Cross-border Supply Chain BRS is now open for public review ...
1 TBG2-2006-33-1-UNeDocs BRS
Business Requirements Specification
Cross-Border Supply Chain (UNeDocs)
Business Domain: Cross-Border Supply Chain
Business Processes: Cross-Border Trade, Transport,
Finance, Insurance, Border
Clearance (Customs & Other
Governmental Authorities (OGAs))
Document ID: TBG2-2006-33-1-UNeDocs BRS
1Date: March 2007
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4March 2007 Version 1.0 developed from version 3.0 of the UNeDocs Scope
5 Document in collaboration with TBG3 and TBG14.
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61 Table of Contents
81 TABLE OF CONTENTS..........................................................................................3
103 OBJECTIVES & INTRODUCTION......................................................................5
114 SCOPE - POSITIONING UNEDOCS IN RELATION TO THE
12INTERNATIONAL SUPPLY CHAIN REFERENCE MODEL.............................6
4.1 SCOPE COMPARISON..............................................................................................................6
4.2 SCENARIO INTRODUCTION.......................................................................................................7
135 BUSINESS REQUIREMENTS................................................................................9
5.1 “BUSINESS REQUIREMENTS” VIEWS..........................................................................................9
14 5.1.1 Commercial Processes................................................................................10
15 5.1.2 Logistical (Transport) Processes................................................................10
16 5.1.3 Regulatory Processes..................................................................................11
17 5.1.4 Financial Processes....................................................................................11
5.2 PARTICIPATING PARTIES.......................................................................................................11
5.3 BUSINESS ENTITIES AND BUSINESS RULES..............................................................................13
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21 • UNeDocs Project Proposal v5 (TBG2-2005-10-5)
23 • UNeDocs Scope Document v3 (TBG2-2006-25-3)
25 • UN/CEFACT BPAWG Reference Model of the International Supply
26 Chain V1.0 March 2003. (UN/CEFACT/BPA/PB044)
28 • UN/CEFACT Modelling Methodology (UMM) v1.0
30 • UN/CEFACT Core Component Technical Specification v2.01 (CCTS/
33 • UN/CEFACT Core Component Library v0.6A
35 • United Nations Trade Data Elements Directory (UNTDED/ISO
38 • UN/CEFACT Recommendation No. 1 - United Nations Layout Key
41 • SITPRO ElecTra International Document System & v1.2
44 • UNECE United Nations electronic Trade Documents (UNeDocs)
45 version 0.4
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463 Objectives & Introduction
48 The objective of this BRS is to describe the requirements for a generic data
49 model supporting the processes involved in the cross border supply chain and
50 covering at a high-level the involved business areas, the main parties and the
51 information involved.
53 This BRS, in combination with the ISCRM developed by TBG14 and in
54 combination with the detailed BRSs from the related TBG WGs, will provide the
55 framework for any cross-border related business and government domains to
56 specify their own specific information exchange requirements whilst complying
57 with the overall process and data structures.
59 Derivative information exchange specifications will be able to be developed to
60 support the requirements of conventional UN/CEFACT data exchange formats
61 for UN aligned paper documents, UN/EDIFACT or UN/CEFACT XML messages
62 as well as information exchanges to support web based processes such as
63 those required for Single Windows implementations.
65 United Nations electronic Trade Documents (UNeDocs) is a project of the
66 United Nations Centre for Trade Facilitation and Electronic Business
67 (UN/CEFACT). The objectives of this project is to develop, publish and maintain
68 a Business Standard which can be applied by countries, regions or industries to
69 provide the definitions of contextualised data exchange documents which can
70 be integrated into software solutions for traders, carriers, freight forwarders,
71 agents, banks, Customs and Other Governmental Authorities etc.
73 UNeDocs takes a holistic approach which develops a canonical data model
74 which brings together the data exchange requirements of international trade,
75 transport, finance, insurance, Customs and other regulatory documents based
76 on the integration of trade facilitation and e-Business best practices.
78 The UN/CEFACT UNeDocs Business Standard will include paper and electronic
79 document structures which have been derived from the UNeDocs canonical
80 data model. Derivation from this canonical data model ensures that each
81 UNeDocs paper or electronic document specification is an individual
82 implementation of a document development methodology which follows the
83 aligned concepts described in UNECE Recommendation 1, the UN Layout Key
84 (UNLK). This ensures that traders can choose the type of document technology
85 that best meets their business requirements and technology capabilities and
86 also provides a migration path for the adoption of new technologies.
88 These business requirements have been developed by means of a close co-
89 operation between trade, transport, finance, insurance, customs and other
90 regulatory authorities document users. The UNeDocs project is a TBG cross-
91 domain project which is managed by the TBG ‘Digital Paper’ Working Group
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944 Scope - Positioning UNeDocs in relation to
95 the International Supply Chain Reference
98 This section describes the aspects of the international purchase and supply
99 chain covered by the UNeDocs project and relates them to the UN/CEFACT
100 Reference Model of the International Supply Chain v2001 (ISCRM).
102 The extent and limits of the business processes described in this document
103 have been developed in such as way that it allows application of the UneDocs
104 Business Standard for implementations of national, regional or industry specific
105 cross-border scenarios. In addition only the high-level process descriptions are
106 described in order that the detailed process analysis of the involved TBG
107 Domain Groups can provide the detailed process requirements in their
108 published Business Requirements Specifications (BRSs). See section 5.
1104.1 Scope Comparison
112 The ISCRM Reference Model covers the processes following the recognition of
113 need by a Customer for a product or service up until the fulfilment of an order
114 by a Supplier and the resulting financial settlement. In addition to the business
115 processes associated with cross-border trading it also incorporates the
116 necessary logistical and cross-border regulatory activities which may be
117 required by Intermediaries and Authorities.
119 This is illustrated in the following use case diagram.
Trading Partner Manufacture
Customer Order Supplier
Buyer (Sales) Seller
Transport Services Buyer Consignor
Ship Transport Services Buyer
Customs Transport Services Provider
Chambers of Commerce Credit Agency
Port Health Customs Agent
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121 Figure1. Use case Diagram-International Supply Chain Model
1234.2 Scenario introduction
125 The scope of the UNeDocs project can be expressed as a subset of the scope
126 of the UN/CEFACT International Supply Chain Reference Model (ISCRM)
127 covering the quotation, ordering and transportation of goods through to
128 invoicing. However, not all aspects of these processes are covered in the initial
131 The ISCRM covers processes in the four main business areas - Commercial,
132 Logistics, Regulatory and Financial as illustrated in Figures 2 and 3. The
133 UNeDocs project supports the processes across the Commercial, Logistics
134 (Transport) and Regulatory Areas. See Section 5.
INTERNATIONAL TRADE TRANSACTION PROCESSES
For Export Transport Import
Commercial Transport Regulatory Financial
Procedures Procedures Procedures Procedures
• Establish Sales • Establish • Obtain • Provide Credit
Contract Transport Contract Import/Export Rating
• Order Goods or • Collect, Move and Licences etc • Provide Insurance
Services Deliver Goods • Provide Customs • Provide Credit
• Advise On • Provide Waybills, Declarations • Execute Payment
Delivery Goods Receipts • Provide Cargo • Issue Statements
• Request Payment Status Reports Declaration
etc.. • Apply Trade Security
• Clear Goods for
136 Figure 2. Business processes within the four main Business Areas
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International Supply Chain Processes and Procedures
Customer/Buyer Order Goods Supplier/Seller
Pay for Goods
Intermediary/Carrier Order Transport Supplier/Consignor
Ship Goods Customer/Consignee
Issue Licence Customer/Importer
/Customs & OGAs Clear Goods Supplier/Exporter
Pay Duties Intermediary/Carrier
Intermediary/Bank Instruct Payment Customer/Payor
Credit/Debit Accounts Supplier/Payee
138 Figure 3. Key Actors/Roles associated with the four main Business Areas
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1395 Business requirements
1405.1 “Business requirements” views
141 AS described in Section 4.2 above the UNeDocs process scope may be viewed
142 as four interrelated business areas representing Commercial, Logistics
143 (Transport), Regulatory and Financial processes together with the
144 corresponding information used both within each business area and which
145 passes between them. The following two diagrams describe these areas in
146 terms of the key governing contracts – the Sales Order Contract and the
147 Transport Service Contract – and these diagrams also show the relationships
148 between the four areas together with an indication of the documentary
The Sales Order Contract
Final Consignee Original Consignor
Transport Services Buyer Transport Services Buyer
Customs Transport Services Provider
Certification Authority Freight Forwarder
Chamber of Commerce Bank
Identify Potential Order Ship Pay
Sales Partner Agreement (Transport/Border
Sales Sales Sales
Quotation Order Transport Service Contract Border Clearance(s) Invoice
Transport Transort Import/Export
Cargo and Trasnit
Origin and other
See Figure 5 for more details
151 Figure 4. The Sales Order Contract view
153 Figure 4 shows that, for the Sales Order Contract, the Establish Business
154 Agreement, Order, Ship and Pay use cases are within the scope of UNeDocs.
155 However, only the quotation process is included in the Establish Business
156 Agreement use case and only invoicing is included within the Pay use case.
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The Transport Service Contract
Transport Services Buyer Transport Services Provider
Consignee/Consignor Carrier/Freight Forwarder
Customs Terminal Operator
Port Health Authority Haulier
Inspection Agency etc.
Identify Establish Ship
Potential Transport Order Pay
Agreement (Provide Transport
Provider (Transport) (Transport)
Sea Waybill Cargo Report Freight
Instructions Negotiable B/L Transit Report
Freight Air Waybill
Forwarders Status Report
Instructions Road Waybill
159 Figure 5. The Transport Service Contract view
161 Figure 5 shows that, for the Transport Services Contract, the Establish Business
162 Agreement, Order, Ship and Pay use cases are within the scope of UNeDocs.
163 However, only the booking process is included in the Establish Business
164 Agreement use case and only invoicing is included within the Pay use case. The
165 UNeDocs scope therefore includes the transport booking, transport ordering
166 and freight invoicing processes together with the actual transportation and the
167 required border clearance processes.
1685.1.1 Commercial Processes
170 • Issuing of Quotation,
171 • Confirmation of Sales Order,
172 • Issuing of Despatch Advice and Packing List,
173 • Sales Invoicing
175 To be defined separately in conjunction with TBG1 and TBG14
1765.1.2 Logistical (Transport) Processes
178 • Booking of Cargo Space,
179 • Issuing of Shipping Instructions,
180 • Issuing of Transport Contract Document (AirWaybill, etc.),
181 • Transportation of Goods,
182 • Requesting and Issuing of Transport Status Reports
183 • Freight Invoicing
185 To be defined separately in conjunction with TBG3, TBG1 and TBG14
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1865.1.3 Regulatory Processes
187 Covers reporting to Customs or appropriate Other Governmental Agencies:
188 • Import/Export Declarations,
189 • Cargo and Transit Reports,
190 • Certificates of Origin,
191 • Phytosanitary Certificates,
192 • Dangerous Goods Declarations including OECD Hazardous Waste
194 • etc.
196 To be defined separately in conjunction with TBG4, TBG13, TBG18 and TBG14.
1975.1.4 Financial Processes
199 • Documentary Credit procedures,
200 • Cargo Insurance
202 To be defined separately in conjunction with TBG5, TBG1 and TBG14.
2035.2 Participating Parties
205 There are potentially many parties participating in the cross-border
206 international purchase and supply chain. These parties can be grouped into
207 four main categories as indicated in the table below:
209 Trade/Transport/Customs Party Roles
Sales Order Transport Service Contract Definition
Seller Original Consignor/Original The party selling goods or services as
Shipper stipulated in a Sales Order Contract.
Buyer Final Consignee/Ultimate The party to whom goods are sold services
Consignee as stipulated in a Sales Order Contract.
Transport Services Buyer The buyer of transport services as
(Consignor or Consignee) stipulated in a Transport Service Contract.
Transport Services Provider The provider i.e. seller of transport
(Carrier or Freight Forwarder) services as stipulated in a Transport
Consignor The party consigning goods as stipulated
in a Transport Service Contract.
Consignee The party receiving a consignment of
goods as stipulated in a Transport Service
Carrier The party which provides transport
Freight Forwarder The party undertaking the forwarding of
goods by provision of transport, logistics,
associated formalities services etc.
Despatch Party The party where goods are collected or
taken over by the transport services
provider. Operational term is ‘Pick-up
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Delivery Party The party to which goods should be
delivered by the transport services
provider. Operational term is ‘Place of
Ship From Original Despatch Party The party from whom goods will be or
have been originally shipped.
Ship To Final Delivery Party/Ultimate The party to whom goods will be or have
Delivery Party been ultimately shipped.
214 The party stipulated as the party to whom goods or services are sold. The
215 primary role of the Customer as specified in a Sales Order Contract is the
216 Buyer and other possible roles include the Final/Ultimate Consignee, Transport
217 Services Buyer, Importer and Invoicee.
220 The party who makes, or on whose behalf a Customs clearing agent or other
221 authorized person makes, an import declaration. This may include a person
222 who has possession of the goods or to whom the goods are consigned.
225 The party to whom an invoice is issued.
228 The party stipulated as the supplier of goods or services. The primary role of
229 the Supplier as specified in the Sales Order Contract is the Seller and other
230 possible roles include the Original Consignor/Shipper, Transport Services
231 Buyer, Exporter, and Invoice Issuer.
233 Transport Service Buyer
234 The party stipulated as the buyer of transport services in a Transport Service
235 Contract. The Transport Service Buyer role may be performed by either the
236 Consignor or the Consignee depending on the Terms of Delivery specified in
237 the associated Sales Order Contract.
240 The party who makes, or on whose behalf the export declaration is made, and
241 who is the owner of the goods or has similar rights of disposal over them at
242 the time when the declaration is accepted.
244 Invoice issuer
245 The party who issues an invoice.
248 Within the international purchase and supply chain, an Intermediary can be
249 any party who provides services to support either the Sales Order Contract or
250 the Transport Service Contract. The possible roles of an Intermediary include
251 the Transport Service Provider (e.g. Carrier, Freight Forwarder), Financial
252 Institution or Customs Agent etc.
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255 An Authority provides authorisation associated with any conventions or
256 regulations applicable to the trading of goods within the international purchase
257 and supply chain. The possible roles of an Authority include border control
258 authorities (e.g. Customs), permit/licensing issuing authorities and port
259 authorities etc.
2605.3 Business Entities and Business Rules
262 Throughout the international purchase and supply chain various types of
263 information are exchanged. The UNeDocs Data Model provides a cross-domain
264 framework for the derivation of generic documents for the exchange of
265 information between the Customers, Suppliers, Intermediaries and Authorities
266 no matter which countries or modes of transport may be involved. Therefore
267 the UNeDocs data model uses generic terms for the involved parties and for
268 the business information entities contained within it.
270 The UNeDocs CCTS Data Modelling includes full referencing between the
271 business information entities and the UNTDED v 2005 (United Trade Data
272 Elements Directory).
274 The following diagram and accompanying text describe the relationships
275 between the highest-level Business Information Entities of the CCTS UNeDocs
276 Data Model.
1 Identifier 1
Customs Item. Details (Trade) 1 1..* Trade item. Details 1..* 0..* Trade_ Packaging. Details
Customs Item. Identification. Trade Item. Trade_ Packaging.
Identifier Identification. Identifier Identification. Identifier
1..* 1..* 0..* 1..*
Import/Export Declaration. Details Shipment. Details 1
Declaration Identification. Shipment. Identification.
1 1..* Consignment Item. Details 1..* 0..* Transport_ Packaging. Details
Customs Item. Details (Transport)
Customs Item. Identification. Consignment Item. 1..* Transport_ Packaging
Identifier Identification. Identifier Identification. Identifier
1 1..* 0..*
1..* 1 1..*
Cargo Report. Details Consignment. Details
Cargo Report Identification. 1 1..* Identification. Identifier
0..* 0..* 1..*
Transport Equipment. Details Transport Movement. Details
Transport Equipment. Transport Movement. Stage.
Identification. Identifier 0..* 1 Identifier
Transport Means. Details
279 Figure 6. UNeDocs High-Level Entity Relationships
281 Sales Order
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283 A sales order is a contractual document by means of which a buyer initiates a
284 transaction with a seller involving the supply of goods or services as specified,
285 according to conditions which are either set out in a formal quotation or
286 otherwise known to the buyer. The information included in the UNeDocs cross-
287 border Order document covers both the commercial information between the
288 Buyer and the Seller relating to the Sales Order and also the additional
289 information required by intermediaries and authorities.
291 • A Sales Order can only have one Buyer
292 • A Sales Order can only have one Seller
293 • A Sales Order is made up of one or more Trade Items
295 Trade Item
297 A Trade Item describes the lowest level of "commercial" information in a Sales
298 Order between the Buyer and the Seller. Each Trade Item will usually be
299 associated with a particular product and will include details such as product
300 code, quantity and unit price etc. In the case of cross-border orders each
301 product will also have an associated Customs tariff code.
303 • A single Trade Item cannot be split across Shipments
304 • Trade Items are aggregated by Tariff Code/Packaging into Consignment
309 A shipment is an identifiable collection of one or more Trade Items (available
310 to be) transported together from the Seller (Original Consignor/Shipper), to the
311 Buyer (Final/Ultimate Consignee).
313 • A Shipment can only be destined for one Buyer
314 • A Shipment can be made up of some or all Trade Items from one or more
315 Sales Orders
316 • A Shipment can have only one Customs UCR
317 • A shipment may form part or all of a Consignment or may be transported
318 in different Consignments.
320 Consignment (Transport Service Order)
322 A consignment is a separately identifiable collection of Consignment Items
323 (available to be) transported from one Consignor to one Consignee via one or
324 more modes of transport as specified in one single transport service
325 contractual document.
327 • A Consignment can only have one Transport Service Buyer
328 • A Consignment can only have one Transport Service Provider
329 • A Consignment can only have one Consignor
330 • A Consignment can only have one Consignee
331 • The Transport Service Buyer can be either the Consignor or the
333 • A Consignment is made up of one or more Consignment Items
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334 • A Consignment can be made up of some or all Trade Items (aggregated
335 into Consignment Items) from one or more Shipments
336 • A Consignment is made up of one or more Customs Items for reporting to
338 • A Consignment can have one or more Customs UCRs
340 Consignment Item
342 A separately identifiable quantity of products grouped together by Customs
343 tariff code or packaging for transport purposes. A Consignment Item is the
344 lowest level of information within a Consignment. In the case of cross-border
345 consignments each Consignment Item must have only one associated Customs
346 tariff code in order to satisfy Customs requirements.
348 • A Consignment Item can contain one or more Trade Items
349 • A Consignment Item can only have one associated Customs tariff code
351 Import/Export Customs Declaration
353 Documents by which consignments of goods are declared for either export or
354 import Customs clearance, conforming to the layout key set out at Appendix I
355 to Annex C.1 concerning outright exportation to the Kyoto convention (WCO).
356 A Customs tariff code must be provided for each Consignment Item within a
357 consignment. The Customs tariff code, also known as the commodity code,
358 specifies the goods classification under the Harmonised Commodity Description
359 and Coding System of the World Customs Organisation (WCO).
361 • An Export or Import Declaration can contain one or more Customs Items
362 • An Export or Import Declaration can have only one UCR
364 Customs Item
366 A Customs Item is a Consignment Item, a Trade Item or an aggregation of
367 Consignment or Trade Items with distinct Customs tariff code for reporting to
370 • A Customs Item can only have one associated Customs tariff code
371 • A Customs Item can refer to one or more Trade Items
372 • Each reported Consignment may contain one or more separately reported
373 Customs Items
375 Customs Cargo Report
377 Documents by which movements of goods are reported to Customs at a place
378 of export, import or transit.
380 • A Customs Cargo Report reports on one Transport Movement of goods
381 • A Customs Cargo Report reports on one or more Consignments
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