Interview Guide and Questionnaire (Private Sectors) - MITI

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ASW Cross
-
Border

Business Process Analysis

In
terview Guide and Questionnaire

(Private Sectors)


Version No.
1
.0
0






08 April 2013


This publication was produced for review by the United States Agency for International
Development. It was prepared

by consultants for the USAID
-
funded ASEAN Single
Window Project.


2






ASW Cross
-
Border

Business Process Analysis


In
terview Guide and Questionnaire

(Private Sectors)


Version No.
1.00




ASEAN SINGLE WINDOW
PILOT
PROJECT

CONTRACT NUMBER:
486
-
I
-
00
-
07
-
00008
-
00, TASK ORDER 03.

NATHAN ASSOCIATES IN
C.

USAID/REGIONAL DEVEL
OPMENT MISSION FOR A
SIA

AUTHORS:

KENNETH TIONG;

PETER STOKES



DISCLAIMER:

The authors’ views expressed in this publication do not necessarily reflect the
views of the
United States Agency for International Development or the
United States Government.


3


Table of
Contents



Contents

Acronyms

................................
................................
................................
................................
................

4

1.

Introduction

................................
................................
................................
................................
....

5

2.

Context and

Background

................................
................................
................................
.................

6

3.

Objective of the ASW Cross Border Business Process Analysis Activity

................................
.........

7

4.

Preliminary Identification of Candidate ASW Cross Border Business Processes

............................

8

5

Interview Preparation
for Cross Border Business Processes

................................
........................

11

Appendix
A:

ASW Cross Border Business Processes

................................
................................
...........

11

Appendix B:

Questionnaire

................................
................................
................................
...............

22





4


Acronyms


ACDD

ASEAN Customs Declaration Document

ADVANCE

ASEAN Development Vision to Advance National Cooperation for Economic
Integration

AMS

ASEAN Member State(s)

ASEAN

Association of Southeast Asian Nations

ASW

ASEAN Single Window

ASWSC

ASW Steering Committee

ATIGA

ASEAN Trade in Goods Agreement

COTS

Commercial Off
-
The Shelf

CSV

Comma Separated Values

ebMS

ebXML Messaging
System

FTP

File Transfer Protocol

HTTPS

Hypertext Transfer Protocol Secure

IP
-
VPN

Internet Protocol Virtual Private Network

MIS

Management Information Systems

MPLS

Multiprotocol Label Switching

NSW

National Single Window(s)

PKI

Public Key
Infrastructure

PQP

Project Quality Plan

RDS

Reference Data System

RFP

Request for Proposals

REST

Representational State Transfer

RS

Regional Services

SIT

System Integration Test

SLA

Service Level Agreement

SOA

Service
-
Oriented Architecture

SOAP

Simple Object Access Protocol

SSL

Secure Sockets Layer

TOR

TWG

Terms of Reference for the Cross Border Business Process Analysis Activity

ASW Technical Working Group

UAT

User Acceptance Testing

USAID

US Agency for International Development

XSD

XML Schema Definition




5


1.

Introduction

This document, t
he
ASW Cross Border Business Process Analysis Interview Guide and Questionnaire
(
Private Sectors
)



the “Guide”
-

is intended for key representatives of the Private Sectors
(particularly those from
the Trade Associations) and also selected business entities from each AMS
who are responsible for providing their inputs to the Project Team on the

ASW
Cross Border Business
Process Analysis Activity
.

It is requested that the selected representatives to p
repare for the interviews with the Project Team
using this Guide, and if practical, to complete the accompanying questionnaire prior to the interviews.

This Guide includes:



Context of the ASEAN Single Window and Objectives of
the ASW Cross Border Busines
s
Process Analysis activity



Preliminary list of Candidate Cross Border Business Processes



Preparation requested to be done prior to the Interviews



Preliminary draft diagrams and descriptions of “as
-
is” cross border business processes and
potential future “to
-
be” processes utilizing the ASEAN Single Window


these are included
as Appendix A



Questionnaire included as Appendix
B



it would be much app
reciated if this could be
completed to the extent practical prior to the interviews. During the interview
s,

the Project
Team will discuss and supplement the responses using this Questionnaire.



6


2.

Context and Background



Through the ASEAN Commun
ity Blueprint, adopted in 2007, the ASEAN leaders committed to
transform ASEAN, by 2015, into a single market and production base, a highly competitive economic
region, a region of equitable economic development, and a region fully integrated into the glob
al
economy. The free flow of goods is one of the principal means by which the aims of a single market
and production base can be achieved
-

a single market for goods (and services) will also facilitate the
development of production networks in the region a
nd enhance ASEAN’s capacity to serve as a
global production cente
r
or as a part of the global supply chain. Apart from the removal of tariffs and
non
-
tariff barriers, trade facilitation measures such as establishing the ASEAN Single Window and
integrating
and harmonizing customs procedures, are key to the free flow of goods. Accordingly, the
Blueprint also committed to accelerate the realization of the ASEAN Customs Vision 2020, to 2015.


The ASEAN Single Window will play a critical role in facilitating th
e free flow of goods, and its
implementation will promote the harmonization of standards and conformance procedures, including
enhancing
intra
-
ASEAN preferential

Rules of Origin procedures. It can also help to facilitate the
coordination and partnership am
ongst
ASEAN
Customs Administrations, the integration and
transparency of customs procedures, and other concrete agenda items included in the ASEAN
Customs Vision 2015. It aims to accelerate the release of cargoes, and to reduce trade transaction
costs and
time for the ASEAN
M
ember
S
tates, and thus enhance trade efficiency and competitiveness.
It will also facilitate ASEAN’s participation in global and regional supply chains, key to the
realization of the ASEAN Economic Community.


Functionally, the ASEAN Single Window is an integrated secured communication network
environment, with no central server,
and
where ten National Single Windows of individual Member
Countries operate and integrate based on standardized information exchange,

procedures, formalities,
and international best practices. The National Single Windows enable a single submission of data and
information, a single and synchronous processing of data and information and a single decision
making point for customs clearance

of cargo. The NSW’s also promote collaboration and partnership
between the Customs Administration and other governmental agencies, economic agents and
operators (e.g. importers, exporters, transport operators, express industries, customs brokers, freight
forwarders, commercial banking entities and financial institutions, insurers).


In December 2005, with the ASW Agreement, ASEAN committed to the establishment of the
ASEAN Single Window (ASW) to expedite customs procedures with participation of the ASEAN
-
6

by 2008, and with the newer Member States by 2012. This was followed in December 2006 by the
signing of the ASW Protocol to enable effective implementation of the ASW.

In July 2011, ASEAN
Member States signed a Memorandum of Understanding on the Implement
ation of the ASEAN Single
Window Pilot Project. Individual ASEAN Members States have or are in

the process of implementing
their respective National Single Windows.


ASEAN has agreed to develop a secure environment within the ASEAN Single Window Pilot Pro
ject
to realize the ASEAN Single Window concept as defined in the ASW Agreement and Protocol.



7


3.


Objective of the ASW Cross Border Business Process Analysis Activity


T
he objective of this study is to identify, prioritize, and analyze cross
-
border, cargo
-
related

clearance,
business processes and
data required for
information flow, which will be exchanged using the ASW
architecture. This analysis will support
both
the
process

flow and data flow for pre
-
arrival clearance,
and other business processes
in the use of ASW’s secured regional network.


In order to achieve these overarching objectives, supplementary goals of the study include to:

a.

Identify the holistic value the ASW Architecture may offer to the specific stakeholders for
specific cross borde
r business processes. The stakeholders in cross border trade may include,
for example, sectors of the relevant trading communities, specific government agencies
involved in cross border trade, and government policy agencies which have an objective to
facil
itate trade.

b.

Identify the readiness and plans of the trading community and government agencies to
“integrate” their cross border business processes with the ASW
-
NSW Framework so as to
exchange the related information electronically.

c.

Recommend the priorit
y (or sequence) and timing for implementation of specific “electronic”
cross border processes with supporting reasons.

d.

Document the identified cross border business processes

e.

To suggest an approach to facilitate the “electronic” implementation of the iden
tified cross
border processes

Constraints and remarks related to these goals include:

i.

The holistic value in (a) above will be a qualitative assessment only.

ii.

The assessment of the readiness and plans of the trading community and government ag
encies
in (b) above will be based on information already readily accessible in the public domain, or
is able to be quickly provided by relevant government agencies of each AMS. The quality of
the assessment will be directly related to the quality of the i
nformation available.

The final deliverable of the project will be a
report
“Recommendation on ASW Implementation
Priorities for Cross Border e
-
Business Processes”

which will rely heavily on the results of the
interviews and responses to the questionnai
res.



8


4.

Preliminary Identification of Candidate ASW Cross Border Business Processes


A preliminary list of candidate ASW cross border related business processes and associated
documents that may be facilitated with the ASW architecture is included in the table below. An initial
understanding (flow
diagrams,
flow
descriptions
)

of how these

processes are currently executed (the
“As
-
Is” processes) is attached in Appendix A together with suggestions on the proposed processes
utilizing the ASW architecture (the “To
-
Be” processes)
.

Please note that it is expected that:

o

there
may
be changes to this

list of cross border business processes as the project progresses

o

Consideration

will be given to the possible contribution of the proposed ASW cross border
processes to the achievement of supplementary policy objectives related to such
areas as trade
and supply chain security, public health and safety, and control and prevention of pests and
diseases, and smuggling prevention, including protection of IPR.



#

Business Process

Document

Export Side

Import Side

Commercial
Parties

Government

Parties

Commercial
Parties

Government
Parties

A

Cargo Clearance

A1

House and Master
Freight
booking confirmation

(before loading)

Port;

Forwarder

Carrier (Agent)


Port;

Forwarder

Carrier (Agent)

Customs
(Potentially)

A2

Freight
loading

confirmation

(
after

loading)

Port;

Carrier (Agent)

Port Authority

Port;

Carrier (Agent)

Customs
(Potentially)

A3

Transport Document (e.g.
House/Master
Bill of Lading

or
House / Master
Air
Waybill
)


Cargo Owner
(Exporter);

Forwarder

Carrier (Agent)


Cargo Owner
(Exporter);

Forwarder

Carrier (Agent)


A4

House / Master
Cargo
Manifest

Forwarder

Carrier (Agent)

Customs

Forwarder

Carrier (Agent)

Customs
(Clearance)

A5

Commercial Invoice and
Packing List

Cargo Owner

(Exporter)

Customs

(On Request)

Cargo Owner

(Exporter)

Customs



(On Request)



A6

ASEAN Customs Declaration
Document
(ACDD)

(already in ASW Pilot)

Exporter

Customs
(Clearance)

Importer

Customs
(Intelligence
and Risk
Management)



9


B

Import when Certificates of Origins are required

B1

ATIGA Form D

(already part of ASW Pilot)

Exporter;
Manufacturer

Certificate
Issuing

Agency

(e.g. Foreign
Trade)


Importer

Customs

(Duty
Calculation)

B2

ATIGA Form D Utilization
Report

(part of ASW
Pilot)


Certificate
Issuing Agency

(e.g. Foreign
Trade)


Customs

B3

Self
-
Certified

Invoice
(
c
ertif
ying

o
rigin
)

Authorized Exporter

Customs

Importer

Customs

(Duty
Calculation)

B4

Certificate of Origin

(
Non
-
p
referential
)

Exporter;
Manufacturer

Certificate
Issuing Agency

(e.g. Foreign
Trade)



C

Import when Food, Health and Phytosanitary Certificates are required

C1

Phytosanitary Certificate

Exporter

Health

Department;
Customs

Importer

Health
Department;
Customs

C2

Health Certificate

Exporter

Health

Department;
Customs

Importer

Health
Department;
Customs

C3

Halal Certificate

Exporter

Halal Control

Agency;
Customs

Importer

Halal Control
Agency;
Customs


D

Transit (ACTS)



Outside
S
cope of Survey / Questionnaire

D1

ASEAN Customs
Declaration Document

(ACDD)


(Transit
s
ub
-
s
et)

Exporter; Carrier
(Agent)

Customs
(Border
Control)

Importer;
Carrier
(Agent)

Customs
(Border
Control)

D2

Cargo Guarantee

and
Insurance

Exporter (Cargo

O
wner)
;

Financial
Institutions;
Insurance
Companies

Customs
(Border
Control)

Importer
(Cargo
Owner)

Customs
(Border
Control)

10


E

Settlement of
Goods Payment

E1

Notification of Letter of
Credit Negotiation


Exporter,

Bank


Importer,

Bank


E2

Purchase Order

Exporter


Importer


E3

Insurance Certificate

Exporter,

Insurance
Co
mpany


Importer,

Bank


E4

Inspection Certificate

Exporter,

Inspection Agency


Importer,

Bank


E5

Commercial Invoice /
Packing List

Export


Importer,

Bank


E6

Transport Proof of Delivery
(e.g.
Waybill
)

Carrier,

Agent,
Forwarder


Carrier,

Agent,
Forwarder,
Bank


F

ASEAN Trade Party Identification and Status Exchange

F1

General Trade Party
Identification
, Licensed or
Authorized Role

and Status

(e.g. AEO Identity and
Status)

Economic Operator
(Trading Party)
-

Export

Government
Agencies

Economic
Operator
(Trading
Party)
-

Import

Government
Agencies

11


5

Interview Preparation
for Cross Border Business
Processes



The Project Team would much appreciate your support in prior preparation for the remote or on
-
site interviews by reviewing and compiling the necessary requested
information / answers, and also if possible also actually completing the Questionnaire in Appen
dix
B
, where this is practical.
, noting:


a.

An example of t
he description and diagrams of the “as
-
is” and “to
-
be” processes are specified in Appendix A

b.

The detailed questions and information requested is specified in Appendix
B


c.

For each process, the follow
ing is requested which may take time to prepare
-

so we ask that this be initiated as soon as possible:



sample completed paper documents,



the specification of the structure of all electronic documents used for each process



sample electronic documents for
all electronic documents in the process


Following the dispatch of the questionnaires and preliminary cross border business process descriptions, the
P
roject
T
eam will follow
-
up
(
remotely
or on
-
site)
with the potential respondents to review and revise th
e preliminary “as
-
is” and suggested “to
-
be” cross border business processes, and to assist with the
completion of the questionnaire. It is critical for the success of the project that

i
ndustry representatives are available who understand the relevant cross

border
processes in depth and
is

able to devote the necessary time to respond to the questionnaire and be a part of interview and review process

Appendix
A
:

ASW Cross Border Business Processes


12


A1.1

FREIGHT BOOKING CONFIRMATION (BEFORE LOADING) (AS
-
IS)

13



A1.
2

FREIGHT BOOKING CONFIRMATION (BEFORE LOADING) (
TO
-
BE
)


14



A2.1

FREIGHT
LOADING

CONFIRMATION (
AFTER

LOADING) (AS
-
IS
)

15



A2.2

FREIGHT
LOADING

CONFIRMATION (
AFTER

LOADING) (
TO
-
BE)

16


A3.1

BILL OF LADING (AFTER L
OADING) (
AS
-
IS)

17


A3.2

BILL OF LADING (AFTER L
OADING) (
TO
-
BE)

18


A4.1

CARGO MANIFEST (AFTER L
OADING) (
AS
-
IS)




19


A4.2

CARGO MANIFEST (AFTER L
OADING) (
TO
-
BE)



20


A5.1

COMMERCIAL INVOICE

AND PACKING LIST
(
AS
-
IS)

21


A5.2

COMMERCIAL INVOICE

AND PACKING LIST
(
TO
-
BE)



22


Appendix
B
:

Questionnaire


SURVEY QUESTIONNAIRES PROPOSED FOR PRIVATE SECTORS

A

I
NTRODUCTION

A1

We would appreciate if you could introduce yourself (
optional
) and your Company
:


Name:

Position/Designation:

Email address:

Phone number : (Office)

(Mobile)

Please i
ndicate which phone number you preferred to be contacted, if additional information

are needed
:




Office


Mobile



Preferred not to be contacted


A2

What is the name of your Company?




A3

Where are you located?


City: Country:



A4

Date survey completed (
DD/MM/YYY
)

:



B

C
OMPANY HIGHLIGHTS

B1

What is your Company’s size in terms of
total number of employee
?



This office : Group level:


23


B2

Ìs your
Company part of a Global Group with Headquarter outside ASEAN? If yes, please indicate your Head
-
office:





No



Yes

Head
-
Office :


B3

What is your Company’s primary area of activity?





Manufacturer



Trader/Distributor



Freight Forwarder



Customs Agent/Broker




Port Terminal




Transport Operator



Carrier (Ocean)




Carrier (Air)




Bank



Others
(pl
ease

indicate
)

:



B4

What goods
/commodities

does your Company produce or trade in?


(
If your Company is a
Service, Transport or Logistics company,

please
complete
the Service section).




Animals, meat, seafood, dairy
&

its produce



Live plants, cut flowers



Fresh fruits & vegetables




Coffee, tea, spices




Cereals &

its products, oilseeds, oils




Prepared meats, seafood, other foods



Minerals, ores, fuels



Chemicals &
its

products




Plastics, rubber and its articles



Hides, skins, leather



Wood & its products



Textiles, clothing, footwear




Stone, ceramics, glass
&

its products


Base metals and its articles



Machinery (including electronics)



Vehicles & its parts




Optical, photographic, time or musical instrument



Furniture, bedding, mattress



Toys, sporting goods



Services
(please

complete
below)



Others
(please indicate
):



For Service, Transport and Logistics Company, please indicate types of services
offered

(please mark

all

that applies)
:




Transportation

(Air & Ocean)



Warehousing



Customs Clearance




Documentation




Freight Booking




Consolidation/Deconsolidation Services





Stevedoring






Maritime & Wharf Services






Terminal/Port Operations




Packing/Labelling





Bonded Services




3
rd

Party Logistics Provider




Financial Services





Insurance Services




Others
(please indicate)
:




24


C

TRADE PROFILE

C1

Please indicate your Company’s approximate trade volumes, in terms of
number of consignments

for
both IMPORT and EXPORT,

in the
last fiscal year
?


(
Best

estimates, if real figures are not obtainable).


No of consignments
:

>


IMPORT: EXPORT:


C2

Please indicate the portion (in terms of
percentage
)
for F
CL, LCL & bulk
(loose cargoes) handled in last fiscal year
?


(
Best

estimates, if real figures are not obtainable).


Breakdowns
:

> (a) FCL :


%

(b) LCL:


%

(c) BULK:



%


C3

Please indicate what portion of trade volume is
intra
-
ASEAN?


(best estimates, if real figures are not obtainable).


Breakdowns
: >

(a) Intra
-
ASEAN
:



% (b) Outside ASEAN
:

%


C4

Please indicate what portion of your trade is using different mode of transport?


(
best estimates, if real figures are not obtainable).


(a)

Maritime:



%

(b) Air
:



% (c) Road:




% (d) Rail:


%



D

DEALINGS WITH TRADE & GOVERNMENT AGENCIES PROCESSES

D1

How does your Company manage
paper
-
work with trade
-
related documentation?

(tick all that applies)




Manual, paper
-
based



Digital with scanned images (email)



Data exchange with structured data format (EDI
-
based)



Online portal (web
-
based)


D2

How does your Company
manage paper
-
work with government
-
related documentation?

(tick all that applies)




Manual, paper
-
based



Digital with scanned images (email)



Data exchange with structured data format (EDI
-
based)



Online portal (web
-
based)


25


E

CROSS
-
BORDER
DATA EXCHANGE VIA ASW

E1

Would your Company agree for the information (data) related to the following documents to be exchanged
electronically (in structured data
format)
using the ASW framework?

Please indicate Yes or No.











YES


NO

i)

Freight Booking Confirmation

(by carrier)










ii)

F
reight Loading Confirmation
(by port)










iii)

Bill of Lading
(by carrier)













iv)

Cargo Manifest
(by carrier)












v)

Commercial Invoice & Packing List

(by exporter)









vi)

Certificate of Origin
(by Chambers)











vii)

Phyto
-
sanitary or Health Certificate
(by OGA)











viii)

Insurance Certificate
(by Insurer)












ix)

Notification of L/C Negotiation

(by bank)












E2

If your response

to
<
E1
>

is N
O
, please indicate your concerns
on
exchange
of the above documents
over
the ASW
:




Commercial Secrets




Delays




Costs




Data Compatibility




Non
-
flexibility in commercial dealings



Others :



F

ADVANCE CARGO INFORMATION FOR
<
PRE
-
ARRIVAL PROCESSING
>

F1

If the data of the various documents listed in E1 are exchanged in advance (prior to vessel’s arrival at discharging port) vi
a the
ASW
, would
your Company benefit in such exchange, bearing in mind that “Pre
-
Arrival Processing”

c
ould
be carried out in advance.




Yes, we anticipate
to
benefit



No, we don’t anticipate any benefit



Not sure





26


F2

If
your Company anticipate benefits c
ould
be derived from such advance exchange of
data
, can you
indicate (in order of preference) which of
the following documents can be iden
tified to be implemented
:

(
use <1> for top urgently required <2> next top urgent and so forth…
)













Ranking

i)

Freight Booking Confirmation
(
issued
by carrier
)








ii)


Freight Loading Confirmation
(
issued
by port)






iii)


Bill of Lading
(
issued
by carrier)









iv)


Cargo Manifest
(
issued
by carrier)








v)


Commercial Invoice & Packing List

(
issued
by exporter)





vi)


Certificate of Origin
(
issued
by Chambers

& OGA
)






vii)


Phyto
-
sanitary or Health Certificate
(
issued
by OGA
)





viii)


Insurance Certificate
(
issued
by Insurer)







ix)


Notification of L/C Negotiation

(
issued
by bank)








G

IDENTIFIED BUSINESS PROCESS RECOMMEN
DATIONS

FOR

IMPLEMENTATION
IN THE
ASW

FRAMEWORK
AS
PART OF THE ADVANCE CROSS
-
BORDER EXCHANGE OF INFORMATION

G1

Basing on each business process (
T
o
-
B
e)

as
shown
above
in Appendix A
, do you foresee any difficult
y(ies)
in the acceptance of the
recommended new “
T
o
B
e”
business
processes?









No

Yes

Not
sure

i)

Freight Booking Confirmation











ii)

Freight Loading Conf
i
rmation











iii)

Bill of Lading














iv)

Cargo Manifest













v)

Commercial Invoice & Packing List











vi)

Certificate of Origin













vii)

Phyto
-
sanitary or
Health Certificate











viii)

Insurance Certificate













ix)

Notification of L/C Negotiation













27


G2

If you agree to these recommended “
T
o
B
e” business processes, would you foresee any benefit
that
you may derive, if accepted for
implementation. Would you list some of the benefits, including the time and resources saved when pre
-
arrival processing can be achieved.

(
List i
n order of priorities)
.




Yes


No


Not Sure
(Tick one)


(Indicate in order of
priorities)




Time Saved





Manpower Saved




Quick
-
to
-
Market A
dvantages




Advance Planning Possibility


better resource management




Eliminating
Port Store Rent & Demurrage



Improved Customer Services





Better
P
redictability

-

leading to lower inventory holding




Other
b
enefits
anticipated
:




G3

If you are not agreeable to the recommended “
T
o
B
e” business processes, could you indicate which of the recommended “
T
o
B
e” business
processes that you foresee cannot be accepted or implementable.
Please offer your explanations.


i)

Freight Booking Confirmation





ii)

Freight Loading Confirmation





iii)

Bill of Lading







iv)

Cargo Manifest







v)

Commercial Invoice & Packing List




vi)

Certificate of Origin






vii)

Phyto
-
sanitary or Health Certificate




viii)

Insurance Certificate






ix)

Notification of L/C Negotiation





Explanations:




28


G4

If you are not

agreeable to the recommended “T
o
B
e” business process, could you please suggest other
alternative
changes
/improvements

that
may be implemented
?

(Use separate sheet
s

of paper if
the
spare

below

is insufficient).











H

CONCLUSION



Thank you very much for taking your precious time to complete this important survey. Please ensure that your
contact
information is correctly

entered in Section A so that we may thank you by sending you a Certificate of Appreciation.


If you have any quest
ions about this survey, please feel free to write (
email

is prefer
red
) to the Study
T
eam leaders:

1) Mr Kenneth Tiong (
kcationg@gmail.com
)


or

2) Mr Peter Stokes (
pstokes@axway.com
).


Results of this survey will be analysed and presented to the ASEAN Si
ngle Window Technical Working Group. All your
responses will
be treated in full confidence
.


If you have additional comments which you would like to offer to our study team about the future of
the
ASW, in respect of its usage and
functionality, please
share with us in the space below:

(Use separate sheets of paper if the space below is insufficient)