unece recommendations, standards and tools for international trade...

UNECE Recommendations, Standards and tools for International Trade Single Window

Tom ButterlyChief, Global Trade Solutions

United Nations Economic Commission for Europe (UNECE)

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A Single Window isA Single Window is ..

it is not a technology system (only)!

essentially a political / organizational / procedural concept –

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UNECE Recommendations for Single Window

UNECE Recommendation 33 – Recommendation and Guidelines on Establishing a Single Window

UNECE Recommendation 34 - Data Simplification &UNECE Recommendation 34 Data Simplification & Standardization for International Trade

UNECE R d ti 35 E t bli hi L lUNECE Recommendation 35 - Establishing a Legal Framework for an International Single Window

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Single Window Definition

UN/CEFACT Recommendation 33

“A facility that allows parties involved in trade and transport to lodge standardised information and documents with a single entry point to fulfil all import, export and transit related regulatory requirements.

If information is electronic, then individual data elements should only be submitted once.’y

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Single Window Concept

A 'Single Window' environmentCurrent Situation for Government & Traders

FROM TO

TraderTransport

A Single Window environment

Trader Transport

Current Situation for Government & Traders

Electronic

SingleWindow

CustomsElectronic Customs

Agriculture

Paper

Agriculture

Paper

Health DeptHealth Dept

UNECEShould be based on International Standards

UN Recommendation 33 on Single Window

Recommends Governments to establish Single Window for Cross Border Trade

Defines features:

… one time submission

..of standardized information and documents

sharing of information amongst government agencies;sharing of information amongst government agencies;

coordinated controls and inspections of the various t l th itigovernmental authorities;

Allow payment of duties and other charges;

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Be a source of trade related government information.

Rec. 33 - Guidelines on Establishing a Single Window

1. Introduction

2. What is a Single Window

3. What are the most common models for a Single Window

4. What are the benefits of establishing a Single Window

5. Services provided by a Single Window

6. Practical steps in planning and implementing a Single Window

7. Standards and tools available to assist in implementing a Single

Window

8. Key factors in establishing a successful Single Window

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Rec 33 Annexes

ANNEX A - Examples of existing Single Windows

ANNEX B - Practical Steps in Planning the Implementation of a Single Windowp g

ANNEX C - Key Components of the feasibility study

ANNEX D - Tools available to assist in implementing a Single Windowg g

ANNEX E - Signposts for further information

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Recommendation 34

UNECE Recommendation 34 - Data Simplification & Standardization for International Trade:

• Capture D fi• Define

• Analyze R il• Reconcile

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Recommendation 34 …

Capture - prepare a national trade data inventory of current government agency data and information requirements from automatedinformation requirements from automated systems and documents to cover all requirements for the international traderequirements for the international trade procedures related to import, export and transit.

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Define – prepare a record giving the name, definition and representation (text, format or code) of each data element; also when thecode) of each data element; also when the information is required (for release, declaration, pre or post control) and the legal base allowingpre or post control) and the legal base allowing the relevant agency to demand, collect, view and retain (archive) the information.( )

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Analyze – prepare an analysis of the information requirement and data element, establishing whether its need is essential and its use can bewhether its need is essential and its use can be demonstrated. While information is identified by name the meaning (what information isname, the meaning (what information is communicated by the data element) and context are more important. The process of analyzing the p p y ginformation consists of gathering together similar data element names and having a full understanding of the definition of each data element and the information requirements.

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Reconcile – prepare a consolidation of the defined and analyzed

trade data listing through the process of reconciliation. This involves

the agreement to use one data element name with a common

definition and (or) common coding, and reconciled primarily with the

international standards of the United Nations Trade Data Elementsinternational standards of the United Nations Trade Data Elements

Directory (UNTDED) and the UN/CEFACT Recommended Code List.

Should the team identified other reference data models for the SingleShould the team identified other reference data models for the Single

Window development, the data elements could be further mapped to

other standards such as UN/EDIFACT set of Directories (Electronic

Data Interchange for Administration, Commerce and Transport),

World Customs Organization (WCO) Data Model and UN/CEFACT

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Core Component Library (CCL).

Recommendation 35

UNECE Recommendation 35 - Establishing a Legal Framework for an International Single WindowThe United Nations Centre for Trade Facilitation and Electronic Business (UN/CEFACT), recognizing that a sound legal framework is required to support the operations of anrequired to support the operations of an International Trade Single Window, recommends that governments and those engaged in thethat governments and those engaged in the international trade and movement of goods should:

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(a) Undertake a study (including e-Commerce legal benchmarking and ‘gap analysis’ studies) tolegal benchmarking and gap analysis studies) to determine an appropriate set of measures that may need to be taken to address legal issues ay eed o be a e o add ess ega ssuesrelated to national and cross-border exchange of trade data required for Single Window operations (The International Trade Single Window legal framework);

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(b) Use the UN/CEFACT checklist and its guidelines (Annexes I and II) to ensure the most f t l l i l t d t ti l dfrequent legal issues related to national and cross-border exchange of trade data are included in the framework;included in the framework;

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(c) Amend existing legislation, regulations, decrees, etc., if necessary, to address the id tifi d l l i didentified legal issues and gaps;

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(d) Utilize international standards, international legal instruments, and soft law instruments,

h il bl th h t th ti fwhere available, throughout the entire process of creating a legally enabling environment for an International Trade Single WindowInternational Trade Single Window.

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Recommendation 35 Annexes

I. CHECKLIST OF LEGAL ISSUES FOR S G O O O SSINGLE WINDOW OPERATIONS

II. CHECKLIST GUIDELINESII. CHECKLIST GUIDELINES

III. TOOLKIT – list of conventions etc

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UN/CEFACT Single Window StandardsStandards

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Rec:19Mode of Transport

Rec:16UN/Locode ISO Country Code

Rec: 17Payment Terms

Rec:9Currency Code

Commodity Code

UNECERec:20 Units of Measurement

Rec: 28Means of Transport Rec: 21

Package Codes

Paper to Paperless

Electronic Document ExchangeXML or UN/EDIFACT

<?xml version="1.0" encoding="UTF-8"?><n:Invoice xmlns:n="urn:oasis:names:tc:ubl:Invoice:1.0:0.70"xsi:schemaLocation="urn:oasis:names:tc:ubl:Invoice:1.0:0.70UBL_Library_0p70_Invoice.xsd">

<cat:ID>token</cat:ID><cat:IssueDate>2003-02-14</cat:IssueDate><n:TaxPointDate>2003-02-14</n:TaxPointDate><cat:BuyerParty>

<cat:PartyName><cat:Name>Bills

Microdevices</cat:Name></cat:PartyName>

/</cat:BuyerParty><cat:SellerParty>

<cat:ID/><cat:PartyName>

<cat:Name>Joes Office Supply</cat:Name>

</cat:SellerParty><cat:InvoiceLine>

<cat:ID>1</cat:ID><cat:InvoicedQuantity

unitCode="token">5</cat:InvoicedQuantity><cat:Item>

<cat:Description>Pencils, box #2

Paper Document

Electronic Edit Formred</cat:Description>

</cat:Item></cat:InvoiceLine>

</n:Invoice>

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aligned to UN Layout Key

Data Dictionaries and Data Exchange

Data Dictionaries

United Nations Trade Data Element Directory – UNTDEDUN/CEFACT C C Lib CCLUN/CEFACT Core Component Library – CCL

Electronic Data ExchangeElectronic Data Exchange

Rec 25: Use of the UN/EDIFACT StandardRec 25: Use of the UN/EDIFACT Standard

These are also ISO Standards

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The Core Components Library of UN/CEFACT

The foundation of the library is the definition of the formats and semantic content of data

Each “Core Component” captures and defines the details of a concrete concept used in business or

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details of a concrete concept used in business or administration (for example: address)

UNECE Single Window Implementation ToolsImplementation Tools

UN/CEFACT Repository of Single Window applications htt // / f t/ i l i d / l hthttp://www.unece.org/cefact/single_window/welcome.htm

Single Window Implementation Framework (SWIF)– change t imanagement issues

Document Alignment Guide

Business Process Analysis (BPA) Guide

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Step by Step ImplementationStep by Step ImplementationB d I i l S d dB d I i l S d d

Si l Wi dSi l Wi d i

Based on International StandardsBased on International Standards

National Data H i ti

Single WindowSingle Window

Recommendation 34, WCO DM

Recommendations 33 and 35

HarmonizationUN Layout Key, Document Alignment Guide

UNTDED F R it

UNTDED, CCL

Document Simplification and Standardization

Business Process Analysis (BPA) Guide, Unified Modeling ( ) G A i

UNTDED, Forms Repositoryand Standardization

Process Analysis

Implement-

Methodology (UMM), GFP Audit Methodology and Simplification

Single Window Implementation Framework (SWIF) - collaboration

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Implement-ation Plan

Between Trader and Government and between Customs and other government agencies

Key SW Implementation Issuesy p

Single Window implementation is a 10+ year Project (decision making, funding planning, data

d lli L l i t i idmodelling, Legal environment, service provider, business model, ..) – step by step ….

A Single Window needs the support (political will) and participation (partnership) of all relevantand participation (partnership) of all relevant agencies and private sector participants that participate in International trade

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participate in International trade

Agreement to Establishand Implement ASEAN

Single Window signed

Business model study inclusive of analysis and simplification of business processes in export and import of strategic products

Establishment of National Root

Certification Authority

Single Window Development in Thailand

Single Window signed

Cabinet’s designation of Customs as agency to lead SWeL implementation and MICT to

manage the project and allocated budget

Cabinet’s allocation of 31 millionUSD for SWeL implementation

Analysis and simplification of business processes for cross-border movement of goods in 4 modes (road, rail, sea, air)

Data Harmonization Phase 1: transport documents

Authority

l i i ( d )

Computer Crime Act

Implementation Plan for Thailand’s SWeL approved by the Cabinet

Logistics development as one of the national agenda in Thailand’s

manage the project and allocated budget

Data Harmonization Phase 2: permits, licenses, certificates, and their application forms from 21 OGAs

Data Harmonization Phase 3:

Electronic Transaction Act (Amendment)

Royal Decree on Regulatory Practices in

e-Government Implementationnational agenda in Thailand s

Competitiveness Strategy documents required by OGAs and trade community including bank and insurance

TH eGIFElectronic Transaction Act

Implementation

1998 2001 20021999 2000 2003 2006 20072004 2005 2009 20102008

Submission of declaration manually or

Electronic application for Certificate of Origin and trade permit from MOC

Development

Cross-border information sharing

d hElectronic application for certificate, permit, and

li f DLD d DOFmanually or electronically via

EDIPaperless customs declaration and clearance

(ebXML/XML/PKI)Development of trade facilitation systems (ebXML/XML/PKI) in 12 OGAs

Development of Single Window Entry Prototype

Pilot information sharing and exchange between Customs and 6 OGAs

Development of NSWx

Development of e-Port, e-Toll, e-Gate

and exchangelicense from DLD and DOF

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SWeL: Single Window e-LogisticsMOC: Ministry of CommerceOGAs: Other government agenciesDOF: Department of FisheriesEDI: Electronic Data Interchange

MICT: Ministry of Information and Communication TechnologyTH eGIF: Thailand’s e-Government Interoperability FrameworkNSWx: National Single Window hub for information sharing and exchangeDLD: Department of Livestock DevelopmentPKI: Public Key Infrastructure

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Single Window Phased Development Approach

1st Cycle: Customs Clearance + Permits & Certificates Issuance 1 Cycle: Customs Clearance + Permits & Certificates Issuance

2nd Cycle: Transport + Financial Settlement

3rd Cycle: Cross-border Paperless Trading

Airport Bank

Cross Border PT(GMS, ASEAN Single

Window, APEC

Ministry of I

AirlineCustomsPathfinder Initiatives)

Other country NSW

NSWInternet Agriculture

Ministry of

Insurance

Shipping line

NSW

Commerce

Sea Port

Shipping line

UNECE

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Follow-upFollow-up

All UNECE and UN/CEFACT Recommendations, codes, standards and publications are available for free on our website at:free on our website at:

www.unece.org/trade/ f /www.unece.org/cefact/

E-mail: tom butterly@unece orgE mail: [email protected]

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Thank you for your attention!

Questions?Quest o s

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A Single Window Project…

Single Windows were initially envisaged as a facility to expedite and simplify information flows between trade and government (UN/CEFACT, 2005). However, in many countries, especially in developing countries and transition economies Singlein developing countries and transition economies, Single Window projects have taken a much broader approach and are a strategic effort to simplify and automate cross-border trade usually at the national level and in some countries at the

i l l l I i l ti Si l Wi dregional level. In implementing a Single Window, a Government aims to achieve a set of strategic objectives, including to increase revenue and transparency, to increase the competitiveness of the national economy, to achieve better p y,integration into regional and global supply chains, or to meet wider policy agendas such as implementation of regional trade agreements. While these objectives and their importance are different in each country the Single Window projects have

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different in each country, the Single Window projects have certain features in common. For the project management it is important to understand these expectations and their implications for the project plan.

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