in the hypothesis of Item III of Article 269 of the RICMS 

Outgoing Fiscal Document  - ICMS CST [30] (Exempt or not taxed)

Operation whre the Restitution of ICMS ST is applicable in the hypothesis of Item IV of Article 269 of the RICMS 

Outgoing Fiscal Document to other state - ICMS ST [60] (Interstate)

0

Operation where the Restitution or Complement of ICMS ST is not applicable

Other Outgoing Fiscal Documents  ICMST <> [60] (not classifying for codes 1 to 4)

Rio Grande do Sul (RS) state implementation

Through Decree 54308/2018 of RS this state establishes the procedure to calculate and report the complement or restitution of ICMS-ST tax amount for those contributors (retailers and non-retailers) who perform activities with goods subject to the tax substitution regime (ICMS-ST)

The state has defined two process, one for retail companies and another on for non-retail companies.

Scope

The ICMS-ST amount calculated for complement and restitution are reported in SPED Fiscal ICMS-ST under the record 1900 and related adjustment records 1921, 1923 and other ones since the state consider this process as an sub assessment of ICMS-ST

Non-Retail companies

Records

Level

Description

 Comment

Parameters from RS state

1001

1

 Opening Block 1

 

 When enable Block 1900

1900

2

Indicator of ICMS-ST sub tax assessment

 

 Sub tax assessment indicator and description

1910

3

Booking period

 

 

1920

4

TOTALS amounts

 Summarization from records 1921

 

1921

5

RS001920

The Adjustment transaction that summarizes all ICMS effective amount from:

  • Outgoing fiscal document for final consumer ( CFOP 5*) and
  • CST = 60 and

Tax type = ICMS and or ICMS-ST

Adjustment code of Debit for outgoing fiscal documents

1923

6

1:N records

Details of outgoing fiscal documents by item or consolidated by fiscal document

Consolidate record 1923

1921

5

RS021922

The  Adjustment transaction that summarizes the ICMS-ST amount OR ICMS presumed amount (when ICMS-ST does not exit)  from Incoming fiscal documents with ICMS-ST = 60 and related to the above outgoing fiscal document

Note: Incoming fiscal documents of items reported in record 1921-RS001920 only.

Adjustment code of Credit for outgoing fiscal documents

1923

6

1:N records

Details of incoming fiscal documents by item or consolidated by fiscal document

Consolidate record 1923

1921

4

RS041921 or RS011921

The adjustment transaction of complement or restitution

Adjustment code Complement reverse or Restitution reverse

E220

RS101921

The adjustment transaction created to report in E220

Adjustment code of  Complement E220

E111

RS011021

The adjustment transaction created to report in E111

Adjustment code of  Restitution E111

Retail companies

Records

Level

Description

Comments

Parameters from RS state

1001

1

 Opening Block 1

 

 When enable Block 1900

1900

2

Indicator of ICMS-ST sub tax assessment

 

 Sub tax assessment indicator and description

1910

3

Booking period

 

 

1920

4

TOTALS amounts

 Summarization from records 1921

 

1921

5

RS021921

CREDIT: Adjustment transaction that summarizes the ICMS-ST amount or ICMS amount presumed tax (when doesn't exist ICMS-ST)  from all incoming fiscal documents received in the period (include those that are not used in outgoing and taxation code = 60 (CST)

Received and Approved in the booking period

Adjustment code of credit for incoming fiscal documents

1923

6

1:N records

Details of incoming fiscal documents by item or consolidated by fiscal document

Consolidate record 1923

1921

5

RS021920

Credit from Inventory .The adjustment transaction  to register the inventory credit . This amount is calculated Presumed tax balance form under ICMS-ST tax assessment in relation of inventory opening balance.

Since this adjustment must be reported 3 installments, the field DESCR_COMPL_AJ in record 1921, includes the following text:

"Valor adjudicado nos termos do RICMS, Livro III, art. 25-A, I, nota 05, 1/3"

 

Adjustment code of credit of inventory

1921

5

RS011920

Credit reversal. The adjustment transaction that summarizes the ICMS tax from outgoing fiscal document to non final consumer and taxation code =  60 and/or to final consumer with ICMS = exempt or non taxable taxation code <> 60

 Adjustment code of credit reversal

1921

5

RS001920

Debit: The adjustment transaction that summarizes the outgoing fiscal documents of ICMS effective (CFOP 5*) to final consumer, taxation code  = 60

 

Adjustment code for debit from outgoing fiscal documents

1923

6

1:N records

Details of outgoing fiscal documents by item or consolidated by fiscal document

Consolidate record 1923

1921

5

RS041921

The adjustment transaction of complement or restitution

Adjustment code Complement reverse or Restitution reverse

1926

5

Payment ICMS-ST

Equal to E250. This record is generated  when there is amount to collect and payment exist in ICMS-ST tax assessment (compensation)

 

 

E220

RS101921

The adjustment transaction created to report in E220

Adjustment code of Complement E220

E111

RS011021

The adjustment transaction created to report in E111

Adjustment code of Restitution E111


Santa Catarina (SC) state implementation

Through THE SEF Portaria No. 396/2018 this state establishes the procedure to calculate and report the complement or restitution of ICMS-ST tax amount for those contributors (retailers and non-retailers) who perform activities with goods subject to the tax substitution regime (ICMS-ST)

Scope

Block 

Description 

Opening, Identification and References

Inventory position

Other information

Structure:

image.png

 

Control and Closing file

The following records are out of scope: 2112 (outgoing fiscal documents generated by ECF) and 2131





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More Information

Setup

Navigate to Fiscal books > Setup > Fiscal books parameters per state, then select the appropriated state (SP. SC or RS)

Presumed tax

Presumed tax calculation algorithm: Select the appropriated method to calculate the presumed ICMS-ST tax when outgoing fiscal documents to final and non-final consumer are generated and posted in Dynamics AX.  This parameter is used to fulfill the related tags when NFe fiscal document model

  • Last purchase: Use information from latest incoming fiscal documents posted in the period

     

    SPED Presumed tax calculation algorithm: Select the appropriated method to calculate the presumed ICMS-ST from ICMS-ST tax assessment created in Fiscal Books module.
  • Average: Calculate the average amount from incoming fiscal documents. This method must be selected for SP or SC state
  • Last purchase: Use information from latest incoming fiscal documents posted in the period. This method must be selected for RS state

image.png

ICMS-ST sub tax assessment in RS state

In case of RS state since the amounts and details about the calculation of ICMS-ST compensations and restitution are reported in SPED fiscal under the records 1900 and related. Additional setup configuration is necessary to automatically create the adjustments transactions established by the Decree 54308/2018.


image.png

  • Block 1900: Enables the generation of records of ICMS-ST sub tax assessment detailed in the scope session
  • Sub tax assessment indicator:  Select the available type of indicators to identify the sub tax assessment
  • Sub tax assessment description: Introduce a complementary description of sub tax assessment reported in record 1900 in field (03) DESCR_COMPL_OUT_APUR
  • Journal name: Select the journal used to create and post the compensation and restitution tax assessment.
  • Credit from incoming fiscal documents: Select the related adjustment code the legislation establishes for this type of adjustment.
  • Debit from outgoing fiscal documents: Select the related adjustment code the legislation establishes for this type of adjustment
  • Retail company: Enable this checkbox if the main business activity on this state is Retail. Otherwise disable the checkbox.
  • Credit reversal: Select the related adjustment code the legislation establishes for this type of adjustment
  • Credit of inventory: Select the related adjustment code the legislation establishes for this type of adjustment
  • Complement (reverse): Select the related adjustment code the legislation establishes for this type of adjustment
  • Restitution (reverse): Select the related adjustment code the legislation establishes for this type of adjustment
  • Complement (E210-E220): Select the related adjustment code the legislation establishes for this type of adjustment. When this adjustment being created the ICMS-ST tax assessment will be updated as well
  • Restitution (E111): Select the related adjustment code the legislation establishes for this type of adjustment. When this adjustment being created the ICMS tax assessment will be updated as well, since credit are only allowed in ICMS tax assessment.
  • Consolidate record 1923. Enable this checkbox if you want to consolidate or report on record 1923 per fiscal document (no items detailed).  The field 08 COD_ITEM will be leaved in blank.

Repro steps


ICMS-ST tax assessment

Before to proceed with the generation of statement for each state, you need to create a fiscal booking period for the month , the ICMS-ST tax assessment for the related state and then calculate balances if applicable in the state.

Open Fiscal books >Common >Tax assessment >ICMS-ST and click Presumed taxes balance.
image.png

The form includes fields that are needed for the reporting purposes: Item code, product description, inventory unit measure, quantities, ICMS and ICMS ST taxes and base amounts per inventory unit and their totals.

In the Presumed taxes balance form, click Calculate inventory balances. System will calculate the initial Opening balance and the Closing balance and show the figures per Item number.

image.png

Opening balance calculation function works as following:

  1. Validates whether the presumed taxes balance for previous period exist. If no such balances observed, then starts the calculation; otherwise the procedure considers the figures from the previous period.
  2. Selects all items in on-hand inventory which have any transactions before the period.
  3. Calculates quantity for every selected item on the first day of the period.
  4. Finds last purchase for every item with the ICMS-ST tax transaction.
  5. Using the tax amounts from the last purchase and converting the purchase unit to the inventory one, calculates ICMS and ICMS-ST amount for the on-hand inventory quantity.

Closing balance calculation. Only applicable for SP state

  1. Deletes old presumed taxes balances for the period except the records which are used for the next period (these amounts will be updated; all other amounts will be recalculated).
  2. Selects all items in on-hand inventory which have any transactions in the period.
  3. For every item search for the presumed taxes balance in the previous periods to get quantity for the opening balance, otherwise it would be zero.
  4. Selects all incoming fiscal documents in the period, summarizes ICMS/ICMS-ST tax amounts and summarizes items quantities.
  5. Calculates average amount per unit by summarizing the totals of ICMS/ICMS-ST amounts of all incoming documents and dividing them by the summarized quantity in these documents.
  6. Selects all outgoing fiscal documents and summarizes their quantities. Calculates ICMS/ICMS-ST tax amounts using the average amount which was calculated in step 5.
  7. Calculates closing balance amounts and quantities using the values from the previous periods and the sums of incoming and outgoing documents from current period. These sums were calculated in step 4 and 6, respectively.

Presumed tax calculation

Once the Balances are calculated (for the first time), open the Presumed taxes form and click Calculate presumed tax.

image.png

The form includes fields that are needed for the reporting purposes and each tab includes the related fiscal documents that are applicable for compensation and restitution in accordance with the criteria’s established by state law.

  • Outgoing tab: Fiscal document number, item code, inventory unit measure, quantities, ICMS and ICMS ST tax rates, ICMS and ICMS ST tax and base amounts and calculated presumed taxes.
  • Incoming tab: Fiscal document number and date, item code, inventory unit measure, quantities, and ICMS and ICMS ST tax and base amounts.
  • Credit reversal. Only applicable for RS state. Outgoing Fiscal documents to non-final consumer and taxation code = 60 and/or to final consumer with ICMS = exempt or non-taxable taxation code <> 60

Presumed tax calculation - Average algorithm works a following:

  1. Selects all lines of all outgoing fiscal documents in the current period.
  2. For every item from these lines selects all lines of all incoming fiscal documents with the same item code in the current period. And then calculates average ICMS/ICMS-ST tax amount.
  3. In case of no incoming document in the period, then the corresponding record in the presumed taxes balances is taken into consideration.

Note for SP. For Sales complementary fiscal documents and Purchase order returns the average values are not calculated, the values from the original fiscal documents are considered only.

Generate adjustments

Use this button for RS state to generate the related tax adjustment to be reported in SPED Fiscal.

Depending on type of company business (Retail or Non retail), Dynamics AX will generate the related adjustments:

  1. Debit for outgoing fiscal documents
  2. Credit for incoming fiscal documents
  3. Credit from Inventory position (opening balance). This tax adjustment will be created once and split in 3 installments.
  4. Credit Reversal.
  5. Compensation and restitution (reversal)
  6. Compensation in record E220
  7. Restitution in record E111

Note: Once you pressed Generate Adjustment button, there is no way to go back to the initial state. You must reverse manually the adjustment transaction created during the execution of this option to report record E220 or E111.  The other adjustments related to debit, credit, credit for inventory and credit reversal are only created for SPED fiscal purposes. You will not able to see these transactions since are saved in a temporary table.

Statement generation

SP state

Navigate to Fiscal books>Common>Booking period and on the Tax statements tab click CAT 4218 SP. This statement is also available in ICMS-ST tax assessment for SP state.

  • File name – enter the path where the file should be saved and the name of the text file.
  • Layout version – select the version.
  • File type – select one of the available options for the type of the file:
    • Regular
    • Specific intimation
    • Substitute

The generated text file should be validated first by using tax authority application and once the file was successfully approved you will be able to send tax authorities.

RS state

Navigate to Fiscal books>Common>Booking period and on the Tax statements tab click SPED fiscal. This statement is also available in ICMS-ST tax assessment for RS state.

Introduce the regular parameters that are usually introduced to generate the statement SPED Fiscal. In order to generate the records 1900 and related you must reproduce the following steps:

  1. Create and Sync the related booking period
  2. Sync Inventory if applicable the criteria to take the credit from opening balance of inventory.
  3. Create or Update the ICMS-ST tax assessment for RS state
  4. Calculate Presumed tax balances (if applicable)
  5. Calculate Presumed tax
  6. Generate adjustments. Click on Generate Adjustment button under Presumed tax form
  7. Complete the remainder activities or steps related to ICMS-ST tax assessment
  8. Then generate SPED Fiscal statement as usual.

SC state

Navigate to Fiscal books>Common>Booking period and on the Tax statements tab click SPED DRCST. This statement is also available in ICMS-ST tax assessment for SC state

  • File name – enter the path where the file should be saved and the name of the text file.
  • File type – select one of the available options for the type of the file:
    • Regular
    • Substitute

This file is submitted by using webservices and require certificate. Once the return message is received with the result of government validation, the response is saved in the same location where the file was generated.







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Hotfix information

How to obtain the Microsoft Dynamics AX updates files

This update is available for manual download and installation from the Microsoft Download Center.

SPED Fiscal ICMS IPI - Decree 54.308/18 – RS in  Microsoft Dynamics AX2012 R3

Download update for Microsoft Dynamics AX 2012 R3

 

ICMS-ST complement and Reimbursement  declaration for SP state - CAT 42/18 in  Microsoft Dynamics AX2012 R3:

Download update for Microsoft Dynamics AX 2012 R3


ICMS-ST complement and Reimbursement  declaration for SC state - DRCST declaration in  Microsoft Dynamics AX2012 R3:

The following additional hotfixes are required for DRCST declaration:


Prerequisites

You must have one of the following products installed to apply this hotfix:

  • Microsoft Dynamics AX 2012 R3

    Restart requirement

    You must restart the Application Object Server (AOS) service after you apply the hotfix.

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Keywords: kbHotfixAuto, CI104274

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Article Info
Article ID : 4513038
Revision : 4
Created on : 7/26/2019
Published on : 7/26/2019
Exists online : False
Views : 283