document title: cross reference map for... · 3. specification on cross-border trade documents and...
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Document title: Draft Reference Map for
Cross-border Paperless Trade Processes1
Version and Date: Version 0.9 as of 17 January 2018
Legal and Technical Working Group (LTWG) of the Interim Intergovernmental
Steering Group on Cross-border Paperless Trade Facilitation
1. Introduction
The reference map for cross-border paperless trade processes defines processes and
documents involved in international trade transactions requiring cross-border exchange of
data and information.
The reference map is intended to be used as a reference in developing pilot projects under the
Framework Agreement on Facilitation of Cross-border Paperless Trade in Asia and the
Pacific.
The reference map defines processes under the broader category of buy, ship and pay and
then further down under the four categories of the United Nations Layout Key (UNLK) –
namely commercial transaction, transport and related services, official control and payment.
Then, the reference map defines sub-processes and documentation involved in each process
as well as for which products/services such process is executed. For each documentation, a
separate map is prepared with relevant information and references that would help design
cross-border data exchange pilot project(s) at the level of specific process or document.
This document is based on the earlier deliberations of the study report.2 And the structure of
this draft Reference Map is composed of Four (4) chapters as below:
1. Introduction
2. Cross-border process and related documents and data
3. Specification on cross-border trade documents and data
1 Please cite this document as: ESCAP Legal and Technical Working Groups on Cross-border
Paperless Trade Facilitation (2018), “Draft Reference Map for Cross-border Paperless Trade
Processes“, Version 0.9, 17 January 2018, Bangkok, ESCAP. 2 Analysis on the cross-border trade processes and recommended reference maps
2
4. Cross-border paperless trade project directory
Chapter 2, ‘Cross-border process and related documents and data’ is to provide a big picture
of the areas of international process and its related documents and data that crosses borders
during its life cycle. As detailed process and requirements differ by Member States, this
chapter handles mostly well-known and commonly used trade documents and data being
exchanged.
Chapter 3, ‘Specification on cross-border trade documents and data’ illustrates the
characteristics of border crossing documents and data.
Lastly, chapter 4, ‘Cross-border paperless trade project directory’ showcases several cross-
border paperless trade projects and summarized well known cross-border projects and
services by the trade process regardless of its result.
3
2. Cross-border trade process and related documents and data
2.1 Categorization of cross-border trade process
In their recommendation for trade facilitation3, UN/CEFACT identified four (4) trade process categories: (a) Commercial transaction sector, (b)
Payment sector, (c) Transport and related services and (d) Official controls, as being relevant for the establishment of sectoral alignment
guidelines.
A. Commercial transaction sector: Includes documents applied between commercial parties in the production, sale and purchase
phases of a transaction;
B. Payment sector: Includes documents related to the requirements of banks to ensure payment;
C. Transport and related services: Includes documents relevant to the physical international transport of goods, including insurance
Sub-divided into
C 1 Forwarding and cargo handling (“Intermediary services”)
C 2 Transport
C 3 Insurance
D. Official controls: Includes document relevant to government authorizes to control the international goods flow
Considering the proximity of this document’s object and that of the recommendation, this Reference Map borrowed the above sectoral
3 Recommendation No. 1 – United Nations Layout Key for Trade Documents, UNECE
4
classification from the recommendation as a general categorization of trade documents in an international supply chain. However, the
documents in each sector may differ as the purpose of the Reference Map is different with the recommendation. Accordingly, this Reference
Map categorized the areas of cross-border interactions among businesses and governments into four (4) areas:
i) Commercial transaction sector,
ii) Transport and related services,
iii) Official controls and
iv) Payment sector
under broader category of buy, ship and pay as in the table 1 below:
Table 1 International trade actions by UNLK categorization
Process Category Actions
Buy Commercial transaction sector
(a) Business opportunity finding:
(b) Contract
5
(c) Order and production monitoring
(d) Other commercial measures including trade documentation4
Ship
Transport and related services
Forwarding and
cargo handling
(g) In-land transport at exporting country (including booking and
collection)
(p) Inland transport at importing country
Transport
( j) Loading port activity
(k) Shipping and cross-border transportation (including issuing Bill of
Lading)
(l) Entry port activity
Insurance (i) Insurance
Official controls
(e) Conformity certifying activity at exporting country
(f) Regulatory compliance activity at exporting country
(h) Export customs clearance
4 In typical BPAs (Business Process Analysis) using Buy, Ship and Pay model, trade documentation is placed at Ship process. However, in this report,
by accommodating the UNLK categorization, this action goes to Buy process
6
(m) Conformity certifying activity at importing country
(n) Regulatory compliance activity at importing country
(o) Import customs clearance
Pay Payment sector
(q) Trade financing
(r) Trade settlement
2.2 Trade documents in cross-border trade process
2.2.1 Commercial transaction
Cross border paperless projects in commercial transaction sector are led by private sector, but however there has been a lot of projects initiated
by government or led by public and private partnership program.
Table 2 Commercial transaction sector related documents
Category Cross-border process Related trade documents/
information
1. Business Opportunity Finding 1.1. Offer, Counter Offer, Quotation etc.
Commercial 2. Contract 2.1. Contract, Framework Contract
7
transaction
sector 3. Order and production monitoring 3.1. Delivery Forecasting, Order, Proforma Invoice, Dispatch Advice etc.
4. Other commercial measures including
trade documentation 4.1. Purchase Order, Invoice, Packing List, Bill of Lading Advice etc.
2.2.2 Transport and related services
Air transport industry has been leading most of cross border paperless projects in Transport and related services sector. Its time sensitivity of
airliners and related businesses has made them rely on ICT means compare to mariners.
Table 3 Transport and related services sector related documents
Category
Cross-border process Related trade documents/
information Main process Sub-process
Trans-port and
related services
5. Forwarding and cargo handling 5.1. Freight Charge Invoice
6. Transport
Loading port activity
6.1. Shipping Schedule, Bay Plan, Stowage Plan, Hatch
List, Container Loading List
6.2. DGL (Dangerous Goods List)
Shipping and cross-border
transportation
6.3. Master/House Bill of Lading
6.4. AWB (Airway Bill)
6.5. SWB (Seaway Bill)
Entry port activity 6.6. (Advance) Manifest
8
Transit 6.7. Transit Declaration
6.8. Transit Bond
Cargo tracking 6.9. Cargo status information
7. Insurance 7.1. Insurance Policy
2.2.3 Official regulatory controls
Various cross border paperless projects in official regulatory controls sector are conducted by government agencies for trade facilitation
purpose. An interesting part is that a lot of projects are closely related to transport and related services sector.
Table 4 Documents related to official regulatory controls sector
Category
Cross-border process Documents
Main process Sub process
9
Official
Control
8. Conformity
Certifying
activity at
exporting and
importing
country
Quarantine
8.1. Phyto-Sanitary Certificate
8.2. Fumigation Certificate
8.3. Veterinary Certificate
8.4. BSE/TSE Free Certificate
8.5. Common Veterinary Entry Document
8.6. Sanitary Certificate
8.7. Health Certificate
8.8. Food Certificate
8.9. Organic Certificate
8.10. Certificate of Environmental Radioactivity Level
Standards and
quality control
8.11. ISO and other international standards and quality certificates
8.12. National standard and quality certificates
8.13. (Lab) Test Certificate
8.14. Certificate of Analysis
8.15. Certification of Electrical and Electronic Components, Equipment and Product
8.16. Certificate for medical devices
8.17. CPP (Certificate of a Pharmaceutical Product)
8.18. Certificate of Analysis
8.19. MSDS (Material Safety Data Sheet)
8.20. HALAL Certificate
10
Others 8.21. Certificate of Manufacture
8.22. CITES Certificate
9. Regulatory
compliance
activity at
exporting
country (and
importing
country)
Country of
Origin
9.1. Certificate of Origin
9.2. FTA Certificate of Origin, GSP Certificate of Origin, GSTP Certificate of Origin,
Origin Declaration, Back to Back Certificate of Origin, APTA Certificate of Origin
Quota 9.3. VISA
Permit 9.4. Import Permit
Licensing TBC
Crew/Passenger 9.5. Crew/Passenger list
10. Customs
Export and
Import
Clearance
Import
Declaration 10.1. Export Declaration
Risk
Management
AEO 10.2. AEO List (Profile)
2.2.4 Payment
11
Out of all the sectors, the Payment; trade financing and settlement sector is the most challenging area for cross-border paperless trading as the
actions in the sector requires a lot of documents from other sectors not to mention the sensitivity of monetary transactions.
Table 5 Trade documents related to trade financing and settlement sector
Category Related trade documents/
information
Payment 11. Trade financing and
payment
11.1. Letter of Credit
11.2. Bill of Exchange etc.
2.3 Summary of cross-border trade process and documents
As explained in the introduction, each Member States has different business environment and legislation in international trade hence differentiating
the domestic trade process and documents by individual States. Below table 6 summarizes and illustrates general cross-border trade process and
documents. So, this Reference Map shall remain as a reference purpose only and each Member State shall conduct study to identify national level
cross-border documents especially in official control.
Table 6 Summary of cross-border trade processes and documents
Category Processes Products
/Services Documents
12
Buy/
Ship/
Pay
UNLK Cross-border
process Sub process
Buy Commercial
Transaction
Business Opportunity Finding Any Offer, Counter Offer, brochure
Contract Any Contract, Framework Contract
Order and production monitoring Any Delivery Forecasting, Order, Proforma Invoice, Dispatch Advice, etc
Other commercial measures including
trade documentation Any Purchase Order, Invoice, Packing List, Bill of Lading Advice, etc
Ship
Transport and
related services
Forwarding and
cargo handling Freight settlement Any Freight Charge Invoice
Transport
Loading port
activity
Any Shipping Schedule, Bay Plan, Stowage Plan, Hatch List, Container
Loading List
Dangerous goods DGL (Dangerous Goods List)
Shipping and
cross-border
transportation
Any Master/House Bill of Lading
Any AWB (Air Way Bill)
Any SWB (Sea Way Bill)
Entry port activity Any (Advance) Manifest
Transit Any Transit Declaration
Any Transit Bond (ATA Carnet, RCTG Carnet)
Cargo tracking Any Cargo status
Insurance Insurance Any Insurance Policy
Official
Control
Conformity
Certifying activity
at exporting and
importing country
Quarantine
Plants Phyto-Sanitary Certificate
Fumigation Certificate
Animals Veterinary Certificate
BSE/TSE Free Certificate
13
Animals, semen and
embryo, food, feed and
plants
Common Veterinary Entry Document
Animals, fishery and
others Sanitary Certificate
Other food and drugs
Health Certificate
Food Certificate
Organic Certificate
Certificate of Environmental Radioactivity Level
Standards and
quality control
General ISO and other international standards and quality certificates
National standard and quality certificates
Electronics
(Lab) Test Certificate
Certificate of Analysis
Certification of Electrical and Electronic Components, Equipment and
Product
Medical equipment Certificate for medical devices
Pharmaceutical product CPP (Certificate of a Pharmaceutical Product)
Chemicals
(Lab) Test Certificate
Certificate of Analysis
MSDS (Material Safety Data Sheet)
HALAL HALAL Certificate
Others Manufactured goods Certificate of Manufacture
Endangered species CITES Certificate
Regulatory Country of Origin Goods under non-
preferential rate Certificate of Origin
14
compliance activity
at exporting country
(and importing
country)
Goods under preferential
rate
FTA Certificate of Origin, GSP Certificate of Origin, GSTP
Certificate of Origin, Origin Declaration, Back to Back Certificate of
Origin, APTA Certificate of Origin
Quota Goods under quota
control VISA
Permit Goods required prior
import permit Import Permit
Licensing TBC
Crew/Passenger Crew/Passenger Crew/Passenger list
Customs Export
clearance (import
clearance)
Import Declaration Export Declaration
AEO AEO List (Profile)
Risk Management Export Declaration
Pay Payment
Trade financing Letter of Credit
Trade settlement Presentation of
trade documents Bill of Exchange etc
15
3. Specification on cross-border trade documents and data
3.1 Business Opportunity Finding
3.1.1 Offer, Counter Offer and Proforma Invoice
Document Title(s) Offer, Counter Offer, Enquiry and brochure
Issuing party Buyer and Seller
(Final) recipient Buyer and Seller
Category Buy/Ship/Pay Buy
UNLK Commercial Transaction
Processes Cross-border process Business Opportunity Finding
Sub process
Products/Services N/A
Technical Standard for Cross-
Border Transactions N/A
International
Convention/Agreement N/A
Bilateral/Regional Agreement N/A
Scope/Services Business Opportunity Finding
Cross-Border Paperless Trade
Project Cases
Korea - Japan e-MP Project,
Private B2B e-Marketplace Amazon, Alibaba
and EC21 etc...
16
Data Elements N/A
Notes
17
3.2 Contract
3.2.1 Contract and Framework Contract
Document Title(s) Contract, Framework Contract
Issuing party Buyer and Seller
Final recipient Buyer and Seller
Category Buy/Ship/Pay Buy
UNLK Commercial Transaction
Processe
s
Cross-border
process Contract
Sub process
Products/Services N/A
Technical Standard for Cross-
Border Transactions N/A
International
Convention/Agreement
United Nations Convention on
the Use of Electronic
Communications in
International Contracts
http://www.uncitral.org/pdf/
english/texts/electcom/06-
57452_Ebook.pdf
Bilateral/Regional Agreement N/A
Scope/Services
To formally and legally enter an
agreement between seller and
buyer on a sale of goods
18
Cross-Border Paperless Trade
Project Cases N/A
Data Elements
Notes
19
3.3 Order and production monitoring
3.3.1 Delivery Forecasting, Order, Proforma Invoice, Dispatch Advice, etc.
Document Title(s) Delivery Forecasting, Order, Proforma Invoice, Dispatch
Advice etc.
Issuing party Buyer, Seller, Manufacturer or agent
Final recipient Buyer, Seller, Manufacturer or agent
Category Buy/Ship/Pay Buy
UNLK Commercial Transaction
Processes Cross-border process Order and production monitoring
Sub process
Products/Services N/A
Technical Standard for Cross-
Border Transactions UN/EDIFACT, ANSI, ODETTE and etc
International
Convention/Agreement
To provide information regarding
order, production, expected date of
arrival and others for business
fulfillment and efficient supply chain
management
Bilateral/Regional Agreement
Scope/Services Business data and document
exchange to enhance efficiency in
20
production and distribution processes
including but not limited to
documents for supply chain
management
Cross-Border Paperless Trade
Project Cases
Private international B2B supply chain
transactions
GM, Chrysler,
Bosch, Renault etc.
Data Elements
Notes
21
3.4 Other commercial measures
3.4.1 Purchase Order, Invoice, Packing List, Bill of Lading Advice etc.
Document Title(s) Purchase Order, Invoice, Packing List, Bill of Lading Advice
etc.
Issuing party Buyer, Seller, Manufacturer or agent
Final recipient Buyer, Seller, Manufacturer or agent
Category Buy/Ship/Pay Buy
UNLK Commercial Transaction
Processes Cross-border process
Other commercial measures including trade
documentation
Sub process
Products/Services N/A
Technical Standard for Cross-
Border Transactions UN/EDIFACT, ANSI, ODETTE and etc
International
Convention/Agreement
United Nations Convention on the
Use of Electronic. Communications in
International Contracts
Bilateral/Regional Agreement N/A
Scope/Services
To develop documents for shipping,
financing and other trade business
fulfillments
22
Cross-Border Paperless Trade
Project Cases
PAA Secure Cross-Border Transaction
Service PAA.net
TEDI project
Data Elements
Notes
23
3.5 Forwarding and cargo handling
3.5.1 Freight Charge Invoice
Document Title(s) Freight Charge Invoice
Issuing party Freight forwarder
Final recipient Freight forwarder
Category Buy/Ship/Pay Ship
UNLK Transport and Related Services
Processes Cross-border process Forwarding and cargo handling
Sub process Freight settlement
Products/Services
Technical Standard for Cross-
Border Transactions N/A
International
Convention/Agreement N/A
Bilateral/Regional Agreement N/A
Scope/Services To issue invoice for a service related
to freight management
Cross-Border Paperless Trade
Project Cases
N/A
Data Elements N/A
Notes N/A
24
25
3.6 Transport
3.6.1 Shipping Schedule, Bay Plan, Stowage Plan, Hatch List, Container Loading List etc.
Document Title(s) Shipping Schedule, Bay Plan, Stowage Plan, Hatch List,
Container Loading List etc.
Issuing party Cross-border Carrier
Final recipient Port and/or CY
Category Buy/Ship/Pay Ship
UNLK Transport and Related Services
Processe
s
Cross-border process Transport
Sub process Loading port activity, unloading port activity
Products/Services N/A
Technical Standard for Cross-
Border Transactions UN/EDIFACT, SMDG BAPLIE message
International
Convention/Agreement N/A
Bilateral/Regional Agreement N/A
Scope/Services
To inform stakeholders on a vessel
and cargo status for future
arrangement of shipping of cargo
Cross-Border Paperless Trade
Project Cases IATA e-Freight
http://www.iata.or
g/whatwedo/cargo
26
/e/efreight/Pages/i
ndex.aspx
Bay Plan Initiative Project (Canada
CBSA with US CBP)
http://www.shipfed
.ca/data/circular_le
tter/9553attach3.p
df
Data Elements
Notes
27
3.6.2 Shipping Schedule, Bay Plan, Stowage Plan, Hatch List, Container Loading List etc.
Document Title(s) DGL (Dangerous Goods List)
Issuing party Exporter
Final recipient Freight Forwarder, Cross-border carrier, Port Authority, CY
Category Buy/Ship/Pay Ship
UNLK Transport and Related Services
Processes Cross-border process Transport
Sub process Loading port activity
Products/Services Dangerous goods
Technical Standard for Cross-
Border Transactions
IATA Dangerous Goods Regulations
(DGR)
International Maritime Dangerous
(IMDG) Code
UN Dangerous Goods List
28
International
Convention/Agreement
International Convention for the
Safety of Life at Sea (SOLAS) and the
International Convention for the
Prevention of Pollution from Ships
(MARPOL 73/78)
HNS Convention
UN Globally Harmonised System of
Classification and Labelling of
Chemicals (GHS).
Bilateral/Regional Agreement N/A
Scope/Services
To declare dangerous goods to
authority and related service
providers
Cross-Border Paperless Trade
Project Cases e-DGR
Data Elements
Notes
29
3.6.3 Master/House Bill of Lading
Document Title(s) Master/House Bill of Lading
Issuing party Freight forwarder, Cross-border carrier
Final recipient Buyer
Category Buy/Ship/Pay Ship
UNLK Transport and Related Services
Processes Cross-border process Transport
Sub process Shipping and cross-border transportation
Products/Services Any
Technical Standard for Cross-
Border Transactions UN/EDIFACT
International
Convention/Agreement
CMI Rules:
“Right of Control and Transfer” (Rule 4)
UNCITRAL Model Law on Electronic
Commerce:
“unique” – Art. 17(3) and (4)
Rotterdam Rules:
“exclusive control” – Art. 1(21) and (22)
(defines “transfer” and “issuance” which
in turn define “holder”)
“right of control” and “controlling party”
30
– Art. 50 and Art.51
eUCP:
Presentation of electronic records (art
e5) (NB notice of completeness art e5(c))
Authentication (art e5(f), art e3(b)(1), art
e12)
Bilateral/Regional Agreement N/A
Scope/Services To hold or transfer the title of goods
Cross-Border Paperless Trade
Project Cases
Bolero Title Registry
uTradeHub e-B/L Central Registry https://www.utr
adehub.or.kr/
ESS-Databridge
Data Elements
Notes
31
3.6.4 Air Way Bill
Document Title(s) AWB (Air Way Bill)
Issuing party Cross-border carrier
Final recipient Buyer
Category Buy/Ship/Pay Ship
UNLK Transport and Related Services
Processes Cross-border process Transport
Sub process Shipping and cross-border transportation
Products/Services N/A
Technical Standard for Cross-
Border Transactions Cargo-IMP, Cargo-XML
International
Convention/Agreement
Montreal Convention (MC99),
Montreal Protocol (MP4), IATA
Resolution 672
Bilateral/Regional Agreement N/A
Scope/Services Non-transferable, proof of holder
Cross-Border Paperless Trade
Project Cases
PAA e-AWB www.paa.net
IATA e-Airway Bill
http://www.iata.or
g/whatwedo/cargo
/e/eawb/Pages/ind
ex.aspx
32
Data Elements
Notes
33
3.6.5 Sea Way Bill
Document Title(s) SWB (Sea Way Bill)
Issuing party Cross-border carrier
Final recipient Buyer
Category Buy/Ship/Pay Ship
UNLK Transport and Related Services
Processes Cross-border process Transport
Sub process Shipping and cross-border transportation
Products/Services N/A
Technical Standard for Cross-
Border Transactions
International
Convention/Agreement
CMI (Committee Maritime
International) Uniform Rules for Sea
Waybills
Bilateral/Regional Agreement N/A
Scope/Services Non-transferable, proof of holder
Cross-Border Paperless Trade
Project Cases
Internet Sea Waybill Transmission by
Hapag-Lloyd
Data Elements
Notes
34
35
3.6.6 Manifest
Document Title(s) (Advance) Manifest
Issuing party Cross-border carrier, Freight Forwarder
Final recipient Port Authority, Customs
Category Buy/Ship/Pay Ship
UNLK Transport and Related Services
Processes
Cross-border
process Transport
Sub process Entry port activity
Products/Services N/A
Technical Standard for Cross-
Border Transactions
WCO SAFE Framework of Standards -
World Customs Organization
International
Convention/Agreement
WCO SAFE Framework of Standards -
World Customs Organization
Bilateral/Regional Agreement TBC
Scope/Services
To inform authority of importing
country on the list of goods and
related stakeholders for advance risk
36
analysis
Cross-Border Paperless Trade
Project Cases
USA AMS
http://www.cbp.gov/
border-
security/ports-
entry/cargo-security
EU ICS
http://ec.europa.eu/
ecip/help/faq/ens7_
en.htm
Japan AFR http://www.naccsce
nter.com/afr/
Data Elements
Notes
37
3.6.7 Transit Declaration
Document Title(s) Transit Declaration
Issuing party Freight Forwarder, ground transport etc.
Final recipient Customs, immigration
Categor
y
Buy/Ship/Pay Ship
UNLK Transport and Related Services
Process
es
Cross-border process Transport
Sub process Transit
Products/Services N/A
Technical Standard for Cross-
Border Transactions
e-TIR
WCO data model
International
Convention/Agreement
TIR Convention (The Convention on
International Transport of Goods Under
Cover of TIR Carnets)
WCO Transit Guideline
Bilateral/Regional Agreement
EAC Single Customs Territory
ASEAN ATIGA Agreement for goods in
transit
Scope/Services To report transit declaration to border
control authorities
38
Cross-Border Paperless Trade
Project Cases
EAC RADDEx 1.0 http://www.compe
teafrica.org/Files/R
ADDEx_2.0_brief_S
ept.2012.pdf EAC RADDEx 2.0,
EAC SCT (Single Customs Territory)
https://www.trade
markea.com/blog/
single-customs-
territory/
COMESA Regional Customs Transit
Guarantee (RCTG) system
http://rctg-
new.comesa.int/
SADC Web based Transit Data Transfer
Module; TDTM
The ASEAN Customs Transit System
(ACTS)
A MODERN
REGIONAL
TRANSIT
TRANSPORT
SYSTEM: ASEAN
CUSTOMS
TRANSIT SYSTEM
(ACTS) TO ENSURE
AEC TRADE
FACILITATION
39
e-TIR
http://www.unece.
org/trans/bcf/etir/
welcome.html
UNDA Project on Customs-to
Customs(C2C) electronic information
exchange for transit
http://www.unece.
org/fileadmin/DA
M/trans/doc/them
es/UNDAC2C/Flyer
_UNDA_TIR.pdf
Data Elements
Notes
40
3.6.8 Transit Bond
Document title(s) Transit Bond (ATA Carnet, RCTG Carnet)
Issuing party
Final recipient
Category Buy/Ship/Pay Ship
UNLK Transport and Related Services
Processes Cross-border process Transport
Sub process Transit
Products/Services N/A
Technical Standard for Cross-
Border Transactions
International
Convention/Agreement
Customs Convention on the ATA
carnet for the temporary admission
of goods (ATA Convention)
Istanbul Convention on Temporary
Admission
Bilateral/Regional Agreement
COMESA CARNET (RCTGCARNET)/or
COMESA Treaty (COMESA Protocol
on Transit Trade and Transit
Facilitation, Annex I)
Scope/Services
41
Cross-Border Paperless Trade
Project Cases
COMESA Regional Customs Transit
Guarantee (RCTG) system
http://rctg-
new.comesa.int/
Data Elements
Notes
42
3.6.9 Cargo status
Document title(s) Cargo status
Issuing party Cross-border carrier, Freight Forwarder, Port Authority,
Customs etc.
Final recipient Trading company, Freight Forwarder, Port Authority,
Customs etc.
Category Buy/Ship/Pay Ship
UNLK Transport and Related Services
Processes Cross-border process Transport
Sub process Cargo tracking
Products/Services N/A
Technical Standard for Cross-
Border Transactions UN/EDIFACT, ANSI, ODETTE and etc
International
Convention/Agreement
Bilateral/Regional Agreement
Memorandum of Understanding on
the Cooperation Mechanism of
Northeast Asia Logistics Information
Service Network
Scope/Services
Cross-Border Paperless Trade PAA Cargo Visibility
43
Project Cases NEAL-NET
http://www.nealne
t.org/
Data Elements
Notes
44
3.7 Insurance
3.7.1 Insurance Policy
Document Title(s) Insurance Policy
Issuing party Insurance company
Final recipient Seller and/or Buyer
Category Buy/Ship/Pay Ship
UNLK Transport and Related Services
Processes Cross-border process Insurance
Sub process Insurance
Products/Services N/A
Technical Standard for Cross-
Border Transactions UN/EDIFACT
International
Convention/Agreement
Bilateral/Regional Agreement
Scope/Services
45
Cross-Border Paperless Trade
Project Cases
Lloyd's Electronic Cargo Certificates
(LECC)
Data Elements
Notes
46
3.8 Conformity certifying activity
3.8.1 Phyto-Sanitary Certificate
Document Title(s) Phyto-Sanitary Certificate
Issuing party National Plant Protection Organization (exporting country)
Final recipient National Plant Protection Organization (importing country)
Category Buy/Ship/Pay Ship
UNLK Official Control
Processes Cross-border process
Conformity Certifying activity at exporting country and
importing country
Sub process Quarantine
Products/Services Plants
Technical Standard for Cross-
Border Transactions
e-phyto (UN/EDIFACT SPS XML
Schema, UN/EDIFACT encryption
system, Communication on status of
message exchange between NPPOs
etc.)
http://ephyto.ippc.
int/
International
Convention/Agreement
IPPC (International Plant Protection
Convention)
http://ephyto.ippc.
int/
Bilateral/Regional Agreement
Scope/Services
47
Cross-Border Paperless Trade
Project Cases
e-Phyto exchange (ROK-Netherland,
China-Netherland, Kenya-Netherland)
e-Phyto HuB
EU SEED (Systematic Electronic
Exchange of Data)
http://www.eu-
seed.net/pages/pr
ojectinfo.aspx
Data Elements
Notes
48
3.8.2 Fumigation Certificate
Document Title(s) Fumigation Certificate
Issuing party Fumigation Service Provider
Final recipient National Plant Protection Organization (importing country)
Category Buy/Ship/Pay Ship
UNLK Official Control
Processes Cross-border process
Conformity Certifying activity at exporting country and
importing country
Sub process Quarantine
Products/Services Agricultural product
Technical Standard for Cross-
Border Transactions N/A
International
Convention/Agreement N/A
Bilateral/Regional Agreement N/A
Scope/Services N/A
Cross-Border Paperless Trade
Project Cases N/A
Data Elements N/A
Notes N/A
49
50
3.8.3 Veterinary Certificate
Document Title(s) Veterinary Certificate (Certificate of Veterinary Issuance)
Issuing party Veterinary Authority of the exporting country
Final recipient Veterinary Authority of the importing country
Category Buy/Ship/Pay Ship
UNLK Official Control
Processes
Cross-border
process
Conformity Certifying activity at exporting country and importing
country
Sub process Quarantine
Products/Services Animals
Technical Standard for
Cross-Border
Transactions
UN/EDIFACT eCert
International
Convention/Agreement OIE e-Certification
http://web.oie.int/eng/normes/mcode/
en_chapitre_1.5.2.pdf
Bilateral/Regional
Agreement
Scope/Services
Cross-Border Paperless
Trade Project Cases
eCert (Australia-Japan)
eCert (New Zealand-USA)
Data Elements
51
Notes
52
3.8.4 BSE/TSE Free Certificate
Document Title(s) BSE/TSE Free Certificate
Issuing party Veterinary Authority of the exporting country
Final recipient Veterinary Authority of the importing country
Category Buy/Ship/Pay Ship
UNLK Official Control
Processes Cross-border process
Conformity Certifying activity at exporting country and
importing country
Sub process Quarantine
Products/Services Animals
Technical Standard for Cross-
Border Transactions N/A
International
Convention/Agreement N/A
Bilateral/Regional Agreement N/A
Scope/Services N/A
Cross-Border Paperless Trade
Project Cases N/A
Data Elements N/A
Notes N/A
53
54
3.8.5 Common Veterinary Entry Document
No. Document
(and related process) Common Veterinary Entry Document
Issuing party Veterinary Authority of the exporting country
Final recipient Veterinary Authority of the importing country
Category Buy/Ship/Pay Ship
UNLK Official Control
Processes Cross-border process
Conformity Certifying activity at exporting country and
importing country
Sub process Quarantine
Products/Services animals, semen and embryo, food, feed and plants
Technical Standard for Cross-
Border Transactions
International
Convention/Agreement
Bilateral/Regional Agreement The EU Commission Decision
2004/292/EC
Scope/Services
Common Veterinary Entry Documents
for animals and products entering the
European Union
Cross-Border Paperless Trade TRACES (Trade Control and Expert http://ec.europa.e
55
Project Cases System) u/food/animal/dis
eases/traces/index
_en.htm
Data Elements
Notes
56
3.8.6 Sanitary Certificate
Document Title(s) Sanitary Certificate
Issuing party Veterinary Authority of the exporting country
Final recipient Veterinary Authority of the importing country
Category Buy/Ship/Pay Ship
UNLK Official Control
Processes Cross-border process
Conformity Certifying activity at exporting country and
importing country
Sub process Quarantine
Products/Services Animals, fishery and others
Technical Standard for Cross-
Border Transactions
International
Convention/Agreement
Bilateral/Regional Agreement
Scope/Services
Cross-Border Paperless Trade
Project Cases
e-Cert (Australia, New Zealand, USA
and Canada),
http://www.unec
e.org/fileadmin/
DAM/trade/secur
ity_conf03/docs/
brochure%20info
57
Data Elements
Notes
58
3.8.7 Pharmaceutical Certificate
Document Title(s) Pharmaceutical Certificate
Issuing party Drug regulatory authority
Final recipient Drug regulatory authority
Category Buy/Ship/Pay Ship
UNLK Official Control
Processes Cross-border process
Conformity Certifying activity at exporting country and
importing country
Sub process Quarantine
Products/Services Pharmaceutical drugs
Technical Standard for Cross-
Border Transactions N/A
International
Convention/Agreement N/A
Bilateral/Regional Agreement N/A
Scope/Services N/A
Cross-Border Paperless Trade
Project Cases N/A
Data Elements
• Exporting country
• Importing country
• Name, dosage (pharmaceutical)
59
form and composition of the
product [active ingredient(s) and
amount(s) per unit dose]
• Information on registration
(licensing) and marketing
(presence on the market) status
of the product in the exporting
country
• Number of product license
(including license holder details,
license holder’s involvement in
manufacturing if any) and date of
issue, if applicable
• Appended summary of technical
basis on which the product has
been licensed (if required by the
issuing authority)
• Appended current product
information
• Details on the applicant for the
CPP
• If marketing authorization is
60
lacking in the exporting country,
information about reasons
Notes N/A
61
3.8.8 Health Certificate
Document Title(s) Health Certificate
Issuing party
Final recipient
Category Buy/Ship/Pay Ship
UNLK Official Control
Processes Cross-border process
Conformity Certifying activity at exporting country and
importing country
Sub process Quarantine
Products/Services Other food and drugs
Technical Standard for Cross-
Border Transactions
International
Convention/Agreement
Bilateral/Regional Agreement
Scope/Services
Cross-Border Paperless Trade
Project Cases
Data Elements
Notes
62
3.8.9 Food Certificate
Document Title(s) Food Certificate
Issuing party
Final recipient
Category Buy/Ship/Pay Ship
UNLK Official Control
Processes Cross-border process
Conformity Certifying activity at exporting country and
importing country
Sub process Quarantine
Products/Services Other food and drugs
Technical Standard for Cross-
Border Transactions The Codex Alimentarius
http://www.fao.org
/fao-who-
codexalimentarius/
standards/en/
International
Convention/Agreement Codex Alimentarius Commission
Bilateral/Regional Agreement
Scope/Services
Cross-Border Paperless Trade
Project Cases
Data Elements
63
Notes
64
3.8.10 Organic Certificate
Document title(s) Organic Certificate
Issuing party
Final recipient
Category Buy/Ship/Pay Ship
UNLK Official Control
Processes Cross-border process
Conformity Certifying activity at exporting country and
importing country
Sub process Quarantine
Products/Services Other food and drugs
Technical Standard for Cross-
Border Transactions N/A
International
Convention/Agreement N/A
Bilateral/Regional Agreement N/A
Scope/Services N/A
Cross-Border Paperless Trade
Project Cases N/A
Data Elements N/A
Notes N/A
65
3.8.11 Certificate of Environmental Radioactivity Level
Document Title(s) Certificate of Environmental Radioactivity Level
Issuing party
Final recipient
Category Buy/Ship/Pay Ship
UNLK Official Control
Processes Cross-border process
Conformity Certifying activity at exporting country and
importing country
Sub process Quarantine
Products/Services Other food and drugs
Technical Standard for Cross-
Border Transactions
International
Convention/Agreement
Bilateral/Regional Agreement
Scope/Services
Cross-Border Paperless Trade
Project Cases
Data Elements
Notes
66
3.8.12 ISO and other international standards and quality certificates
Document Title(s) ISO and other international standards and quality
certificates
Issuing party
Final recipient
Category Buy/Ship/Pay Ship
UNLK Official Control
Processes Cross-border process
Conformity Certifying activity at exporting country and
importing country
Sub process Standards and quality control
Products/Services General
Technical Standard for Cross-
Border Transactions
International
Convention/Agreement ISO
Bilateral/Regional Agreement
Scope/Services
Cross-Border Paperless Trade
Project Cases
Data Elements
Notes
67
68
3.8.13 National standard and quality certificates
Document Title(s) National standard and quality certificates
Issuing party National or Certified Conformity Body
Final recipient National or Certified Conformity Body
Category Buy/Ship/Pay Ship
UNLK Official Control
Processes Cross-border process
Conformity Certifying activity at exporting country and
importing country
Sub process Standards and quality control
Products/Services General
Technical Standard for Cross-
Border Transactions N/A
International
Convention/Agreement N/A
Bilateral/Regional Agreement N/A
Scope/Services
To proof that the goods (and
services) are in conformity with
specific national regulatory
requirements on standard and quality
of goods and services
Cross-Border Paperless Trade N/A
69
Project Cases
Data Elements
Notes
70
3.8.14 (Lab) Test Certificate
No. Document (Lab) Test Certificate
Issuing party Certified Laboratory in exporting country
Final recipient Customs and/or OGAs
Category Buy/Ship/Pay Ship
UNLK Official Control
Processes Cross-border process
Conformity Certifying activity at exporting country and
importing country
Sub process Standards and quality control
Products/Services Electronics
Technical Standard for Cross-
Border Transactions IEC NCB
International
Convention/Agreement
Bilateral/Regional Agreement
Scope/Services
Cross-Border Paperless Trade
Project Cases
Data Elements
Notes
71
72
3.8.15 Certificate of Analysis
No. Document
(and related process) Certificate of Analysis
Issuing party
Final recipient
Category Buy/Ship/Pay Ship
UNLK Official Control
Processes Cross-border process
Conformity Certifying activity at exporting country and
importing country
Sub process Standards and quality control
Products/Services Electronics
Technical Standard for Cross-
Border Transactions
International
Convention/Agreement
Bilateral/Regional Agreement
Scope/Services
Cross-Border Paperless Trade
Project Cases
Data Elements
Notes
73
74
3.8.16 Certification of Electrical and Electronic Components, Equipment and Product
Document Title(s) Certification of Electrical and Electronic Components,
Equipment and Product
Issuing party
Final recipient
Category Buy/Ship/Pay Ship
UNLK Official Control
Processes Cross-border process
Conformity Certifying activity at exporting country and
importing country
Sub process Standards and quality control
Products/Services Electronics
Technical Standard for Cross-
Border Transactions
International
Convention/Agreement
Bilateral/Regional Agreement
Scope/Services
Cross-Border Paperless Trade
Project Cases
Data Elements
Notes
75
76
3.8.17 Certificate for medical devices
Document Title(s) Certificate for medical devices
Issuing party
Final recipient
Category Buy/Ship/Pay Ship
UNLK Official Control
Processes Cross-border process
Conformity Certifying activity at exporting country and
importing country
Sub process Standards and quality control
Products/Services Medical equipment
Technical Standard for Cross-
Border Transactions
International
Convention/Agreement
Bilateral/Regional Agreement
Scope/Services
Cross-Border Paperless Trade
Project Cases
Data Elements
Notes
77
3.8.18 Certificate of a Pharmaceutical Product
Document Title(s) CPP (Certificate of a Pharmaceutical Product)
Issuing party
Final recipient
Category Buy/Ship/Pay Ship
UNLK Official Control
Processes Cross-border process
Conformity Certifying activity at exporting country and
importing country
Sub process Standards and quality control
Products/Services Pharmaceutical product
Technical Standard for Cross-
Border Transactions
WHO Model certificate of a
pharmaceutical product
International
Convention/Agreement
Guidelines on the implementation of
the WHO certification scheme on the
quality of pharmaceutical products
moving in international commerce
Bilateral/Regional Agreement
Scope/Services
Cross-Border Paperless Trade
Project Cases
Data Elements
78
Notes
79
3.8.19 (Lab) Test Certificate
No. Document
(and related process) (Lab) Test Certificate
Issuing party
Final recipient
Category Buy/Ship/Pay Ship
UNLK Official Control
Processes Cross-border process
Conformity Certifying activity at exporting country and
importing country
Sub process Standards and quality control
Products/Services Chemicals
Technical Standard for Cross-
Border Transactions
International
Convention/Agreement
Bilateral/Regional Agreement
Scope/Services
Cross-Border Paperless Trade
Project Cases APLAC (ILAC) MRA
https://www.aplac.
org/aplac_mra.htm
l
80
APEC TEL MRA
http://www.apec.or
g/Groups/SOM-
Steering-
Committee-on-
Economic-and-
Technical-
Cooperation/Work
ing-
Groups/Telecomm
unications-and-
Information/APEC_
TEL-MRA.aspx
OECD MAD
http://www.oecd.o
rg/chemicalsafety/
testing/mutualacc
eptanceofdatamad
.htm
IECEE MRA
http://www.iecee.o
rg/cbscheme/pdf/i
ecee02.pdf
Data Elements
Notes
81
82
3.8.20 Certificate of Analysis
Document Title(s) Certificate of Analysis
Issuing party
Final recipient
Category Buy/Ship/Pay Ship
UNLK Official Control
Processes Cross-border process
Conformity Certifying activity at exporting country and
importing country
Sub process Standards and quality control
Products/Services Chemicals
Technical Standard for Cross-
Border Transactions
International
Convention/Agreement
Bilateral/Regional Agreement
Scope/Services
Cross-Border Paperless Trade
Project Cases
APLAC (ILAC) MRA https://www.aplac.or
g/aplac_mra.html
APEC TEL MRA
http://www.apec.org
/Groups/SOM-
Steering-
83
Committee-on-
Economic-and-
Technical-
Cooperation/Workin
g-
Groups/Telecommu
nications-and-
Information/APEC_T
EL-MRA.aspx
OECD MAD
http://www.oecd.org
/chemicalsafety/testi
ng/mutualacceptanc
eofdatamad.htm
IECEE MRA
http://www.iecee.or
g/cbscheme/pdf/iec
ee02.pdf
Data Elements
Notes
84
3.8.21 Material Safety Data Sheet
Document Title(s) MSDS (Material Safety Data Sheet)
Issuing party Exporter
Final recipient Customs, Port Authority, CY etc.
Category Buy/Ship/Pay Ship
UNLK Official Control
Processes Cross-border process
Conformity Certifying activity at exporting country and
importing country
Sub process Standards and quality control
Products/Services Chemicals
Technical Standard for Cross-
Border Transactions N/A
International
Convention/Agreement N/A
Bilateral/Regional Agreement N/A
Scope/Services N/A
Cross-Border Paperless Trade
Project Cases N/A
Data Elements N/A
Notes N/A
85
3.8.22 Halal Certificate
Document Title(s) Halal Certificate
Issuing party
Final recipient
Category Buy/Ship/Pay Ship
UNLK Official Control
Processes
Cross-border
process
Conformity Certifying activity at exporting country and
importing country
Sub process Standards and quality control
Products/Services Halal
Technical Standard for Cross-
Border Transactions
International
Convention/Agreement
Bilateral/Regional Agreement
Scope/Services
Cross-Border Paperless Trade
Project Cases
Data Elements
Notes
86
3.8.23 Certificate of Manufacture
Document Title(s) Certificate of Manufacture
Issuing party
Final recipient
Category Buy/Ship/Pay Ship
UNLK Official Control
Processes
Cross-border
process
Conformity Certifying activity at exporting country and
importing country
Sub process Others
Products/Services
Technical Standard for Cross-
Border Transactions
International
Convention/Agreement
Bilateral/Regional Agreement
Scope/Services
Cross-Border Paperless Trade
Project Cases
Data Elements
Notes
87
3.8.24 CITES Certificate
Document Title(s) CITES Certificate
Issuing party
Final recipient
Category Buy/Ship/Pay Ship
UNLK Official Control
Processes
Cross-border
process
Conformity Certifying activity at exporting country and
importing country
Sub process Others
Products/Services Endangered species
Technical Standard for Cross-
Border Transactions
The CITES electronic
permitting toolkit
International
Convention/Agreement
the Convention on
International Trade in
Endangered Species of Wild
Fauna and Flora
Bilateral/Regional Agreement
Scope/Services
Cross-Border Paperless Trade
Project Cases
e-CITES
Data Elements
88
Notes
89
3.9 Regulatory compliance activity
3.9.1 Certificate of Origin
Document Title(s) Certificate of Origin
Issuing party Ministry of Commerce, Customs or Chamber of Commerce
Final recipient Customs, Buyer
Category Buy/Ship/Pay Ship
UNLK Official Control
Processes Cross-border process
Regulatory compliance activity at exporting country (and
importing country)
Sub process Country of Origin
Products/Services Non-preferential goods
Technical Standard for Cross-
Border Transactions UN/EDIFACT, WCO DM, ICC
International
Convention/Agreement
Bilateral/Regional Agreement MOU between Korea and
Taiwan
Scope/Services
Cross-Border Paperless Trade
Project Cases
Korea - Taiwan(China) e-C/O
ICC CO Verification website https://certificates.iccwbo.org/
Data Elements
90
Notes
91
3.9.2 Preferential Certificate of Origin
Document Title(s)
FTA Certificate of Origin, GSP Certificate of Origin, GSTP
Certificate of Origin, Origin Declaration, Back to Back
Certificate of Origin, APTA Certificate of Origin
Issuing party Ministry of Commerce, Customs or Chamber of Commerce
Final recipient Customs
Category Buy/Ship/Pay Ship
UNLK Official Control
Processes Cross-border process
Regulatory compliance activity at exporting country (and
importing country)
Sub process Country of Origin
Products/Services Goods under preferential rate
Technical Standard for Cross-
Border Transactions UN/EDIFACT, WCO DM
International
Convention/Agreement
Bilateral/Regional Agreement
ATIGA
China – Hong Kong (?)
China – Macau (?)
China – Taiwan (?)
China – Korea FTA
92
Scope/Services
Cross-Border Paperless Trade
Project Cases
ASEAN NSW ATIGA Form D
http://asw.asean.or
g/
http://unnext.unes
cap.org/tools/dhm
g-annex4-1.pdf
China - Hong Kong (China) e-C/O
https://www.tid.go
v.hk/english/cepa/f
iles/annex3.pdf
China - Taiwan (China) e-C/O
http://www.e-to-
china.com/tariff_ch
anges/Policy_Focu
s/2014/0401/1121
14.html
WAEMU Pilot projects to set up an
electronic certificate of origin exchange
platform in AFRICA
http://www.gainde
2000.sn/2014/en/n
ews-10.php
http://www.unece.
org/fileadmin/DA
M/cefact/cf_plenar
y/plenary14/ECE_T
RADE_C_CEFACT_2
93
014_4E_Rapporteu
rAfrique.pdf
Data Elements
Notes
94
3.9.3 Import Permit
Document Title(s) Import Permit
Issuing party Customs or OGAs
Final recipient Customs or OGAs
Category Buy/Ship/Pay Ship
UNLK Official Control
Processes Cross-border process
Regulatory compliance activity at exporting country (and
importing country)
Sub process Permit
Products/Services
Technical Standard for Cross-
Border Transactions N/A
International
Convention/Agreement N/A
Bilateral/Regional Agreement N/A
Scope/Services N/A
Cross-Border Paperless Trade
Project Cases N/A
Data Elements N/A
Notes N/A
95
3.9.4 Crew/Passenger list
Document Title(s) Crew/Passenger list
Issuing party Cross-border carrier
Final recipient Immigration and/or Customs
Category Buy/Ship/Pay Ship
UNLK Official Control
Processes Cross-border process
Regulatory compliance activity at exporting country (and
importing country)
Sub process Crew/Passenger
Products/Services Crew/Passenger
Technical Standard for Cross-
Border Transactions
International
Convention/Agreement
Bilateral/Regional Agreement
Scope/Services
Cross-Border Paperless Trade
Project Cases
APIS (Advanced Passenger
Information System)
Data Elements
Notes
96
97
3.10 Customs Clearance
3.10.1 Customs Export Declaration
Document Title(s) Customs Export Declaration
Issuing party Customs in exporting country
Final recipient Exporter or Customs in importing country
Category Buy/Ship/Pay Ship
UNLK Official Control
Processes
Cross-border process Export clearance (and import clearance)
Sub process Import Declaration
Risk Management
Products/Services
Technical Standard for Cross-
Border Transactions
International
Convention/Agreement
Bilateral/Regional Agreement
Scope/Services
Cross-Border Paperless Trade
Project Cases
Asian Region Customs EDI project
Korea-Philippines
EEC //
98
ASW pilot project
Data Elements
Notes Globally Networked Customs
(Concept)
http://www.wcoom
d.org/en/topics/fa
cilitation/activities-
and-
programmes/gnc.a
spx
99
3.10.2 AEO List (Profile)
Document Title(s) AEO List (Profile)
Issuing party Customs
Final recipient Customs
Category Buy/Ship/Pay Ship
UNLK Official Control
Processes Cross-border process Export clearance (and import clearance)
Sub process AEO
Products/Services
Technical Standard for Cross-
Border Transactions
International
Convention/Agreement
Bilateral/Regional Agreement
Scope/Services
Cross-Border Paperless Trade
Project Cases Malaysia – Japan MRA
Data Elements
Notes
100
101
3.11 Trade Financing
3.11.1 Letter of Credit
No. Document
(and related process) Letter of Credit
Issuing party Issuing Bank
Final recipient Seller
Category Buy/Ship/Pay Pay
UNLK Payment
Processes Cross-border process Trade financing
Sub process
Products/Services
Technical Standard for Cross-
Border Transactions
UN/EDIFACT
SWIFT
International
Convention/Agreement SWIFT (TBC)
Bilateral/Regional Agreement N/A
Scope/Services To issue Letter of Credit and
transfer it to notify bank
Cross-Border Paperless Trade
Project Cases
uTradeHub trade financing Utradehub.or.kr
SWIFT TSU & BPO Applications for Supply
Chain Management, Trade
102
Services Utility 2.0.2,
Release Letter
http://www.swift.com/asse
ts/corporates/documents/
business_areas/trade_case
_study_vale_bank_of_tokyo
_mitsubishi.pdf
TradeCard http://www.gtnexus.com/
Data Elements
Notes
103
3.12 Trade Settlement
3.12.1 Bill of Exchange etc.
Document Title(s) Bill of Exchange etc. (with Letter of Credit, Bill of Lading,
Invoice, Packing List)
Issuing party Exporter(Seller)
Final recipient Bank (or Importer)
Category Buy/Ship/Pay Pay
UNLK Payment
Processes
Cross-border
process
Trade settlement
Sub process Presentation of trade documents
Products/Services
Technical Standard for Cross-
Border Transactions UN/EDIFACT
International
Convention/Agreement
Bilateral/Regional Agreement
Scope/Services
Cross-Border Paperless Trade
Project Cases Bolero e-L/C
http://www.bolero.
net/products
104
Bolero e-Presentation
http://www.bolero.
net/products/elect
ronic-document-
presentation
TEDI
Private online payment tool (PayPal,
Alipay)
Paypal.com and
Alipay.com
uTradeHub e-Nego service https://www.utrad
ehub.or.kr/
SWIFT TSU & BPO
Applications for
Supply Chain
Management,
Trade Services
Utility 2.0.2,
Release Letter
http://www.swift.c
om/assets/corpora
tes/documents/bu
siness_areas/trade
_case_study_vale_b
ank_of_tokyo_mits
ubishi.pdf
105
TradeCard http://www.gtnexu
s.com/
Data Elements
Notes
106
4. Cross-border paperless trade project directory
4.1 International supply chain and EDI
In the past, the only way to move paper documents was mailing or using a courier service. With the introduction of faxmachine in 1960s,
international trade community welcomed this new vehicle and it quickly became a dominant tool for business communication. However, it remained
as an information transmitter with no other options. So, when EDI message formats and VANs brought the first effective support for electronic
document exchange, EDI deployments quickly expanded from the transportation sector to many other industries. While originally limited to the
largest firms in these sectors, many SMBs have since adopted EDI as well.
Currently, there are open international, national and industry standards defining the format of EDI documents. Most widely accepted EDI standard is
the UN/EDIFACT standard. And various sub-versions such as ODETTE for European automotive sector have been derived from it. Another dominant
standard is ANSI X12. It is widely used in the Americas and it provides guidelines for more than 300 standard business documents and supports
industry-specific variations like UCS (grocery and retail) and VICS (retail and CPG) that provide additional message format details used in these
sectors.
107
Table 7 Typical open B2B EDI message standards
Before the implementation of EDI, the general procurement procedure is as below:
• The buyer determines to place an order after querying the inventory system or inventory system automatically notifies the buyer
• The buyer creates the Purchase Order by entering data into the purchasing system, prints, signs and/or stamps and mails it
• Days after, the supplier receives the Purchase Order and manually enters order information into the sales system
108
• When shipment is ready, the supplier prints an Invoice and other shipping documents and encloses them with the shipment and/or
sends it separately by mail
• The buyer receives Invoice and other shipping documents manually and enters the information into the accounts system
In general, depending on the distances and logistics infrastructure, the exchange of paper documents can take days to the process. If there are errors
caused by manual data entry, the time can be greatly increased. However, with the introduction of EDI, there was a big change in doing business
because this EDI process can be completed within hours saving time and cost of both parties compared to the manual process. The procurement
procedure with EDI will be as below:
• The buyer’s procurement system automatically generates and places an EDI-formatted (or any other format) Purchase Order when
inventory reaches the critical level.
• Within minutes the supplier ’s sales system receives the EDI Purchase Order, notifies the shipping department to ship the goods and
generates an EDI Invoice to be transmitted directly to the buyer’s accounts system
With the improvement of IT technology and outspread of global sourcing in procurement, major multi-national companies have implemented
advanced supply chain management system or supplier relationship management system beyond automated procurement system to reduce
inventory cost and to expand the visibility.
Supply chain planning process
109
• Market research
• Demand forecast (6 months, 3 months, 2 months 150 days)
• Determine Inventory level
• Place forecast, order
• Manage material production status
• Review inventory level
• Adjust demand forecast
Table 8 Typical online B2B transaction documents
110
Traditionally, EDI was the most dominant B2B transaction message. But it is not the fact in recent years. There was a very interesting survey on B2B
transactions conducted by Forrest Research. The result indicates that the most common message format (42% of the total) is now spreadsheets and
other text documents. EDI comes in a close second (41%); followed by industry standard XML (36%); financial formats like SWIFT (35%); flat files
(33%); proprietary XML (25%); and RosettaNet (21%)5.
EDI is no longer the most dominant message format but EDI transactions are rather increasing. In fact, a review of the EDI volume statistics indicates
that the annual volume of global EDI transactions exceeds 20 billion per year and is still growing6 even excluding direct B2B transactions.
5 The future of EDI, 2011, Forrester Research
6 The Forrest Wave: B2B Service Providers, Q4 2009, 2009
111
Figure 1 B2B data formats of enterprises
The research also states that “the annual volume of global EDI transactions exceeds 20 billion per year and is still growing.” For buyers that handle
numerous transactions, using EDI can result in millions of dollars of annual savings due to early payment discounts. From a financial perspective
alone, there are impressive benefits from implementing EDI. Exchanging documents electronically improves transaction speed and visibility while
decreasing the amount of money you spend on manual processes. But cost savings is far from the only benefit of using EDI.
4.2 Electronic Marketplace for international trade and transactions
In early 2000, some governments had tried to incubate online Marketplace industry and spent huge budget to support them as they saw huge
potential that this emerging internet technology could bring to the international trade. But most of their efforts were in vain, most probably because
112
it was too early to incubate those in the immature market or government led e-marketplace were not efficient nor adaptive to the change of market
demands. However, there have been continuous efforts from private sectors to innovate business practice from offline to online and some of them
results huge success changing the paradigm of trade business. Now the recent huge success of one cross-border e-commerce service provider;
Alibaba became a phenomenon among the related department of governments and many of them are putting their nose again into the e-
MarketPlace business. In the past, the business of area of e-MarketPlace were only matchmaking business to other business before the contract, but,
as shown in Figure below, they are evolving into actual transaction and post-transaction service providers covering contract and post-contract trade
services areas.
113
Figure 2 Immerging Third Party Platforms in China7
4.3 Cross-border logistics information sharing – Neal-Net8
Background
Three countries in North East Asia; China, Japan and Republic of Korea, have traditionally emphasized on the important role of international trade in
7 Integrated Foreign Trade Service Platform Based on PPP Model in China, Prof. Jian Wang (2015)
8 Most information is quoted from the official Neal-net website, http://www.nealnet.org/
114
their economic growth. Nowadays, the economies of the three countries are more interconnected under value chains with each other and the
efficiency of the logistics sector is more important than ever. The increasing sub-regional trade led the surge of transport volume and calls for
seamless logistics information systems preferential policies for the facilitation of cargo movement between the three countries. However, the current
logistics information transmits inefficiently information islands occur, resulting in high cost low efficiency of the logistics sector.
To improve the logistics service capacity efficiency of Northeast Asia, a cooperative mechanism on North-East Asia Logistics Information Service
Network (NEAL-NET) was agreed in the Third China-Japan-Korea Ministerial Conference on Transport Logistics and the 1st NEAL-NET Council Meeting
was held in December 2010. NEAL-NET is a transnational, non-profit cooperative mechanism for logistics information exchange, sharing technological
cooperation. The objective of NEAL-NET is as follow;
1. To interconnect logistics information systems of China Japan and Republic of Korea
2. To encourage researches on logistics information standards technologies
3. To promote technological exchange, training popularization of logistics information systems
Accomplishments and limitations
At this stage, NEAL‐NET cooperation mainly focuses on International Marine Transport. Since container transport is the most mature and
standardized international transport business, at the very first step, container transport was selected as contents of pilot program.
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Figure 3 Event based data sharing model of NEAL-NET9
Container status tracking is a typical case of tracking business. More than 9 basic events were abstracted and technical framework was designed by
NEAL‐NET. Defined dynamic vessel status and container status sharing standards are as below:
• Vessel related properties: ETA (Estimated Time of Arrival), ATA (Actual time of Arrival), Cy‐Open (Container Yard Open), Cy‐Cut
(Container Yard Cut), ATD (Actual Time of Departure)
• Container properties: Unloading, Container departure, Container Entering, Loading.
9 Toward the realization of SCV, A Introduction of NEAL‐NET, 2012
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To evaluate the function of interface, pilot project was conducted by selected typical platforms and ports in China, Japan and the Rep. of Korea
respectively. China selected National Public Information Sharing Platform for Transportation & Logistics (LOGINK) and Ningbo‐Zhoushan Port to join
evaluation. Japan selected Tokyo‐Yokohama Port to join evaluation and Korea selected SPIDC as Korean plat form and Busan Port to join the
evaluation. China, Japan and the Rep. of Korea platforms provided query interface of container status and dynamic vessel schedule which comply
with NEAL‐NET Standard. In 2012, the pilots went successfully achieving its first stage.
Now NEAL-NET is expanding its coverage to other ports in the sub-region and planning to expand to EU and ASEAN in that near future. It is also
hoped that in the near future, logistics information sharing could be expanded to Air Transport and International Railway or Truck Transport through
NEAL-NET.
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Figure 4 Logistics information sharing of NEAL-NET
There are some concerns regarding the service and expansion of NEAL-NET. NEAL-NET has spent huge resource to harmonize the codes and
document slowing down its implementation and lots of capacity building programs have been provided to port operators at a sub-regional level.
However as there has been no international standards for logistics information sharing, except some commercial services, many existing public
logistics system does not have capability in its platform to interconnect with NEAL-NET nor meets the standards that NEAL-NET has developed.
Some other constraint is that some existing logistics platform are selling the logistics information at commercial base while NEAL-NET is a non-profit
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organization and there could be a conflict in the expansion of the NEAL-NET.
4.4 Cross-Border exchange of e-Phyto Certificate
Background
Introduction of electronic Certificate of Sanitary and Phyto-Sanitary have been subject of discussion for many years. Sanitary and Phyto-sanitary (SPS)
certificates are required for the majority of agricultural products traded around the world. On these certificates exporting countries verify food safety
and that the product meets the requirements of the importing country.
One of the early initiative on e-Certificate of Sanitary and Phyto-Sanitary was led by Australia and New Zealand. Two governments have
collaborated to develop and implement a web based system for electronic Certificate of Sanitary and Phyto-Sanitary, known as E-cert. This
partnership was formed following the Food Safety Quadrilaterals in Hawaii in 2002 where Australia, New Zealand, Canada and the USA made
commitments to trial E-cert for meat shipments during 200310. A pilot System was released on 1 July 2003 and went ‘live’ in early 2004. This e-Cert
project between Australia and New Zealand was very meaning and gain international attention as a pioneering G2G project. APEC endorsed it as a
one of paperless trade path finder projects at the APEC Leaders meeting in Los Cabos in 2002 and e-SPS was included in APEC Trade Facilitation
10 E-cert FACT SHEET – Australian Quarantine and Inspection Service
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Action Plan. But it has its limits as the system was available for read only access over the web helping other government agencies verifying the
contents of the Certificate reducing the opportunity for fraudulent activity.
Phyto-Sanitary Certificate is an official document issued by the national plant protection organization (NPPO) of the exporting country to the
national plant protection organization (NPPO) of the importing country. It certifies that the plants or plant products covered by the certificate have
been inspected per appropriate procedures and are free from pests and that they are considered to conform to the current phyto-sanitary
regulations of the importing country. With the current concerns over health and food safety and the viral spread of disease, there is great interest in
facilitating the movement of safe agricultural commodities.
History of e-Phyto Certificate initiatives
The first International Plant Protection Convention (IPPC) meeting on Phyto-Sanitary Certificate was held in Wageningen, the Netherlands in January
2006. During this meeting the possibilities and developments needed were discussed.
An expert working group (EWG) met in February 2008 to revise ISPM 7:1997 (Export certification system) and ISPM 12:2001 (Guidelines for
phytosanitary certificates). During the revision, it was recognized specific guidance would be needed to deal with electronic certificates and a blank
Appendix 1 (Electronic certification, information on standard XML schemes and exchange mechanisms) was included in the ISPM 12:2011
(Phytosanitary certificates). The report of this meeting can be found on the IPPC website.
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Figure 5 Phyto-Sanitary Certificate and e-Phyto
e-Phyto certification standards and procedures
IPPC has come up with a cross-border e-Phyto certification procedures through several work group discussions. Several past and on-going cross-
border (pilot) projects and a support of UN/CEFACT for a harmonization of different standard messages were of great help to IPPC to set up a
standard measure of e-Phyto Certificates. In 2014, IPPC officially adapted revised International Standards for Phytosanitary Measures 12
(‘PHYTOSANITARY CERTIFICATES’) with appendix 1 (‘Electronic phytosanitary certificates, information on standard XML schemes and exchange
mechanism’)11.
11 https://www.ippc.int/sites/default/files/documents/20140903/ispm_12_2011_withappendix1_en_2014-09-03_201409031056--208.3%20KB.pdf
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Table 9 Comparison of paper and electronic certificates
Certificate type Paper Electronic
Phyto-Sanitrary
Certificate
Certificate date in hard copy,
stampled and signed
Certificate date in XML format,
authorized and encrypted
Copy certificate Photocopy or pdf of certificate Printout or viewer (web or pdf) or
Certificate data in XML format
Certificed copy Copy certificate stamped, dated
and countersigned
Printout of certificate data, stamped
dated, countersigned, or Certificate
data in XML format, re-encrypted
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Figure 6 Guide to ePhyto
The standard measures defined in the ISPM 12 are reasonably flexible with minimum level of requirements. The ISPM 12 does not restrict itself to a
specific technical standard giving rooms to national plant protection organizations (NPPOs) with more options in its implementation except
document standard. But the ISPM 12 strongly requires NPPOs being responsible for the security of their national information technology (IT) system
as well as message transmission. Some of the technical requirements are as below;
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• The data should be encrypted to ensure that the electronic exchange of the electronic phytosanitary certification data between NPPOs
is secure and authenticated using a secure protocol with a minimum 128-bit encryption.
• Transmission of data over the Internet from the NPPO of the exporting country to the NPPO of the importing country should be
performed using secure IT mechanisms (e.g. Simple Object Access Protocol (SOAP), Secure/Multipurpose Internet Mail Extensions
(S/MIME), File Transfer Protocol (FTP), Representative State Transfer (REST)) using systems that are mutually compatible.
• Communication on the status of the message exchange between NPPOs should follow UN/CEFACT recommended standard messages.
In the guide, the below procedures in the table 3 are recommended for cross-border e-Phyto certification procedures.
Table 10 e-Phyto Certificate conversation specification
Action Name Description
1 Find a list of
certificates
Put the request to the NECS12 to return all certificate
numbers that meet the input criteria. Immediately after this
Request the NECS returns the list of numbers
2 Download a list of
certificates
Put the request to the NECS to return all certificates that
meet the input criteria. Immediately after this request the
NECS returns all the certificates
3 Change the status of
a certificate
Put the request to the NECS to change the status of a list of
certificates to the specified value. Immediately after this
request the NECS returns the process result for every
12 NECS: NPPO’s export certificate system
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individual certificate (Success or Failed with reason)
4 Show the status of a
certificate
Put the request to the NECS to show the status of a list of
certificates. Immediately after this request the NECS returns
the status for every individual certificate (Success or Failed
with reason)
5 Show status of the
NECA
Put the request to the NECS to confirm that the NECS and
the network between the NECS and NICS13 are operational.
Immediately after this Request the NECS returns the
message OK
13 NICS: NPPO’s import certificate system
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Figure 7 Cross-Border e-Phyto Certificate conversation
Cross-border e-Phyto Certificate exchange case of Republic of Korea
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Korean government was introduced to electronic SPS initiative by APEC Trade Facilitation Action Plan agreed in April 2004 and first discussion on the
cross-border system was made at the Korea – Taiwan province of China Plant Quarantine Conference as a tool for preventing the forgery of
Certificates and the fraud export of Chinese agriculture product. With a support from Australian and New Zealand agencies, Korean plant quarantine
agency developed its first eCert system. 1st phase system provided web view access for foreign agencies in 2004 and provided IDs to Australia, New
Zealand and Taiwan province of China. And data transfer function (SOAP) was implemented in 2005. However, Certificate data transfer was not very
successful and Korean quarantine agency kept used web view function.
Figure 8 Web-view access to Korean e-Cert system
In 2010, Korean plant quarantine agency upgraded the system using UN/CEFACT standard document as well as improving its scalability. In 2011,
Korean plant quarantine agency executive cross-border Phyto-Sanitary Certificate exchange pilot project on seeds.
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Figure 9 Export Cross-border Phyto-Sanitary Certificate from Korea
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Figure 10 Import Cross-border Phyto-Sanitary Certificate to Korea
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Figure 11 Import cross-border Phyto-Sanitary management
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Achievements and Limitations
For its importance in international trade, e-Phyto Certificate has been one of the primary objects for digitization for trade facilitation and counties
with high portion of agricultural industry have led the e-Phyto Certificate project together with e-Sanitary Certificate such as Netherland. And
harmonization of documents standard has been well cooperated with UN/CEFACT strengthening its standardization.
However, so far the e-Phyto Certificate transaction remains as an adminicular information and quarantine agencies still require paper Phyto
Certificate for import quarantine declaration. And another challenge that national quarantine agencies are facing is the burden of peer to peer
connection set by previous pilot projects. To address this issue, a new of e-Phyto Hub concept; a central repository model, has been introduced in
IPPC. This central repository model may can help the peer to peer connection issue but it also has other constrains such as ownership of the system,
difficulties in catering local requirements, development cost and extra transaction fees by commercialized service.
4.5 Advance Manifest System
Overview
From 2012, the Korea Customs Service (KCS) is requiring electronic advance manifest for cargo being carried into and out of the customs territory of
Korea. Submittal of information to the Korea Manifest System (KMS) is as below:
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• Goods imported via air transportation into Korea
• Goods exported via air or ocean transportation from Korea
Korea Customs has launched the Korea Manifest system to control illegal or counterfeit exports, improve import clearance procedures and become
aligned with international standards. Timing requirements for sending shipment data to the KMS varies depending on which mode of transportation
is used to carry the goods:
• Short haul inbound flights (with a duration less than four hours) must be filed upon departure;
• Long haul inbound flights (with a duration over four hours) must be filed at least 4 hours prior to arrival into Korea;
• Export air cargo must be filed 30 minutes prior to loading
• Containerized Maritime export cargo (except short sea shipping) must be filed at least 24 hours prior to loading at the port of departure;
• Bulk / Break bulk maritime export cargo (except short sea shipping) must be filed prior to departure;
• Short Sea shipping maritime export cargo must be filed at least 30 minutes prior to departure
It is the responsibility of the forwarder/NVOCC to submit manifest data to the Master carriers directly but it is the responsibility of the parties
tendering cargo to the carrier to provide accurate information at the time of shipping instruction submission. Carriers will need to receive the
following information to submit a filing with the time limits specified:
• Shipper name and address
• Consignee name and address
• Precise goods description
• Type of packages
• Number of packages
• Container number (if applicable)
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• Seal number (if applicable)
• Gross mass (kg)
• Export Good Permit Number (EPN)
Legal basis under the provisions of the Customs Act related to the Advance Manifest System (hereinafter referred to as “the AMS”) is stated below:
• (Article 135, Clause 2) If it is required for going through rapid entry and customs clearance procedure, and conducting efficient
supervision and control, the collector of customs (hereinafter referred to as “customs collector”) may have the shipping or aviation
company to which the ship or aircraft entering into the port submit the list of passengers, manifest, etc. prior to the entry, under the
conditions as prescribed by the Commissioner of the Korea Customs Service.
• (Article 136, Clause 2) When a foreign trade vessel or aircraft desires to depart from an open port, the captain thereof shall, prior to
departure, obtain a departure permit from customs collector. The captain of a vessel or aircraft shall submit a list of goods boarded at
the open port.
• (Article 140, Clause 2) When goods are to be loaded to or unloaded from any foreign trade vessels or aircraft, a declaration thereon
shall be made to customs collector and confirmation thereon shall be obtained on the spot from customs officers.
Essential particulars related to the AMS, including timeline of submission, specification templates, preparation method and application for corrections
should comply with the “Notification of Loading and Unloading Procedure of Entry and Departure for Bonded Cargo (2011-7, March 18, 2011)” by
the KCS. Based on the WCO SAFE Framework and in consideration of special circumstance of short-flight or short-sea-shipping and capability of
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concerned logistics entities, due date and time of submission defined by the KCS is as following:
Table 11 KAMS timeline of submission
Type Deadline
SEA Import (Principle) At least 24 hours before commencement of loading at
the port of loading.
(Short sea shipping) Before departure at the port of loading
(Bulk) At least 4 hours before arrival at the port of entry
Export (Principle) At least 24 hours before commencement of loading
(Short sea shipping) Prior to loading, 30 minutes before departure
(Bulk, Transit cargo) Before departure
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AIR Import (Principle) At least 4 hours before arrival
(Short haul) Before departure at the airport of loading (more
specifically, at time of “wheels up” of aircraft)
(Express Cargo) At least 1 hour before arrival
Export Prior to loading, 30 minutes before departure
* “Wheels up” is the moment when an airplane’s wheels reach its body after takeoff
The scope of short-haul-flight areas is limited to China, Taiwan, Hong Kong, Japan, and Far-Eastern Russia. In case of export sea cargo, the Philippines,
Vietnam, Cambodia, Thailand, Indonesia, Malaysia, and Singapore are also regarded as short-sea-shipping areas.
Process flow
(a) Import process
Despite the Advance Manifest System introduction announcement made by KCS in 2012, the AMS has not been implemented to maritime cargo until
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now. But still current regulation requires carriers to consolidate House Manifest into Master Manifest and submit them to KCS 24 hours before arrival
of vessel. In the beginning, the purpose of development of MFCS was more on the cargo control rather than security. So, through the whole customs
clearance chain, all the logistics stakeholders can view cargo information and submit related information or report based on the shared Manifest
information in MFCS inherited from the original information that carriers and forwarders provided.
E-Manifest filing process:
① The carriers transmit Master Manifest data to MFCS and Forwards submit House Manifest based on the House Bill of Lading
information they received from overseas partner to MFCS. MFCS consolidate Master and House Manifest automatically. The
carrier must transmit consolidated e-manifest data to KCS 24 hours before vessel arrival for a long-distance cargo while it is
before arrival of vessel for a short distance cargo.
② Based on the Manifest submitted, KCS selects cargo to be inspected. In fact, as received Manifest does not contain as much
valuable information as import declaration for risk management, most of dangerous or suspicious cargo selection occur after the
declaration submission process.
③ Carrier transmit unloading report with unloading place in it to KCS based on Master Manifest.
④ If the cargo is selected at the cargo selection process, after unloading from the vessel, the cargo is moved to inspection area and
inspected
⑤ Once the cargo moves into and out of bonded warehouse, the warehouse reports the cargo carry-in and carry-out with Manifest
reference number and Bill of Lading number.
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Figure 12 e-Manifest filing flow for import to Korea
(b) Export process
Because of the strong government policy for the export promotion, the regulatory control of export process is very much simplified compared to
that of import process. Unlike Manifest filing process for inbound cargo, in case of outbound cargo, customs export declaration must be submitted
before the outbound Manifest filing. And this difference makes a different point of cargo selection to be inspected. Export customs declaration can
be applied one month before the loading of cargo and this period can be extended to one year. In practice, sometimes the declaration is made even
before the production of exported item.
Manifest filing process for outbound cargo
① The exporter or authorized customs broker requests export declaration of a cargo and get an acceptance from KCS.
② Carrier submits electronic Master Manifest to MFCS and Forwarder (or NVOCC) submits electronic House Manifest to MFCS each.
The outbound Manifest must contain the export clearance reference number in it. Electronic Manifest must be submitted 24 hours
before loading for a long-distance cargo and 30 minutes before loading for a short distance cargo. In case of a bulk cargo and a
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transshipment cargo, due time is before departure.
③ The risk management system of KCS validate the information and selects cargoes to be inspected by utilizing the declaration
information of cargoes.
④ If a cargo is selected to be inspected, exporter can notify KCS when the cargo can be inspected. On the day, a cargo shall be moved to
a bonded inspection area by exporter or its authorized agent and KCS conducts physical inspection.
⑤ When all the inspection is over or if no inspection is required, all the subsequent House Manifests are consolidated under one Master
Manifest and consolidated Manifest is filed to KCS system by MFCS.
⑥ Once the Manifest is accepted, carrier load the cargo.
Figure 13 e-Manifest filing flow for export from Korea
4.6 Mutual Recognition Agreement / Arrangement (MRA)
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Overview
MRA was introduced as a tool for trade facilitate the trade, increasing the market accessibility, and eliminating or reducing the Non-Tariff Barrier
(NTB) and often misinterpreted that it may require to unify Standards or Technical Regulations. Then what is MRA and how does MRA works? The
designated agency of the exporting country accredits or appoints the conformity assessment institute (testing agency or certification agency) that
can conduct the conformity assessment pursuant to the importing country´s technical regulations. Now, it may appoint the accreditation agency that
conducts the conformity assessment agency´s accreditation matters on behalf of the designated agency. Also, when it gives the importing country
the list of designated accreditation agencies and the designated or accredited conformity assessment agencies, the importing country decides on the
approval after assessment.
The most important thing in establishing and maintaining the mutual recognition scheme is how to manage the trust in the mutual recognition
arrangement. The best known worldwide mutual recognition scheme is Multilateral Recognition Arrangement (MLA) of the International Accreditation
Forum (IAF). The IAF is the world association of conformity assessment Accreditation Bodies. Its primary function is to develop a single worldwide
program of conformity assessment which reduces risk for business and its customers by assuring them that accredited certificates may be relied
upon14. The IAF ensures that Accredited Bodies follow the framework of accreditation and its rules to maintain the consistent level of deliverables.
Basic scheme in maintaining the minimum level of credibility is to use peer evaluation to ISO/IEC 17011: 2004 (General Requirements for
Accreditation Bodies Accrediting Conformity Assessment Bodies) on Accreditation Bodies and ISO/IEC Guide 65 or ISO 17021-1 2015 (Conformity
assessment -- Requirements for bodies providing audit and certification of management systems) on Certification Bodies which are accredited by
Accreditation Bodies. Below figure illustrate how the multilateral recognition scheme works in conformity assessment across the borders.
14 Certification and Accreditation Framework, Global Food Safety Initiative
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Figure 14 General Multilateral Recognition Arrangement of Conformity Assessment
In implementing MRA on conformity assessment, there are two phases; (a) Recognition of laboratories and its test result and (b) Recognition of
certification of recognized laboratories. Most regulatory transactions have traditionally involved testing and certification of imported product in the
importing country. First phase MRA provides for the mutual recognition of test results, which allows testing to be done in the exporting country and
having it recognized in the importing country. Second phase provides for the mutual recognition of certification, allowing certification to be
undertaken in the exporting country and having it recognized in the importing country.
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Figure 15 Comparison of 'Before MRA procedures' and 'After MRA procedures'
Cases of MRA
(a) APEC TEL MRA (Mutual Recognition Arrangement)
In June 1998, the APEC1 Telecommunications and Information Ministers agreed to update APEC-wide processes for the testing and type-approval of
telecommunications equipment. This landmark Arrangement, the Mutual Recognition Arrangement for Conformity Assessment of
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Telecommunications Equipment (APEC TEL MRA15), was the first multilateral agreement of its type in the world. It reduces a significant barrier to what
is projected to be a US$60 billion industry by 2010.16 This Arrangement was expected to streamline the Conformity Assessment Procedures for
telecommunications and telecommunications-related equipment and facilitate trade among the APEC member economies.
15 http://www.apectel.org
16 A Guide For Conformity Assessment Bodies to the APEC TEL Mutual Recognition Arrangement, APEC
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Figure 16 APEC TEL MRA status
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Figure 17 Sample Test Report issued by Testing Laboratory accredited by APEC TEL MRA CAB
In case of Korean government, they have entered into MRA with Canada, Chile and Viet Nam
governments. So, when Korean exporter exports telecommunications equipment to Canada, exporter
applies for laboratory test at Korean laboratory institute accredited by Korean Conformity
Assessment Body (CAB) and the report will be sent to the counterpart laboratory also accredited by
Canadian CAB. The test result is sent via e-mail, online application of the Canadian laboratory
institute or by courier (the transmit measures are case sensitive). The importer in Canada contacts
the institute and applies for certification. The Canadian laboratory institute review the test result and
once confirmed, it issues Certificate to the product. However, even with the introduction of MRA, the
harmonization of the test result and Certificate is far to realize though most of them are with similar
forms.
(b) OECD MAD (Mutual Acceptance of Data)
The OECD Mutual Acceptance of Data (MAD) system is a multilateral agreement among OECD
members on the harmonization of chemical control by reducing duplicative testing. The concept of MAD was adopted by OCED council in 1981. A
further Council Act was adopted in 1989 to provide assurance that the data are indeed developed in compliance with the Principles of GLP. This
Council Decision-Recommendation on Compliance with GLP establishes procedures for monitoring GLP compliance through government inspections
and study audits as well as a framework for international liaison among monitoring and data-receiving authorities In 1997, OECD Council made a
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decision on the adherence of non-member countries to the Council Acts related to the Mutual Acceptance of Data in the assessment of chemicals
sets out a step-wise procedure for non-OECD countries to take part as full members in this system.17
Figure 18 GLP Certificate
The MAD requires that testing be carried out in accordance with OECD standards for test methods
(OECD Test Guidelines) and for data quality (OECD Principles of Good Laboratory Practice - GLP). OECD
countries and full adherent countries - Argentina, Brazil, India, Malaysia, South Africa and Singapore - have
implemented this system via the appropriate legislative and administrative procedures. Thailand is currently
a provisional adherent to the MAD system.
(c) Other MRAs
Another well know MRA is IECEE (The IEC System for Conformity Testing and Certification of Electrical and
Electronic Components, Equipment and Product). IECEE Scheme of IEC (International Electronics Council) is
the international system for mutual acceptance of test reports and certificates dealing with the safety of
17 http://www.oecd.org/chemicalsafety/testing/mutualacceptanceofdatamad.htm
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electrical and electronic components, equipment and products. There are 60 member countries 22 association member countries under IECEE
umbrella.
Initially MRA has been initiated by private sector. ILAC (The International Laboratory Accreditation Cooperation) is the international body leading the
MRA among private laboratories. In APLAC MRA, 71 laboratories from 58 countries has joined.
Achievement and Limitations
Mutual recognition of Certificates or other regulatory documents provides huge benefits to traders as well as regulatory bodies as it prevents
unnecessary redundancy procedures at importing side. For example, it is estimated that MAD saves governments and chemical industry over
EUR 150 million every year by allowing the results of a variety of safety tests done on chemicals and chemical products such as industrial chemicals
and pesticides to be shared across OECD18.
18 OECD’s Mutual Acceptance of Data (MAD) system, OECD ENVIRONMENT, HEALTH AND SAFETY BRIEFS
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Table 12 Estimated annual costs and savings of the OECD’s EHS Programme
The survey conducted by Dutch Ministry of Trade and Industry tells that simplification of process can bring more benefits than process
automation. The Ministry surveyed traders on the type of trade facilitation measures that would make a direct impact on their daily operations.
Three of the most common answers related to measures do not require automation. First, a central enquiry point would increase transparency
and anticipation. Second, a move towards mutual recognition of inspection certificates would greatly facilitate trade, especially a removal of
double SPS inspection procedures. Third, traders (and customs authorities) would save on administrative work if customs authorities
minimised the requirement of nonstandard documents.19
19 THE ROLE OF AUTOMATION IN TRADE FACILITATION”, OECD TRADE POLICY WORKING PAPERS, NO. 22, OECD PUBLISHING
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But until now, the online transaction of certificates or test result by MRA is mostly depending on the capacity of accreditation body and no
standardization of the digitized MRA certificates and test results have been found.
4.7 Cross-Border exchange of e-Certificate of Origin20
Background
Among other cross-border shipping documents, Certificate of Origin has been identified as a key document to be harmonized and circulated
through online system for seamless paperless trade transactions. And to solve the issues at the international level, various regional or international
cooperation frameworks have been discussed and prepared by international bodies such as UN, APEC and WCO. For instance, World Chambers
Federation set up a Task Force to develop an International Certificate of Origin Guideline which is including the adaption of electronic Certificate of
Origin21.
Another important approach is the case of APEC. APEC Paperless Trading Subgroup under E-Commerce Steering Group has initiated several
Pathfinder projects, as part of APEC’s Strategies and Actions towards a Cross-Border Paperless Trading Environment. The Pathfinder projects (and
country who proposed it) of APEC PTS are as below:
20 This case study is adapted from the other study of the author
21 http://www.iccwbo.org/chamber-services/trade-facilitation/certificates-of-origin/co-guidelines/
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o E-Cert SPS (Australia / New Zealand)22
o E- C/O (Singapore)23
o e-Negotiation (Republic of Korea)
Unlike e-SPS whose issuance and final recipient are the same kind of inspection agencies, Certificate of Origin has difficult changes as it has different
stakeholders at its issuing and receiving sides and this difference makes higher barrier in its implementation across borders.
In Korea, KTNET has been providing EDI based Certificate of Origin service with Korea Chamber of Commerce and Industry since 2000. But as the
C/O need to be submit to Customs in overseas, the C/O should be delivered in paper form for many years. To make matters worse, some overseas
Customs require authenticated C/O which is being registered and stamped at the embassy in exporting countries and it has been a setback in
establishing a cross-border e-C/O exchange attempt. In 2004, KTNET proposed e-C/O project to Trade-Van of Chinese Taipei with their web-based e-
C/O system. However, it was impossible to conduct the project without the participation of both Governments. By utilizing the APEC PTS meeting,
they could initiate Private-Public Partnership Meeting. The Government of both economies come to an agreement to have annual bilateral meeting
for paperless trade with private sectors. In 2005, Korea had its first PPP meeting with Chinese Taipei and proposed e-C/O project. And a series of
Korea and Chinese Taipei Private-Public Partnership Meeting for Paperless trade was held thereafter. Regular participants are MKE, Korea Chamber of
22 The Australian Quarantine and Inspection Service has forwarded the Japanese Ministries of Health and Welfare and Agriculture, Forestry and
Fisheries annually 38,000 electronic health certificates for meat exports to Japan (Australian DFAT, 2001).
23 It was estimated that the application and transmission of electronic certificates of origin to buyers, banks
and the relevant regulatory agencies would reduce the entire process from 4-7 days to just a few minutes
via Internet, and ensure direct savings about SGD 2.9 million per year for Singapore traders (APEC 2002b).
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Commerce and Industry and KTNET from Korea and Bureau of Foreign Trade, Customs and Trade-Van from Chinese Taipei.
Operation model/arrangement
Both governments agreed on the PAA framework for the secure exchange of e-C/O. MOU on the exchange of e-C/O was signed by the mission
offices of each economy in 2009. In 2010, finally the first transaction of e-C/O was made from Korea to Chinese Taipei. Now Korean exporters does
not have to visit Chinese Taipei mission office in Seoul or Busan for the certification of paper C/O any more.
Korea-Chinese Taipei e-C/O exchange scenario is as below:
① Korean exporter uses the KTNET uTradeHub (uTH), the Korean Single Window for paperless trade, to complete the CO application
form over the Internet, and send it KCCI. This online ECO application system is operated by KTNET
② Korean exporter uses the KTNET uTradeHub (uTH), the Korean Single Window for paperless trade, to complete the CO application
form over the Internet, and send it KCCI. This online ECO application system is operated by KTNET
③ KCCI, as the CO issuing authority, reviews and approves the ECO application using its own legacy system and sends a confirmation
to the Exporter through KTNET. Exporters can have an access to the ECO database for inquiry according to the ECO code issued or
download the ECO message to its legacy system.
④ The Exporter, sends the approved ECO to the Importer with the uTH of KTNET which is interconnected with Trade-Van’s online
ECO service. Before the ECO is being delivered to Trade-Van, KTNET signs the approved ECO on behalf of KCCI and exporter by
150
the PKI mutual recognition framework of Pan Asian e-Commerce Alliance: an organization for cross-border paperless trade service.
It is no longer necessary for exporters to take the paper CO to the Chinese Taipei Mission Office in Seoul for authentication, as the
digital signature technology provides more than sufficient assurance to Chinese Taipei Customs on the origin, authenticity and
integrity of the ECO. In the meantime, the goods are being shipped to Chinese Taipei from Korea, which takes about 3 days
⑤ The ECO system of Chinese Taipei will remind the importer with an email notification that the ECO has been received from the
exporter.
⑥ The importer or customs broker will submit customs import declaration electronically quoting the relevant electronic e-CO reference.
If necessary, Customs of Taiwan province of China can visit the ECO database website of KCCI for inquiry. After inquiry and taxation, Customs will
grant a release to the goods. A customs broker or an importer will then arrange to pick up the goods from the terminal or holding area and delivers
them to the importer’s warehouse or required location.
Achievements and Limitations
This service has been renowned as the best practice on paperless trade through APEC. The APEC Case Study of Electronic Certificate of Origin (e-CO)
shows that significant tangible benefits in terms of costs reductions have been experienced for both importers and exporters from the application of
electronic CO between Chinese Taipei and Korea.
151
The savings for an exporter includes the following components:
• Time administrative savings of 4 hours 20 minutes (equivalent to US$74 at US$ 17 per hour);
• Direct expenses saving of US$143.50; and
• Reduction in processing time by two days on the export side of the process.
While the savings for an importer includes the following:
• Time administrative savings of 7 hours 15 minutes (equivalent to US$ 58 at US$ 8 per hour);
• Direct expenses saving of US$ 147;
• Reduction in processing time by three days on the import side of the process, and time saved from avoiding the need to send the paper CO
to Chinese Taipei.
Now Korea is proposing e-Phyto Certificate exchange project to Taiwan province of China. And other PAA members such as InterCommerce
of Philippines are joining the initiative.
However, despite the success of cross-border e-C/O project, there are limitations and important lessons to be observed. In the first place,
what took the most of its time to realize the e-C/O exchange was entering into bilateral agreement, not the technical specifications. From its
beginning of the dialogue between two economies, it took almost 5 years to come up with an MOU.
Secondly, as the e-C/O project was framed with PAA framework, except the e-C/O standard document, this model restricts itself within PAA
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member’s economies.
Lastly, traders need to exchange not only C/O but also other trading documents in electronic forms to enjoy the true benefit of e-C/O as exporters
are still sending the other trading documents in paper forms. Even if the C/O is a key document, without making all documents in electronic forms
and without covering the whole global supply chain with these electronic forms, the benefits will be limited.
It seems that currently, it is inevitable for each country to go for bilateral approaches to realize a mutual recognition of cross-border electronic
document and data with the absence of international framework. As it is proven in many cases that cross-border exchange of trade documents and
data can bring huge benefits in global supply chain, it is necessary to have a regional or international level of legal framework for the recognition of
trade related documents and data.
4.8 Trade financing service case (SWIFT TSU and BPO)24
Background
Recent globalization of industries has expanded supply chain into a global sourcing and it has given impact to the payment method of international
trade. The portion of T/T and open account transaction is increasing while the portion of Documentary Credit transaction; so, called traditional trade
transaction, is decreasing. However, the absolute value of traditional trade instruments continues to grow and they remain a key element of bank
service portfolios even though they represent a falling percentage of global trade. Market demands for individual aspects of traditional trade services,
24 Most of information are quoted from SWIFT web site (http://www.swift.com) and its publication
153
such as document comparison, discrepancy identification and dispute management, compliance, foreign exchange hedging, pre and post-shipment
financing is still strong. Frequently, these services require an exchange of data between the buyer’s bank and the seller’s bank.
BPO
On April 17th, the ICC Banking Commission approved the URBPO (Uniform Rules for Bank Payment Obligation) contractual rules, which will be
brought into effect from July 1st 2013. BPO, as defined by SWIFT and the banking commission of ICC is an irrevocable undertaking given by one
bank to another bank that payment will be made on a specified date after successful electronic matching of data, generated by SWIFT’s Trade
Services Utility (TSU) or any equivalent Transaction Matching Application, based on Uniform Rules for BPO issued by ICC. Essentially, BPO is an
alternate payment instrument to settle international trade with automated processing and reduced risk (assurance of payment to the seller). It offers:
• Automated and secure processing
• Standard set of ISO 20022 messages that enable interoperability between participating banks, thereby helping them extend global
market reach
• Straight through Processing (STP): As the ISO 20022 messages are extended to corporate users, the same can be adopted for
communication between Corporates and their Banks. This message will enable end-to-end straight through processing with corporate
ERP systems.
• An assurance on payment to the seller similar to a confirmed letter of credit, which helps mitigate risk across of the parties of the trade
• Flexible financing options from banks based upon confirmed purchase orders and invoices on pre-shipment and post-shipment finance
respectively
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Figure 19 Comparison of L/C, BPO and Open Account
TSU
The SWIFTNet TSU (Trade Services Utility) is a banking initiative provided by SWIFT (Society for Worldwide Interbank Financial
Telecommunication). TSU compares structured data from the two primary banks and advises them of inconsistent data. Trade Services Utility (TSU) is
a centralized matching and workflow engine providing timely and accurate comparison of data taken from underlying corporate purchase
agreements and related documents. The TSU supports banks’ value added supply chain services such as finance programmes, cash forecasting and
liquidity management. The TSU’s work flow can involve one, two, or more banks and it is designed to allow banks to provide funding at various
155
stages throughout the Physical Supply Chain. This can be used for LC (Letter of credit) business or Open Account transactions25. The TSU provides a
service that will allow the Financial Supply Chain to mirror the Physical Supply Chain. The TSU pricing structure includes a monthly fee for all open
transactions (POs) being processed in TSU. So, for one PO handled on TSU for 3 months, the fee would be 1.5 EUR x 3 months = 4.5 EUR charged to
both banks involved in the transaction.
Figure 20 Comparison of forfaiting by Normal L/C and TSU/BPO
25 Wikipedia
156
Achievements and Limitations
For a BPO transaction, the bank will be involved in all stages of an open account transaction, starting from the initial baseline submission and it will
reduce the overall operational cost associated with the trade transaction. Banks can also offer value-added services like financing, cash forecasting,
liquidity and working capital management to their corporate clients based on underlying trade transactions and reporting. Large banks can also offer
white label processing tools for the banks that would not like to build their own BPO processing tool.
BPO can also benefit corporates operationally as there is no manual processing like document creation, verification, validation, tracking and reporting.
It will also result in significant cost savings for the corporate through:
• Early access to pre and post shipment finance needs
• Risk mitigation, as the undertaking is between buyer and a seller bank.
• No need to reissue the document in case the shipment happens at a different location, due to external factors such as natural disasters.
• No banking fees on document discrepancy handling and tracking (only if TSU is applied)
• No verification and amendments charges
• Early liquidity/working capital management due to faster transaction processing and settlement for the exporters
• Importer can access the goods early, as he/she will receive the documents quickly
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Figure 21 Mitigation of the payment default or delay by payment assurance
In the first half of 2014 there were 340 new transactions (249 for the first half of 2013). As of July 2014, while 58 banks have adopted the BPO
including 18 of the top 20 Trade banks and there are over 30 corporates live on BPO/TSU (including companies like VALE, Omron, BP, and 7Eleven)
volumes are still very small.
Some barriers include banks’ implementation cost and requirements for paper trade documents by regulatory administrators. Banks that are willing
158
to offer BPO services need to invest in technology infrastructure/system capable of supporting and communicating with ISO20022 compliant
messages as well as the Transaction Matching Application. Else, they may not be able to provide BPO services to their clients. And paper trade
documents are also required to release of cargoes from customs in most of countries under local legislation.
159
4.9 Cross-border paperless trade project directory
Table 13 Cross-border paperless trade project directory
No. Category Processes Documents Project Title Implementation
Period Country Lead Party Participants/users
Project Scope or Area
of /Services
Technical
Assistance Challenges/Lessons References/Links
UNLK Cross-border
process
1
Buy Commercial
Transaction
Business
Opportunity
Finding
Offer,
Counter
Offer,
broucher
Korea - Japan e-MP
Project 2001 Korea, Japan
ROK: MOCIE
(MOTIE)
Private e-MPs from ROK
and Japan
Harmonization of e-MP
technical specification
Facilitation of private cross-
border e-MP is beyond
technical harmonization
2
Business
Opportunity
Finding &
Contract
Offer,
Counter
Offer,
Contract
Private B2B e-
Marketplace 2000~ - Private businesses
Businesses and
consumers B2B and B2C Amazon, Alibaba etc..
3
Contract, Order
and production
monitoring, trade
documentation
Delivery
Forecasting,
Order,
Dispatch
Advice, etc.
Private B2B international
supply chain
transactions
1980~ - Private businesses
and VANs Businesses
Electronic commercial
document exchange GM, Chrysler, Bosch, Renault etc.
4
Order and
production
monitoring, trade
documentation
Purchase
Order,
Invoice,
Packing List,
Bill of Lading
Advice, etc.
PAA Secure Cross-
Border Transaction
Service
2001~ PAA Traders and Forwarders Electronic commercial
document exchange
Government sector
cooperation is essential for
the facilitation of cross-
border paperless trade
transactions
PAA.net
5 Ship
Transport
and related
services
Loading port
activities
Shipping and
cross-border
transportation
Entry port
activities
IATA e-Freight 2006 IATA
Traders, Airlines,
Forwarders, Customs and
other controlling
agencies
Replace paper with
electronic data and
messages for air
freight
All-in-one concept is hard
to implement at a limited
time frame
http://www.iata.org/whatwedo/cargo/e/efr
eight/Pages/index.aspx
160
6 Export clearance,
Import clearance
Globally Networked
Customs 2012 WCO Customs
Interconnection of
Customs systems
http://www.wcoomd.org/en/topics/facilitat
ion/activities-and-programmes/gnc.aspx
7 Transit EAC RADDEx 1.0 2007 Revenue Authorities
of EAC and USAID
Traders, forwarders
(brokers) and Customs
Collection of customs
clearance information
Increased efficiencies in
customs clearing processes
through the use of the
system, private sector
shippers are anticipated to
save over US $ 50 million
per year in reduced transit
times at borders. http://www.competeafrica.org/Files/RADD
Ex_2.0_brief_Sept.2012.pdf
8 Transit EAC RADDEx 2.0 2012 Revenue Authorities
of EAC and USAID
Traders, forwarders
(brokers) and Customs
Collection of customs
clearance information
Increased efficiencies in
customs clearing processes
through the use of the
system, private sector
shippers are anticipated to
save over US $ 50 million
per year in reduced transit
times at borders.
9 Transit EAC SCT (Single
Customs Territory) 2014~
Revenue Authorities
of EAC
Traders, forwarders
(brokers) and Customs Transit system for EAC
https://www.trademarkea.com/blog/single
-customs-territory/
10 Transit
COMESA Regional
Customs Transit
Guarantee (RCTG)
system
2011
COMESA member
Revenue Authorities
and Customs
Freight forwarders,
clearing agents and
Customs
Regional Customs
Bond Guarantee
Scheme
Implementation of the
RCTG Carnet reduces the
cost of transport and
clearance by between 10
and 15 per cent
http://rctg-new.comesa.int/
11 Transit
SADC Web based Transit
Data Transfer Module;
TDTM
2008
COMESA member
Revenue Authorities
and Customs
COMESA member
Revenue Authorities and
Customs
Extraction of transit
data at the First Point
of Entry and uploads it
into a Web-Server
12 Transit The ASEAN Customs
Transit System (ACTS) 2014 ASEAN
ASEAN traders and
forwards
Development of
regional transit system
The support of EU ASEAN
Regional Integration
Support (ARISE) provided
technical assistance
programme
A MODERN REGIONAL TRANSIT
TRANSPORT SYSTEM: ASEAN CUSTOMS
TRANSIT SYSTEM (ACTS) TO ENSURE AEC
TRADE FACILITATION
161
13 Transit e-TIR 2003 UNECE Customs, holders and
guarantee chains
Development of
international transit
system
It brings additional security
and risk management
opportunities, thus
reducing the risk of fraud.
Advanced international
cooperation will allow all
actors to significantly
reduce their administrative
burden and to maximize
the benefits of integrated
supply chain management.
The provision of advance
cargo information and the
exchange of information in
real time speed up the TIR
procedure.
http://www.unece.org/trans/bcf/etir/welco
me.html
14 Transit
UNDA Project on
Customs-to Customs
(C2C) electronic
information exchange
for transit
2013 UNECE Five pilot countries
Development of a
Customs-to-Customs
(C2C) exchange
platform.
http://www.unece.org/fileadmin/DAM/tran
s/doc/themes/UNDAC2C/Flyer_UNDA_TIR.
15
Shipping and
cross-border
transportation
PAA e-AWB 2004 PAA Freight Forwarder and
PAA members
Exchange of electronic
AWB data
Cross-border trade data
and document exchange
are highly correlated with
regulatory requirements
www.paa.net
16 Entry port activity USA AMS 2002 Customs Carriers and NVOCC Advance filing of
Manifest
http://www.cbp.gov/border-security/ports-
entry/cargo-security
17 Entry port activity EU ICS 2011 Customs Carriers and NVOCC Advance filing of
Manifest
http://ec.europa.eu/ecip/help/faq/ens7_en.
htm
18 Entry port activity Japan AFR 2014 Customs Carriers and NVOCC Advance filing of
Manifest http://www.naccscenter.com/afr/
162
19
Shipping and
cross-border
transportation
IATA e-Airway Bill 2008 IATA Airlines, NVOCC and
Customs
Exchange of electronic
Airwaybill
Despite the successful
implementation of regional
transit system,
http://www.iata.org/whatwedo/cargo/e/ea
wb/Pages/index.aspx
20
Loading port
activities
Shipping and
cross-border
transportation
Entry port
activities
AIR CCS (Cargo
Community System) - SITA
Airport authority, airlines,
shippers, forwarders and
cargo handlers
To provide a platform
to streamline airline
cargo business
processes and manage
information flow
UK cargo community system (CCS-UK)
21 Cargo tracking PAA Cargo Visibility 2007~
China, Korea,
Malaysia,
Taiwan (China)
PAA
22 Cargo tracking NEAL-NET 2010 China, Japan,
Korea
Ministry on
Transport Logistics
of China, Japan and
ROK
Port authorities, ocean
carriers and network
service provider
To interconnect
logistics information
systems
Government sector
cooperation is essential for
the facilitation of cross-
border paperless trade
transactions
http://www.nealnet.org/
23
Official
Control
Origin country Certificate of
Origin
ICC CO Verification
website TBC
China, France,
Netherland,
ROK, UAE,
United
Kingdom
ICC World Chambers
Federation ECO TF
Chamber of Commerce of
China, France,
Netherlands, RoK and
UAE / Traders and
Customs
Provide electronic
Certificate of Origin
Guideline and
Certificate of Origin
verification website
An electronic Certificate of
Origin is a best base of
private public cooperation
for trade facilitation
https://certificates.iccwbo.org/
24 Origin country
Certificate of
Origin,
Response
Message
Korea - Taiwan(China) e-
C/O 2004
Korea, Taiwan
(China)
Korea: MOCIE
(MOTIE)
Taiwan(China):
BOFT, Customs
KTNET and Trade-Van as
an Application and
network provider, traders
and Customs
Exchange of electronic
Certificate of Origin PAA
Government sector
cooperation is essential in
implementing cross-border
paperless trade
25 Origin country
ATIGA Form
D, Response
Message
ASEAN NSW ATIGA
Form D 2010 ASEAN ASEAN NSW
ASEAN National Single
Windows and Customs
Exchange of electronic
ATIGA Form D
Regional/multilateral
approach takes years to
accomplish the goal
http://asw.asean.org/
http://unnext.unescap.org/tools/dhmg-
annex4-1.pdf
26 Origin country China - Hong Kong
(China) e-C/O 2004
China, Hong
Kong (China) China Customs
China customs and Hong
Kong (China) customs
Exchange of electronic
origin declaration data
Cross-border exchange of
origin declaration can
facilitate administrative
process
https://www.tid.gov.hk/english/cepa/files/
annex3.pdf
27 Origin country China - Taiwan (China)
e-C/O 2014
China, Taiwan
(China) China Customs
China customs and
Taiwan (China) customs
Exchange of electronic
origin declaration data
Cross-border exchange of
origin declaration can
facilitate administrative
http://www.e-to-
china.com/tariff_changes/Policy_Focus/201
4/0401/112114.html
163
process
28 Origin country
WAEMU Pilot projects to
set up an electronic
certificate of origin
exchange platform in
AFRICA
2014
Senegal, Côte d’Ivoire,
Cameroon and Chad or
the Congo
Exchanges of electronic
Certificates of Origin
http://www.gainde2000.sn/2014/en/news-
10.php
http://www.unece.org/fileadmin/DAM/cefa
ct/cf_plenary/plenary14/ECE_TRADE_C_CEF
ACT_2014_4E_RapporteurAfrique.pdf
29 Conformity
Certificate
Test
Certificate APLAC (ILAC) MRA 1997 APLAC (ILAC)
National and Regional
third-party organizations
engaged in the
accreditation of
laboratories and/or
inspection bodies, as
designated by their
governments or
otherwise recognized by
APLAC
To harmonize
accreditation practices
in the region and to
extend the APLAC
Mutual Recognition
Arrangement
https://www.aplac.org/aplac_mra.html
30 Conformity
Certificate
Conformity
Certificate
and test data
APEC TEL MRA 1995 APEC TEL
Telecommunication
regulatory bodies of
APEC member states
Mutual acceptance of
test data and/or
Certificate of
Conformity of tele-
communication
products
The APEC TEL MRA
streamlines conformity
assessment procedures for
a wide range of
telecommunications and
telecommunications-related
equipment and facilitates
trade among the APEC
member economies. The
APEC TEL MRA provides
benefits to manufacturers,
CABs, regulators and
consumers.
http://www.apec.org/Groups/SOM-
Steering-Committee-on-Economic-and-
Technical-Cooperation/Working-
Groups/Telecommunications-and-
Information/APEC_TEL-MRA.aspx
31 Conformity
Certificate
Test
Certificate OECD MAD 1981 OECD
OECD member countries,
Argentina, Brazil, India,
Malaysia, South Africa
and Singapore
Mutual acceptance of
test data of chemical
products
Mutual recognition and
acceptance of document
and data could save huge
cost and time for traders
http://www.oecd.org/chemicalsafety/testin
g/mutualacceptanceofdatamad.htm
32 Conformity
Certificate IECEE MRA 2008 IECEE
Manufacturers, national
certification body and
testing laboratory
System of Conformity
Assessment Schemes
for Electro-technical
http://www.iecee.org/cbscheme/pdf/iecee
02.pdf
164
Equipment and
Components
33 Quarantine
Phyto-
Sanitary
Certificate
e-Phyto exchange (ROK-
Netherland, China-
Netherland, Kenya-
Netherland)
-
Plant quarantine
agency of China,
Kenya, Netherland
and ROK
Traders and plant
protection agencies
Exchange of electronic
Phyto Certificate
Cross-border exchange of
origin declaration can
facilitate administrative
process
34 Quarantine
Phyto-
Sanitary
Certificate
e-Phyto Hub 2013 IPPC
National Plant Protection
Agency of IPPC member
countries
Establishment of e-
Phyto Hub for the
exchange of electronic
Phyto Certificate
International body can play
a leading role in the
harmonization and
facilitation of electronic
trade documents and data
exchange
35 Quarantine
e-Cert (Australia, New
Zealand, USA and
Canada)
2002 Quarantine agencies Traders and Quarantine
agencies
Exchange of electronic
Sanitary and Phyto-
Sanitary Certificate
Cross-border exchange of
origin declaration can
facilitate administrative
process
http://www.unece.org/fileadmin/DAM/trad
e/security_conf03/docs/brochure%20info.p
df
36 Quarantine
EU SEED (Systematic
Electronic Exchange of
Data)
2010
The Customs
Administrations of
Albania, Bosnia and
Herzegovina, Kosovo, the
former Yugoslav Republic
of Macedonia,
Montenegro and Serbia.
Development of a
common system and a
regional standard for
the electronic and
automatic exchange of
encrypted pre-arrival
information in “real-
time” between
Beneficiary Customs
Administrations
Cross-border border
management within the
region can reduce security
risks
http://www.eu-
seed.net/pages/projectinfo.aspx
37 Customs data
exchange
Asian Region Customs
EDI project 1999
AFACT, Customs of
Malaysia and ROK
Customs of ROK and
Malaysia
Exchange of customs
declaration
data(CUSDEC)
Harmonization of process
and data set is required for
cross-border exchange of
declaration data for the
facilitation of clearance
38 Customs data
exchange
Customs Data Exchange
between ROK –
Malaysia, ROK -Belgium
and ROK - Philippines
2000 ~ 2006,
2007 ~ 2008,
2008 ~ 2009
Customs Customs Exchange of customs
declaration data
Implementation of unique
reference number system is
essential for the utilization
of customs data exchanged
39 Customs data
exchange ASW pilot project
ASW ASW customs
Exchange of ASEAN
Customs Declaration http://asw.asean.org/
165
Document(ACDD)
40
Pay Payment
Trade settlement Letter of
Credit Bolero e-L/C 2005~ Bolero Traders and banks
Exchange of electronic
export, import and
standby Letter of
Credit
http://www.bolero.net/products
41 Trade financing Letter of
Credit
uTradeHub trade
financing 2008~ RoK uTradeHub Traders and its vendors
Exchange of e-L/C and
trade financing
documents
Legal framework played a
core role in facilitating the
paperless trade financing
service
Utradehub.or.kr
42 Trade settlement
& trade financing SWIFT TSU & BPO 2005~ SWIFT Traders
trade financing &
Settlement
New measures for supply
chain financing using ICT is
beneficial to community
but the change of business
practice is a challenge.
Applications for Supply Chain
Management, Trade Services Utility 2.0.2,
Release Letter
http://www.swift.com/assets/corporates/d
ocuments/business_areas/trade_case_study
_vale_bank_of_tokyo_mitsubishi.pdf
43 Trade settlement
& trade financing TradeCard 2000~ TradeCard Traders and its vendors
trade financing &
Settlement
New measures for supply
chain financing using ICT is
beneficial to community
but the change of business
practice is a challenge
http://www.gtnexus.com/
44 Trade settlement
Letter of
Credit, Bill of
Lading,
Invoice,
Packing List
etc.
Bolero e-Presentation 1999 ~ Bolero Traders and banks
Electronic commercial
document exchange
& trade Settlement
New measures for supply
chain financing using ICT is
beneficial to community
but the change of business
practice is a challenge.
Proprietary technical
standard and high entrance
cost could be a challenge in
introducing a new service.
http://www.bolero.net/products/electronic
-document-presentation
45 Trade settlement
Bill of
Lading,
Invoice,
Packing List
and etc
TEDI 2000~ Japan TEDI Club (Trade
and Settlement EDI) Traders and banks
Electronic commercial
document exchange
& trade Settlement
New measures for supply
chain financing using ICT is
beneficial to community
but the change of business
practice is a challenge.
Proprietary technical
standard and high entrance
cost could be a challenge in
None
166
introducing a new service
46 Trade settlement Private online payment
tool (Paypal, Alipay) 2000~ Private businesses
Businesses and
consumers Online settlement
New payment measures on
the cross-border B2B e-
MarketPlace is popular with
a simplified payment
procedure. But these new
payments are not replacing
traditional off-line
transactions.
Paypal.com and Alipay.com
47 Trade settlement
Letter of
Credit, Bill of
Lading,
Invoice,
Packing List
and etc
uTradeHub e-Nego
service 2008~ RoK utradehub Traders and Banks
Electronic presentation
of trade document and
trade financing
Realization of cross-border
trade settlement can’t be
achieved by one paperless
trade platform of one
country.
https://www.utradehub.or.kr/