TBG2-2006-33-1-UNeDocs BRS
Business Requirements Specification
TBG2
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
Version: 1.0
Release: 1
1
Date: March 2007
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Document History
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March 2007
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Version 1.0 developed from version 3.0 of the UNeDocs Scope
Document in collaboration with TBG3 and TBG14.
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1 Table of Contents
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1
TABLE OF CONTENTS .......................................................................... 3
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2
REFERENCES ...................................................................................... 4
11
3
OBJECTIVES & INTRODUCTION ........................................................... 5
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4 SCOPE - POSITIONING UNEDOCS IN RELATION TO THE
INTERNATIONAL SUPPLY CHAIN REFERENCE MODEL .................................. 6
14
5
4.1
SCOPE COMPARISON ................................................................................ 6
4.2
SCENARIO INTRODUCTION ......................................................................... 7
BUSINESS REQUIREMENTS .................................................................. 9
5.1
“BUSINESS REQUIREMENTS” VIEWS .............................................................. 9
15
5.1.1
Commercial Processes .......................................................... 10
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5.1.2
Logistical (Transport) Processes ............................................ 10
17
5.1.3
Regulatory Processes ........................................................... 11
18
5.1.4
Financial Processes .............................................................. 11
5.2
PARTICIPATING PARTIES.......................................................................... 11
5.3
BUSINESS ENTITIES AND BUSINESS RULES ................................................... 13
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2 References

UNeDocs Project Proposal v5 (TBG2-2005-10-5)

UNeDocs Scope Document v3 (TBG2-2006-25-3)

UN/CEFACT BPAWG Reference Model of the International Supply
Chain V1.0 March 2003. (UN/CEFACT/BPA/PB044)

UN/CEFACT Modelling Methodology (UMM) v1.0

UN/CEFACT Core Component Technical Specification v2.01
(CCTS/ISO15000-5)

UN/CEFACT Core Component Library v0.6A

United Nations Trade Data Elements Directory (UNTDED/ISO
7372)

UN/CEFACT Recommendation No. 1 - United Nations Layout Key
(UNLK)

SITPRO ElecTra International Document System & v1.2
UNeDocsUK

UNECE United Nations electronic Trade Documents (UNeDocs)
version 0.4
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3 Objectives & Introduction
The objective of this BRS is to describe the requirements for a generic data
model supporting the processes involved in the cross border supply chain and
covering at a high-level the involved business areas, the main parties and the
information involved.
This BRS, in combination with the ISCRM developed by TBG14 and in
combination with the detailed BRSs from the related TBG WGs, will provide the
framework for any cross-border related business and government domains to
specify their own specific information exchange requirements whilst complying
with the overall process and data structures.
Derivative information exchange specifications will be able to be developed to
support the requirements of conventional UN/CEFACT data exchange formats
for UN aligned paper documents, UN/EDIFACT or UN/CEFACT XML messages
as well as information exchanges to support web based processes such as
those required for Single Windows implementations.
United Nations electronic Trade Documents (UNeDocs) is a project of the
United Nations Centre for Trade Facilitation and Electronic Business
(UN/CEFACT). The objectives of this project is to develop, publish and maintain
a Business Standard which can be applied by countries, regions or industries to
provide the definitions of contextualised data exchange documents which can
be integrated into software solutions for traders, carriers, freight forwarders,
agents, banks, Customs and Other Governmental Authorities etc.
UNeDocs takes a holistic approach which develops a canonical data model
which brings together the data exchange requirements of international trade,
transport, finance, insurance, Customs and other regulatory documents based
on the integration of trade facilitation and e-Business best practices.
The UN/CEFACT UNeDocs Business Standard will include paper and electronic
document structures which have been derived from the UNeDocs canonical
data model. Derivation from this canonical data model ensures that each
UNeDocs paper or electronic document specification is an individual
implementation of a document development methodology which follows the
aligned concepts described in UNECE Recommendation 1, the UN Layout Key
(UNLK). This ensures that traders can choose the type of document technology
that best meets their business requirements and technology capabilities and
also provides a migration path for the adoption of new technologies.
These business requirements have been developed by means of a close cooperation between trade, transport, finance, insurance, customs and other
regulatory authorities document users. The UNeDocs project is a TBG crossdomain project which is managed by the TBG ‘Digital Paper’ Working Group
(TBG2).
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4 Scope - Positioning UNeDocs in relation to
the International Supply Chain Reference
Model
This section describes the aspects of the international purchase and supply
chain covered by the UNeDocs project and relates them to the UN/CEFACT
Reference Model of the International Supply Chain v2001 (ISCRM).
The extent and limits of the business processes described in this document
have been developed in such as way that it allows application of the UneDocs
Business Standard for implementations of national, regional or industry specific
cross-border scenarios. In addition only the high-level process descriptions are
described in order that the detailed process analysis of the involved TBG
Domain Groups can provide the detailed process requirements in their
published Business Requirements Specifications (BRSs). See section 5.
4.1 Scope Comparison
The ISCRM Reference Model covers the processes following the recognition of
need by a Customer for a product or service up until the fulfilment of an order
by a Supplier and the resulting financial settlement. In addition to the business
processes associated with cross-border trading it also incorporates the
necessary logistical and cross-border regulatory activities which may be
required by Intermediaries and Authorities.
This is illustrated in the following use case diagram.
Check Credit
includes
Identify Potential
Trading Partner
Manufacture
includes
Establish Agreement
(Sales)
Actors/Roles
Customer
Buyer
Invoicee
Payor
Importer
Consignee
Transport Services Buyer
Order
(Sales)
Ship
Actors/Roles
Supplier
Seller
Manufacturer
Invoicer
Payee
Exporter
Consignor
Transport Services Buyer
(Transport/Border
Clearance)
Pay
(Sales)
Actors/Roles
Authority
Actors/Roles
Intermediary
Customs
OGAs
Chambers of Commerce
Port Health
Inspection
Licensing
etc.
Transport Services Provider
Bank
Credit Agency
Customs Agent
Insurer
etc.
UNeDocs
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Figure1. Use case Diagram-International Supply Chain Model
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4.2 Scenario introduction
The scope of the UNeDocs project can be expressed as a subset of the scope
of the UN/CEFACT International Supply Chain Reference Model (ISCRM)
covering the quotation, ordering and transportation of goods through to
invoicing. However, not all aspects of these processes are covered in the initial
phase.
The ISCRM covers processes in the four main business areas - Commercial,
Logistics, Regulatory and Financial as illustrated in Figures 2 and 3. The
UNeDocs project supports the processes across the Commercial, Logistics
(Transport) and Regulatory Areas. See Section 5.
INTERNATIONAL TRADE TRANSACTION PROCESSES
SHIP/
BUY
PAY
DELIVER
Prepare
For
Export
Prepare
for Import
Transport
Export
Import
INVOLVING
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Commercial
Procedures
Transport
Procedures
Regulatory
Procedures
Financial
Procedures
• Establish Sales
Contract
• Order Goods or
Services
• Advise On
Delivery
• Request Payment
• Establish
Transport Contract
• Collect, Move and
Deliver Goods
• Provide Waybills,
Goods Receipts
Status Reports
etc..
• Obtain
Import/Export
Licences etc
• Provide Customs
Declarations
• Provide Cargo
Declaration
• Apply Trade Security
Procedures
• Clear Goods for
Export/Import
• Provide Credit
Rating
• Provide Insurance
• Provide Credit
• Execute Payment
• Issue Statements
Figure 2. Business processes within the four main Business Areas
International Supply Chain Processes and Procedures
Actors/Roles
Actors/Roles
Commercial
Customer/Buyer
Order Goods
Deliver
Pay for Goods
Supplier/Seller
Logistical
Intermediary/Carrier
Order Transport
Ship Goods
Pay Carrier
Supplier/Consignor
Customer/Consignee
Regulatory
Authority
/Customs & OGAs
Intermediary/Bank
Issue Licence
Clear Goods
Pay Duties
Financial
Instruct Payment
Credit/Debit Accounts
Provide Statements
Customer/Importer
Supplier/Exporter
Intermediary/Carrier
Customer/Payor
Supplier/Payee
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Figure 3. Key Actors/Roles associated with the four main Business Areas
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5 Business requirements
5.1 “Business requirements” views
AS described in Section 4.2 above the UNeDocs process scope may be viewed
as four interrelated business areas representing Commercial, Logistics
(Transport), Regulatory and Financial processes together with the
corresponding information used both within each business area and which
passes between them. The following two diagrams describe these areas in
terms of the key governing contracts – the Sales Order Contract and the
Transport Service Contract – and these diagrams also show the relationships
between the four areas together with an indication of the documentary
requirements.
The Sales Order Contract
Actors/Roles
Actors/Roles
Customer
Buyer
Final Consignee
Importer
Transport Services Buyer
Supplier
Seller
Original Consignor
Exporter
Transport Services Buyer
International
Purchase and
Supply
Actors/Roles
Actors/Roles
Authority
Customs
OGAs
Certification Authority
Chamber of Commerce
Intermediary
Transport Services Provider
Carrier
Freight Forwarder
Bank
Customs Agent
Insurer
Identify Potential
Sales Partner
Sales
Quotation
Sales
Order
Establish
Agreement
(Sales)
Order
Ship
Pay
(Sales)
(Transport/Border
Clearance)
(Sales)
Transport Service Contract
Establish
Transport
Agreement
Order
(Transport)
Provide
Transort
Services
Pay
(Transport)
Border Clearance(s)
Sales
Invoice
Import/Export
Declarations
Cargo and Trasnit
Reports
Origin and other
Certificates
See Figure 5 for more details
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Figure 4. The Sales Order Contract view
Figure 4 shows that, for the Sales Order Contract, the Establish Business
Agreement, Order, Ship and Pay use cases are within the scope of UNeDocs.
However, only the quotation process is included in the Establish Business
Agreement use case and only invoicing is included within the Pay use case.
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The Transport Service Contract
Actors/Roles
Actors/Roles
Customer
Transport Services Buyer
Consignee/Consignor
Supplier
Transport Services Provider
Carrier/Freight Forwarder
International
Transportation
Actors/Roles
Actors/Roles
Authority
Customs
Port Health Authority
Inspection Agency
etc.
Intermediary
Terminal Operator
Haulier
etc.
Identify
Potential Transport
Provider
Booking
Establish
Agreement
(Transport)
Shipping
Instructions
Freight
Forwarders
Instructions
Order
(Transport)
Ship
(Provide Transport
Services)
Sea Waybill
Cargo Report
Negotiable B/L
Pay
(Transport)
Freight
Invoice
Transit Report
Air Waybill
Status Report
Road Waybill
(CMR)
Rail Waybill
(CIM)
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Figure 5. The Transport Service Contract view
Figure 5 shows that, for the Transport Services Contract, the Establish Business
Agreement, Order, Ship and Pay use cases are within the scope of UNeDocs.
However, only the booking process is included in the Establish Business
Agreement use case and only invoicing is included within the Pay use case. The
UNeDocs scope therefore includes the transport booking, transport ordering
and freight invoicing processes together with the actual transportation and the
required border clearance processes.
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5.1.1 Commercial Processes
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5.1.2 Logistical (Transport) Processes
Covers:
 Issuing of Quotation,
 Confirmation of Sales Order,
 Issuing of Despatch Advice and Packing List,
 Sales Invoicing
To be defined separately in conjunction with TBG1 and TBG14
Covers:
 Booking of Cargo Space,
 Issuing of Shipping Instructions,
 Issuing of Transport Contract Document (AirWaybill, etc.),
 Transportation of Goods,
 Requesting and Issuing of Transport Status Reports
 Freight Invoicing
To be defined separately in conjunction with TBG3, TBG1 and TBG14
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5.1.3 Regulatory Processes
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5.1.4 Financial Processes
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5.2 Participating Parties
Covers reporting to Customs or appropriate Other Governmental Agencies:
 Import/Export Declarations,
 Cargo and Transit Reports,
 Certificates of Origin,
 Phytosanitary Certificates,
 Dangerous Goods Declarations including OECD Hazardous Waste
notifications
 etc.
To be defined separately in conjunction with TBG4, TBG13, TBG18 and TBG14.
Covers:
 Documentary Credit procedures,
 Cargo Insurance
To be defined separately in conjunction with TBG5, TBG1 and TBG14.
There are potentially many parties participating in the cross-border
international purchase and supply chain. These parties can be grouped into
four main categories as indicated in the table below:
Trade/Transport/Customs Party Roles
Sales Order
Contract
Transport Service Contract
Definition
Seller
Original Consignor/Original
Shipper
The party selling goods or services as
stipulated in a Sales Order Contract.
Buyer
Final Consignee/Ultimate
Consignee
The party to whom goods are sold services
as stipulated in a Sales Order Contract.
Transport Services Buyer
(Consignor or Consignee)
The buyer of transport services as
stipulated in a Transport Service Contract.
Transport Services Provider
(Carrier or Freight Forwarder)
The provider i.e. seller of transport
services as stipulated in a Transport
Service Contract.
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
Contract.
Carrier
The party which provides transport
services.
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
Place’.
Delivery Party
The party to which goods should be
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delivered by the transport services
provider. Operational term is ‘Place of
Positioning’.
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Ship From
Original Despatch Party
The party from whom goods will be or
have been originally shipped.
Ship To
Final Delivery Party/Ultimate
Delivery Party
The party to whom goods will be or have
been ultimately shipped.
Buyer
The party stipulated as the party to whom goods or services are sold. The
primary role of the Customer as specified in a Sales Order Contract is the
Buyer and other possible roles include the Final/Ultimate Consignee, Transport
Services Buyer, Importer and Invoicee.
Importer
The party who makes, or on whose behalf a Customs clearing agent or other
authorized person makes, an import declaration. This may include a person
who has possession of the goods or to whom the goods are consigned.
Invoicee
The party to whom an invoice is issued.
Seller
The party stipulated as the supplier of goods or services. The primary role of
the Supplier as specified in the Sales Order Contract is the Seller and other
possible roles include the Original Consignor/Shipper, Transport Services Buyer,
Exporter, and Invoice Issuer.
Transport Service Buyer
The party stipulated as the buyer of transport services in a Transport Service
Contract. The Transport Service Buyer role may be performed by either the
Consignor or the Consignee depending on the Terms of Delivery specified in
the associated Sales Order Contract.
Exporter
The party who makes, or on whose behalf the export declaration is made, and
who is the owner of the goods or has similar rights of disposal over them at
the time when the declaration is accepted.
Invoice issuer
The party who issues an invoice.
Intermediary
Within the international purchase and supply chain, an Intermediary can be
any party who provides services to support either the Sales Order Contract or
the Transport Service Contract. The possible roles of an Intermediary include
the Transport Service Provider (e.g. Carrier, Freight Forwarder), Financial
Institution or Customs Agent etc.
Authority
An Authority provides authorisation associated with any conventions or
regulations applicable to the trading of goods within the international purchase
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and supply chain. The possible roles of an Authority include border control
authorities (e.g. Customs), permit/licensing issuing authorities and port
authorities etc.
5.3 Business Entities and Business Rules
Throughout the international purchase and supply chain various types of
information are exchanged. The UNeDocs Data Model provides a cross-domain
framework for the derivation of generic documents for the exchange of
information between the Customers, Suppliers, Intermediaries and Authorities
no matter which countries or modes of transport may be involved. Therefore
the UNeDocs data model uses generic terms for the involved parties and for
the business information entities contained within it.
The UNeDocs CCTS Data Modelling includes full referencing between the
business information entities and the UNTDED v 2005 (United Trade Data
Elements Directory).
The following diagram and accompanying text describe the relationships
between the highest-level Business Information Entities of the CCTS UNeDocs
Data Model.
Trade. Details
Order. Identification.
Identifier
1
1
1..*
1..*
Customs Item. Details (Trade)
1
1..*
Customs Item. Identification.
Identifier
Trade item. Details
0..*
0..* Trade_ Packaging. Details
1..*
Trade Item.
Identification. Identifier
1..*
Trade_ Packaging.
Identification. Identifier
1..*
1..*
0..*
Import/Export Declaration. Details
Shipment. Details
1
Declaration Identification.
Identifier
1
0..*
1..*
1..*
1
1
1
Shipment. Identification.
Identifier
1..*
1
1
1
Customs Item. Details (Transport)
1..* Consignment Item. Details 1..*
1..*
Consignment Item.
Identification. Identifier
Customs Item. Identification.
Identifier
1
Transport_ Packaging
Identification. Identifier
0..*
1..*
Consignment. Details
Cargo Report. Details
1..3
1..*
1
1..*
Cargo Report Identification.
Identifier
0..* Transport_ Packaging. Details
1
Consignment.
1..* Identification. Identifier
1
1
1..*
0..*
0..*
1..*
Transport Equipment. Details
Transport Equipment.
Identification. Identifier
Transport Movement. Details
0..*
1
Transport Movement. Stage.
Identifier
1
1..*
Transport Means. Details
Transport Means.
Identification. Identifier
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Figure 6. UNeDocs High-Level Entity Relationships
Sales Order
A sales order is a contractual document by means of which a buyer initiates a
transaction with a seller involving the supply of goods or services as specified,
according to conditions which are either set out in a formal quotation or
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otherwise known to the buyer. The information included in the UNeDocs crossborder Order document covers both the commercial information between the
Buyer and the Seller relating to the Sales Order and also the additional
information required by intermediaries and authorities.



A Sales Order can only have one Buyer
A Sales Order can only have one Seller
A Sales Order is made up of one or more Trade Items
Trade Item
A Trade Item describes the lowest level of "commercial" information in a Sales
Order between the Buyer and the Seller. Each Trade Item will usually be
associated with a particular product and will include details such as product
code, quantity and unit price etc. In the case of cross-border orders each
product will also have an associated Customs tariff code.


A single Trade Item cannot be split across Shipments
Trade Items are aggregated by Tariff Code/Packaging into Consignment
Items
Shipment
A shipment is an identifiable collection of one or more Trade Items (available
to be) transported together from the Seller (Original Consignor/Shipper), to the
Buyer (Final/Ultimate Consignee).




A Shipment can only be destined for one Buyer
A Shipment can be made up of some or all Trade Items from one or more
Sales Orders
A Shipment can have only one Customs UCR
A shipment may form part or all of a Consignment or may be transported
in different Consignments.
Consignment (Transport Service Order)
A consignment is a separately identifiable collection of Consignment Items
(available to be) transported from one Consignor to one Consignee via one or
more modes of transport as specified in one single transport service
contractual document.







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A Consignment can only have one Transport Service Buyer
A Consignment can only have one Transport Service Provider
A Consignment can only have one Consignor
A Consignment can only have one Consignee
The Transport Service Buyer can be either the Consignor or the
Consignee
A Consignment is made up of one or more Consignment Items
A Consignment can be made up of some or all Trade Items (aggregated
into Consignment Items) from one or more Shipments
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

A Consignment is made up of one or more Customs Items for reporting to
Customs
A Consignment can have one or more Customs UCRs
Consignment Item
A separately identifiable quantity of products grouped together by Customs
tariff code or packaging for transport purposes. A Consignment Item is the
lowest level of information within a Consignment. In the case of cross-border
consignments each Consignment Item must have only one associated Customs
tariff code in order to satisfy Customs requirements.


A Consignment Item can contain one or more Trade Items
A Consignment Item can only have one associated Customs tariff code
Import/Export Customs Declaration
Documents by which consignments of goods are declared for either export or
import Customs clearance, conforming to the layout key set out at Appendix I
to Annex C.1 concerning outright exportation to the Kyoto convention (WCO).
A Customs tariff code must be provided for each Consignment Item within a
consignment. The Customs tariff code, also known as the commodity code,
specifies the goods classification under the Harmonised Commodity Description
and Coding System of the World Customs Organisation (WCO).


An Export or Import Declaration can contain one or more Customs Items
An Export or Import Declaration can have only one UCR
Customs Item
A Customs Item is a Consignment Item, a Trade Item or an aggregation of
Consignment or Trade Items with distinct Customs tariff code for reporting to
Customs.



A Customs Item can only have one associated Customs tariff code
A Customs Item can refer to one or more Trade Items
Each reported Consignment may contain one or more separately reported
Customs Items
Customs Cargo Report
Documents by which movements of goods are reported to Customs at a place
of export, import or transit.


A Customs Cargo Report reports on one Transport Movement of goods
A Customs Cargo Report reports on one or more Consignments
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