Single Window Reference Model · 2009. 3. 16. · • Business reference models (BRM) concentrate on the functional business processes and organizational aspects of the core business

Copyright 2009 Private & Confidential

All rights reserved. ‘CrimsonLogic’ and the Shell Device are trade marks of CrimsonLogicPte Ltd. All information contained in this presentation is disclosed to you on the basis of a prospective business relationship and is proprietary to CrimsonLogic Pte Ltd and may not be used, disclosed or reproduced without the prior written consent of CrimsonLogic.

Single Window

Reference Model

Asia-Pacific

Trade Facilitation Forum 2009

Bangkok, 25 – 26 Nov 2009

Jonathan Koh

Director, Solutions & Consulting


Our Trade Facilitation Our Trade Facilitation ExperienceExperience

Self FundedOn-goingTrinidad & Tobago Single

Electronic Window

Trinidad &

Tobago


AgendaAgenda

1. Reference Models – Intro

2. Establishing Single Window Reference Model

3. Desired Outcome


Business Reference Model Business Reference Model --

ConceptsConcepts

• Business reference models (BRM) concentrate on the functional business processes and organizational aspects of the core business of an enterprise

• Describe the business operations of an organization, independent of the organizational structure that performs them

• The business process modeling methodology for trade applied to draw up this document is based on the UN/CEFACT Modeling Methodology (UMM).

• UMM concentrates on workflows needed to understand the business

needs to produce business scenarios, business objects and areas of business collaboration. They are:

• Business Domain Modelling

• e-Business requirements

• Analysis

• Design


BOM

BRV

BTV

BSV

Business

Modeling

Requirements

Analysis

Design

Business Area

Process Area

Business Process (Use Case)

Use Case Description

Business Collaboration

Business Transactions

Business Documents

Service Collaborations

UMM Workflow Deliverables

UMMUMM


Examples of TradeExamples of Trade--related related

Reference ModelsReference Models

• Reference Model of the TIR Procedure - UNECE

– Models the business processes for the whole TIR Carnet life cycle



Reference Model

for

Single Window

Implementation


Reference Model for Single Window DomainReference Model for Single Window Domain

What is a reference model?

Why develop a reference model for

Single Window / Customs ?

� There is currently no industry reference model in the SW / Customs domain.

� Easy identification of gaps and overlaps between the currentpractices and the industry best practices.

� Process inefficiencies and bottlenecks prevalent in the on-goingprocesses can be continually monitored and allows benchmarkingagainst international standards.

� Enables continual examination and rationalisation of the businessprocesses, its documentation and information requirements of othergovernment agencies involved in the clearance of imported andexported goods.

A reference model is a conceptual framework that essentially serves as ablueprint for business engineering.


BusinessStrategy& Require-ments

Program& ProjectManage-ment

PortfolioAnalysis

Business

Architecture

Business

Architecture

Business Processes,

Workflows, Transactionsand Collaboration

Information

Architecture

Information

Architecture

Infrastructure ArchitectureInfrastructure Architecture Hardware, Server, OS, Network

Application

Architecture

Application

ArchitectureSystems, Services,

Functional Use Cases

Data, Business Objects,

Exchange Formats,Security and Privacy

From Business to ITFrom Business to IT


CrimsonLogic SW Reference Framework CrimsonLogic SW Reference Framework

OverviewOverview

• Strategy

• Organization

• Business Function

• Business Process

• Information

• Technology

10


Strategy

Stakeholders

Information

Technology

BusinessFunction

BusinessProcess

• Strategy

• Organization



• Information

• Technology

11

SW Reference SW Reference –– Organization ModelsOrganization Models

Copyright 2009 Private & Confidential 12

Organization Models Organization Models –– Level 1 & 2Level 1 & 2

Level 1

Level 2

Customs

GovernmentAgencies(O.G.A.)

PortTradingPartners

Other Agencies

Air Carrier

Service Bureau IndividualDiplomatGovernment

Land Carrier

Importer Exporter

Air Cargo Handler


Level 0

Level 1

Level 2 &3

Sea PortsAssistant Chairman of

Sea Ports

Department ofInternational

Cooperation andPublic Relations

Department ofStrategic Planning

Department of Controland Auditing

Department of LegalAffairs

QCCSW Chairman

Ahmed Ali Al Mohannadi

Customs AffairsAssistant

Chairman o...

Ahmed IssaAl Mohannadi

Support ServiceAssistant Chairman of

Support Services


Chairman o...


Departm ent of Air CargoCustom s

Department of LandCustoms

Director of CustomsAffairs

Director ofMaritime Custom s

Department ofCustoms Affairs

Department ofMaritime Customs

Hassan Al Naiemi

Mohd Al Muhannadi


Valuation and RiskManagement Section

Tariff, Origin andExemptions Section

Customs ProceduresSection

Brokers Section

Risk ManagementUnit

Valuation ControlUnit

Tariff Unit

OriginUnit

ExemptionsUnit

Intellectual PropertyUnit

SuspendedCustoms Duty Unit

CustomsProcedures

Simplification Unit...

Brokers Auditingand Controlling Unit

Brokers Affairs Unit

CustomsClearing...

CustomsAffairs...

Corporate Organizational Chart

Division Organizational Chart

Department Organizational Chart

Organization Models Organization Models –– Level 1 , 2 & 3Level 1 , 2 & 3


Strategy

Stakeholders

Information

Technology

BusinessFunction

BusinessProcess

SW Reference SW Reference –– Business Processes ModelsBusiness Processes Models

• Strategy

• Organization



• Information

• Technology

14


SW Business Processes ModelSW Business Processes Model

Level 1

Level 3 Importer / ExporterCustomsAffairs...

Submit OnlineTrading Partner

Registration

Receive andApprove

Trading PartnerRegistration

Receive SerialNumber

(Importer /Exporter Code)

Business Areas

Business Processes

Business Activities – Value Chain

Level 2

CoreProcess

SupportProcess

ManagementProcess

Import ExportTransit /

Transhipment

TemporaryExport

Re-export

ExportPassenger

Cargo - Export

Export ManifestExport

Declaration

Export PermitApproval From

O.G.A

Handling FeeInspection LoadingCustomsRelease


RiskAssessment


CoreProcess

SupportProcess

ManagementProcess

Import ExportTransit /

Transhipment

Specification:Specification:Specification:Specification:

It describes the overall services provided to internal

/external customers, such as :

- Import

- Export

- Transit

- Transshipment

Business Process Model Business Process Model –– Level 0Level 0

Domain : Business ProcessLevel : 0Model Name : Business process Map

16



Each ‘business process area' contains a collection of end

to end process flow, which provide similar services to the

one or a few ‘customer cluster’. All these ‘end to end’

process flow are list out in a ‘Business Process Area’

diagram, each of ‘end to end’ process flow is referred as

‘business main process’

Domain : Business Process

Level : 1

Model Name : Business Process

Area

17




Each ‘business Main Process' could be described by some

business process’, which work together to deliver the

service to the customer in different scenario (Variant).

This diagram provides a overview picture for the owner

and users of this ‘business main process' and it serves

as basis for business model change or process

improvement.

Domain : Business Process Level : 2Model Name : Business Main Process Flow

18

Business Process Model Business Process Model –– Level 2 Level 2 -- ImportImport


Business Process Model Business Process Model –– Level 2 Level 2 -- ExportExport


Business Process Model Business Process Model –– Level 2 Level 2 -- TransitTransit

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Transit

Type: Business Main Process Flow

Last change: 3/16/09 9:57:26 AM

Advanced Pre-Arrival Electronic

Information

Cargo ManifestDeclaration

InspectionManagement

Inter-gatewayMovement

OGA DeclarationApproval

ElectronicDeclarationSubmission

Duties and FeesAssessment

Cargo Release

Fees PaymentRisk

Managementand Selectivity

GuaranteeManagement

Valuation

CustomsWarehouse

Law andEnforcement

ت�ز�ار� ا

ذ"�� ا ن� �آر� ا



To describe business process flow in a swim lane style, so that the responsibility of

process activities and the place of the

handle over are clear defined

Domain : Business ProcessLevel : 3Model Name : Vertical Swimlane

21



Strategy

Stakeholders

Information

Technology

BusinessFunction

BusinessProcess

SW Reference SW Reference –– Information / Data ModelInformation / Data Model

• Strategy

• Organization



• Information

• Technology

22


Level 1

Level 2

Goods Shipment

Importer

Warehouse

Customs Valuation

Trade Term

Seller

Invoice

Consignor

Unique ConsignmentReference

Notify Party

Delivery Destination

Consignee

Exit Customs Office

Export

Import

Transhipment

TransitPassenger

CargoDW Structure

Entity Relationship Diagram

Information / Data Models Information / Data Models –– Level 1 & 2Level 1 & 2



Entity Relationship Diagram (ERD) is traditional method to describe the relationship for the

entities used by a specific business domain or sub

domain. Here, attributes to describe an entity is

hidden with a lower level model (‘Entity

Description Diagram (Logical))

Information / Data Model Information / Data Model –– Level 2Level 2

Domain : Information Architecture (IA)Sub Domain : DataLevel : 2Model Name : Entity Relationship Diagram

24

Declaration

Goods Shipment

Consignment

Customs Goods Item

Commodity

Transport Equipment

Currency Exchange

RepresentativePerson

DeclarationPackaging

Importer Agent

Warehouse

Customs Valuation

Trading Partner Invoice

Consignor

Notification to Party

Delivery Destination

Consignee

Customs Office

TransshipmentLocation

Arrival TransportMeans

Carrier

Loading Location

Unloading Location

Transport ContractDocument

Border TransportMeans

EquipmentIdentification

Invoice Line

Goods Location

Additional Information

Additional Document

Customs Procedure

Certificate of Origin

Goods Measure

Goods Packaging

ProcessingEstablishment

Manufacturer

Valuation Adjustment

Previous CustomsDocument

Examination Place

Import

Type: IE Data model

Last change: 3/16/09 3:56:14 PM


Strategy

Stakeholders

Information

Technology

BusinessFunction

BusinessProcess

SW Reference SW Reference –– Technology ModelTechnology Model

• Strategy

• Organization



• Information

• Technology

25



Desired Outcome

Reference Model

for

Single Window

Implementation


CrimsonLogic SW Reference Framework CrimsonLogic SW Reference Framework

-- Putting It TogetherPutting It Together

• Strategy

• Organization


• Information


• System Function

• Technology

27

Strategy

Organisation

BusinessProcess

Information

Technology

BusinessFunction

System Function


SW Reference Model Business Processes SW Reference Model Business Processes

FrameworkFramework

Level 0

Level 1

Level 3

Importer / ExporterCustomsAffairs...


Registration

Receive andApprove




Business Process Map

Vertical Swimlane

Business Main Process Flow

Core

Process

Support

Process

Management

Process

Import Export

ImportTemporary

Import


Information

Customs ClearanceProcessing



ValuationRisk Management

and SelectivityInspection

Management

Duty Payment Cargo Release


Post Clearance Audit

Law andEnforcement

Duties and Tax FeeAssessment

Customs Warehouse

AEO Management

Backline ProcessesFrontline Processes

Level 2

Business Process Area

S

Commercial

S

Individual

S

Diplomat

S

Government


P


(Commercial)

P

Trading PartnerRegistration(Individual)

P

Trading PartnerRegistration(Diplomat)

P


(Government)

Scenario Selection Matrix


Create process transparency

Measure processes

Identify weak points

Improve processes

Determine system

requirements

Business Process DesignBusiness Process DesignBusiness Process StrategyBusiness Process Strategy

Determine process objectives

Control execution of processes

Identify and manage

operational risks

Manage resources by objectives - Motivate

employees

Business Process ControllingBusiness Process Controlling

Implement application systems

Continuously manage and improve processes

Business Process ImplementationBusiness Process Implementation

Train employees in the new processes

Enterprise ArchitectureInformation Repository

SW Reference Model FrameworkSW Reference Model Framework


Process & Org Process & Org RelationshipRelationship


Valuation and RiskManagement Section

Tariff, Origin andExemptions Section

Customs ProceduresSection

Brokers Section

Risk ManagementUnit

Valuation ControlUnit

Tariff Unit

OriginUnit

ExemptionsUnit

Intellectual PropertyUnit

SuspendedCustoms Duty Unit

CustomsProcedures

Simplification Unit...

Brokers Auditingand Controlling Unit

Brokers Affairs Unit

CustomsClearing...

CustomsAffairs...


Chairman o...


Department of Air CargoCustoms

Department of LandCustoms

Director of CustomsAffairs

Director ofMaritime Customs


Department ofMaritime Customs

Hassan Al Naiemi

Mohd Al Muhannadi

Sea PortsAssistant Chairman of

Sea Ports

Department ofInternational

Cooperation andPublic Relations

Department ofStrategic Planning

Department of Controland Auditing

Department of LegalAffairs

QCCSW Chairm an

Ahmed Ali Al Mohannadi


Chairman o...


Support ServiceAssistant Chairm an of

Support Services

Level 0

Level 1

Level 3

Level 2

Importer / ExporterCustomsAffairs...


Registration

Receive andApprove




Core

Process

Support

Process

Management

Process

Import Export

ImportTemporary

Import


Information

Customs ClearanceProcessing



ValuationRisk Management

and SelectivityInspection

Management

Duty Payment Cargo Release


Post Clearance Audit

Law andEnforcement

Duties and Tax FeeAssessment

Customs Warehouse

AEO Management

Backline ProcessesFrontline Processes

S

Commercial

S

Individual

S

Diplomat

S

Government


P


(Commercial)

P

Trading PartnerRegistration(Individual)

P

Trading PartnerRegistration(Diplomat)

P


(Government)


Products andServices

Data Applications

Organization

Processes

Customer

Customernumber

Name

Address

Supplier

Name

Address

Suppliernumber

ProductASGN

Productnumber

Description

Business

partner

BP number

Name

Address

Salesdata

Manufacturingdata

Marketingdata

Shippingdata

Qualit yassurance

data

Strategicdata

Financialaccounting

Costaccounting

data

Fixedasset

accounting

© IDS Scheer, Inc. 2004

Conceptual

Layer

= Requirement

Definition

Logical Layer

= Design

Specification

Physical Layer

= Implementation

Merrill LynchOrganization

Structure

Office ofGeneral Counsel

(OGC)

M err il l Lynch& Co

Finance

Shar ed Services

HumanReso urces

(HR )

BusinessSegment s

Global M a rk ets &Investment

Banking(GMI)

InvestmentM anagers

(MLIM)

CorporateSe cr etary

Office (CSO)

Global Technol ogy& Services

(GT & S)Re se arch

M erril l LynchGPC

Organiz ationStruct ure

Merrill LynchBusiness

Architecture

Merrill LynchData

Architecture

Merrill LynchProducts &

Services

12B1 MF(MUTUALFUNDS)

INSURANCECLAIM

E2A

MLIGORACLE

FINANCIALS(MLIGOF)

WORKFLOW

ORACLEPURCHASING

(SLPO)

CORPTAX

BUSINESSENGINE

(BEN)

FINANCEPORTAL

(MI.FINNET)

BONDFUND

ACCOUNTING

MLPF&S ORACLEFINANCIALSSUBLEDGER

GL & INVENTORY

ACCOUNTMAINTENANCESYSTEM (ACM)

REACT

ELECTRONICDATA

INTERCHANGE(EDI)

ACTIVITYCONTROL

SYSTEM COA

ORACLEFINANCIALS

- SG

ORACLEBUDGET/

FORECASTING

ACTUARIALAND FINANCIAL

DATABASE (AFDB)

IPBG/IFSJOBMAN

ECONOMICMAP

MI.FINANCEORACLE

FINANCIALS

MLPF&SORACLE

FINANCIALSSUBLEDGER AP

ORACLEFINANICALS -

HKPRO

ORACLEPERFORMANCE

ANALYSER

ORACLEEDW

BUDGET2002

FINANCIALDATA BASE(FDBDCR)

TRANSFERPRICING

ACTIVITYCONTROL

SYSTEM INBOUNDFEEDS

REVENUEASSIGNMENT

COST CENTERMAINTENANCE

(CCM)

TAXICHARGEBACK

REPORTING

TAXIEDI FEED

INVESTMENTHOLDINGS

DATABASE (IHD)IR GRID

IPCG OLAPREPORTING

PCX

ICMS CAMRAACCOUNTS

PROCESSINGFIRM SIDE (APFIRM)

GLOBALRATE

CONTROL(GRC)

MCP WEB

LIVING DISASTERRECOVERYPLANNING

SYSTEM (LDRPS)

GCPWEB SITE

IFS MUTUAL

GL and Legal Close

Payments,Purchasing,Billing and Chargeback

Management Reporting

Bookkeeping

Merrill LynchApplicationArchitecture

Notval id

Val id

PATHClientprofile/

data recorded

Retail Personalin formation f or

accounta uthorized

individua ls

Re tail P er sona l

inf orma tion fo r

non- US accountaut horizedindividuals

Fact sheetr ecei ved ba ckwith account

number

Addcl ient profi le/

a ccounti nformation

CAM U

Re ta ilAccount

ti tleinformation

Retail

Corr espo nden cein formation

Retail

Financialinformation

Retail

Employmentinformation

Retail

Trad ingin formation

Retail

ED Dinfor mation

CAM U

Enterbranc h ora ccount

i nformation

Newacc ount

number

FA number

CAM USe lect

a ccounttype

Newaccount

numbe r

FA number

Primar yservice

type

KD

Vali daterecorded

data

TOUCHPOINTS & DATA EXCHANGE

A. Relationship

Management

B. Deliver GPC

Products toPrivate Clients

C. Manage Global

Private ClientBusiness

D. Develop Global


M errill LynchGlobal Private Client

Business

Processes

1.1. EstablishAccount

A2. ManageClient

Relationship

6_B_NewAcc ount/

Fraudproces sing

L3_Services &Techn ology

3_ApproveFact sheet

_Advisory_ Retail

2_ObtainAccount

Data_Advisory_Retail

5_Enter NewAccount

Data_Advisory_Re ta il

7_Receive &Scan

Documents(xer ox)

8_Approve &ActivateAccount_Adv isory_Retail

XeroxL 3_Advisory

Divisi onL3_Advisory

DivisionL3_Services &

TechnologyL3_Advisory

DivisionL3_Advi sory

Divi si on

1_ EstablishClient's Goals &

Expections_Advisor y

_Retail

4 _Assign AccountNumber_Adv isory_Retail

L3_Advi soryDivision

6_a_Prepare &Mail Documents

_Advisory_Retail

L3_Ad vi soryDivi si on

Retail factsheet (KDA)


MappedPainPoints

Long processcycle time due to

sending - waiting -receving documents

M anualprocessrouting

Series 8 approvaldelays process

Duplication in

review ofdocuments

Manu al print /store of new

accounts documentsby branch,

outdated inventory

Profilesheet

redundancy

Manual preparation& storage of paper

(profi le) forms



outdated inventory

Duplication inreview of

documents

Lack ofrelati onal,

reusabledata

M ore than 100data elements to

b e cap tured

Limited to nosharing ofprofile data

across products

Repetitive dataen try required

CA’s need todetermine documentrequirements based

on knowledge / resources

Fact sheets needto be filled out byhand even though

data i n system

Too manyaccount forms

CA’s not documentexperts want reviewof client documents,

esp. legal

Delayed accountopening due to

manual approvalsof profi le form



Lack of training /consistency for

account openingprocess

No overview whichfeatures cli ent

requested

F act SheetsUsab ility

2_Obtain Account Data_Advisory_Retail

ML website

Fact sheetcompleted

Allinformation

received

Clientin formation

missi ng

0.20

Follow upwi th client toget missingin formation

30.00 M inu te(s)

Enter initialdata on

fact sheet(hand-written)

10.00 Minute(s)

1_EstablishClient's Goals &

Expections_Advisory

_Retail

Determinemissing

information onfact sheet

10.00 Minute(s)

Completefact sheet

12.00 Minute(s)

0.80

Review & signfact sheet by FA

5.00 Minute(s)

0.80

Give reviewedfact sheet for

SEC regulationapproval

2.00 Minute(s)

Print factsheet

2.00 Minute(s)

Client Associate

(CA)

Client Associate(CA)

Client Associate

(CA)


Client Associa te(CA)

FiancialAdvis or (FA )Retail fact

sheet (KDA)

Fact sheet tobe reviewed

3_ApproveFact sheet

_Advisory_Retail

Retailaccountneeded

Client




Retai l factsheet (KDA)

Client Associate

(CA)

Retail factsheet (CAM)











Retai l factsheet (CAM)




AYG_personal

informa tion

AYG_personalgoals &

cashflowinforma tion

AYG_r isktolerance& asset

allocation model

AYG_risk

tol eranceprofile

AYG_personalba lancesheet

AYG_income,assets &liabili ties

informa tion

Customized_client

employmentinformation

Customized_client

incomeinformation

Customized_client

net worthinformation

Customized_client

tradingexperience

Customized_client

productexperience

Customized_client

personalinformation

FAapproval

information

Cash Management

CustomizedLending

Solutions


Services

WCMA Account

Card Services

withBanking & Lending Needs

forIndividualInvestors

forSmall & MidsizedBusinesses

forCorporations &Institutional Investors &Gouvernement

withCash Management Needs

Credit Derivatives

Emerging Markets Services

withGlobal Dept Needs

Products andServices

Data Applications

Organization

Processes

Customer

Customernumber

Name

Address

Supplier

Name

Address

Suppliernumber

ProductASGN

Productnumber

Description

Business

partner

BP number

Name

Address

Customer

Customernumber

Name

Address

Customer

Customernumber

Name

Address

Supplier

Name

Address

Suppliernumber

Supplier

Name

Address

Suppliernumber

ProductASGN

Productnumber

Description

ProductASGN

Productnumber

Description

Business

partner

BP number

Name

Address

Salesdata

Manufacturingdata

Marketingdata

Shippingdata

Qualit yassurance

data

Strategicdata

Financialaccounting

Costaccounting

data

Fixedasset

accounting

© IDS Scheer, Inc. 2004

Conceptual

Layer

= Requirement

Definition

Logical Layer

= Design

Specification

Physical Layer

= Implementation

Merrill LynchOrganization

Structure

Office ofGeneral Counsel

(OGC)

Merrill Lynch& Co

Finance

Shar ed Services

HumanResources

(HR)

BusinessSegments

Global Markets &Investment

Banking(GMI)

InvestmentManagers

(MLIM)

CorporateSecr etary

Office (CSO)

Global Technol ogy& Services

(GT & S)Research

Merrill LynchGPC

Organiz ationStructure

Merrill LynchBusiness

Architecture

Merrill LynchData

Architecture


Services

12B1 MF(MUTUALFUNDS)

INSURANCECLAIM

E2A

MLIGORACLE

FINANCIALS(MLIGOF)

WORKFLOW

ORACLEPURCHASING

(SLPO)

CORPTAX

BUSINESSENGINE

(BEN)

FINANCEPORTAL

(MI.FINNET)

BONDFUND

ACCOUNTING

MLPF&S ORACLEFINANCIALSSUBLEDGER

GL & INVENTORY

ACCOUNTMAINTENANCESYSTEM (ACM)

REACT

ELECTRONICDATA

INTERCHANGE(EDI)

ACTIVITYCONTROL

SYSTEM COA

ORACLEFINANCIALS

- SG

ORACLEBUDGET/

FORECASTING

ACTUARIALAND FINANCIAL

DATABASE (AFDB)

IPBG/IFSJOBMAN

ECONOMICMAP

MI.FINANCEORACLE

FINANCIALS

MLPF&SORACLE

FINANCIALSSUBLEDGER AP

ORACLEFINANICALS -

HKPRO

ORACLEPERFORMANCE

ANALYSER

ORACLEEDW

BUDGET2002

FINANCIALDATA BASE(FDBDCR)

TRANSFERPRICING

ACTIVITYCONTROL

SYSTEM INBOUNDFEEDS

REVENUEASSIGNMENT

COST CENTERMAINTENANCE

(CCM)

TAXICHARGEBACK

REPORTING

TAXIEDI FEED

INVESTMENTHOLDINGS

DATABASE (IHD)IR GRID

IPCG OLAPREPORTING

PCX

ICMS CAMRAACCOUNTS

PROCESSINGFIRM SIDE (APFIRM)

GLOBALRATE

CONTROL(GRC)

MCP WEB

LIVING DISASTERRECOVERYPLANNING

SYSTEM (LDRPS)

GCPWEB SITE

IFS MUTUAL

GL and Legal Close

Payments,Purchasing,Billing and Chargeback

Management Reporting

Bookkeeping

Merrill LynchApplicationArchitecture

Notvalid

Valid

PATHClientprofile/

data recorded

Retail Personalin formation f or

accounta uthorized

individua ls

Re tail P er sona l

inf orma tion fo r

non- US accountaut horizedindividuals

Fact sheetr ecei ved backwith account

number

Addclient profile/

accounti nformation

CAM U

Re ta ilAccount

ti tleinformation

Retail

Corr espo nden cein formation

Retail

Financialinformation

Retail

Employmentinformation

Retail

Trad ingin formation

Retail

ED Dinfor mation

CAM U

Enterbranch oraccount

i nformation

Newacc ount

number

FA number

CAM USelect

accounttype

Newaccount

numbe r

FA number

Primar yservice

type

KD

Vali daterecorded

data

TOUCHPOINTS & DATA EXCHANGE

A. Relationship

Management

B. Deliver GPC

Products toPrivate Clients

C. Manage Global


D. Develop Global


M errill LynchGlobal Private Client

Business

Processes

1.1. EstablishAccount

A2. ManageClient

Relationship

6_B_NewAcc ount/

Fraudproces sing

L3_Services &Techn ology

3_ApproveFact sheet

_Advisory_ Retail

2_ObtainAccount

Data_Advisory_Retail

5_Enter NewAccount

Data_Advisory_Re ta il

7_Receive &Scan

Documents(xer ox)

8_Approve &ActivateAccount_Adv isory_Retail

XeroxL 3_Advisory

Divisi onL3_Advisory

DivisionL3_Services &

TechnologyL3_Advisory

DivisionL3_Advi sory

Divi si on

1_ EstablishClient's Goals &

Expections_Advisor y

_Retail

4 _Assign AccountNumber_Adv isory_Retail

L3_Advi soryDivision

6_a_Prepare &Mail Documents

_Advisory_Retail

L3_Ad vi soryDivi si on



MappedPainPoints

Long processcycle time due to

sending - waiting -receving documents

M anualprocessrouting

Series 8 approvaldelays process

Duplication in

review ofdocuments



outdated inventory

Profilesheet

redundancy

Manual preparation& storage of paper

(profi le) forms



outdated inventory

Duplication inreview of

documents

Lack ofrelati onal,

reusabledata

M ore than 100data elements to

b e cap tured

Limited to nosharing ofprofile data

across products

Repetitive dataen try required

CA’s need todetermine documentrequirements based

on knowledge / resources

Fact sheets needto be filled out byhand even though

data i n system

Too manyaccount forms

CA’s not documentexperts want reviewof client documents,

esp. legal





Lack of training /consistency for

account openingprocess

No overview whichfeatures cli ent

requested

F act SheetsUsab ility

2_Obtain Account Data_Advisory_Retail

ML website

Fact sheetcompleted

Allinformation

received

Clientin formation

missi ng

0.20

Follow upwi th client toget missingin formation

30.00 M inu te(s)

Enter initialdata on

fact sheet(hand-written)

10.00 Minute(s)

1_EstablishClient's Goals &

Expections_Advisory

_Retail

Determinemissing

information onfact sheet

10.00 Minute(s)

Completefact sheet

12.00 Minute(s)

0.80

Review & signfact sheet by FA

5.00 Minute(s)

0.80

Give reviewedfact sheet for

SEC regulationapproval

2.00 Minute(s)

Print factsheet

2.00 Minute(s)

Client Associate

(CA)


Client Associate

(CA)


Client Associa te(CA)

FiancialAdvis or (FA )Retail fact

sheet (KDA)

Fact sheet tobe reviewed

3_ApproveFact sheet

_Advisory_Retail

Retailaccountneeded

Client




Retai l factsheet (KDA)

Client Associate

(CA)












Retai l factsheet (CAM)




AYG_personal

informa tion

AYG_personalgoals &

cashflowinforma tion

AYG_r isktolerance& asset

allocation model

AYG_risk

tol eranceprofile

AYG_personalba lancesheet

AYG_income,assets &liabili ties

informa tion

Customized_client

employmentinformation

Customized_client

incomeinformation

Customized_client

net worthinformation

Customized_client

tradingexperience

Customized_client

productexperience

Customized_client

personalinformation

FAapproval

information

Cash Management

CustomizedLending

Solutions


Services

WCMA Account

Card Services

withBanking & Lending Needs

forIndividualInvestors

forSmall & MidsizedBusinesses

forCorporations &Institutional Investors &Gouvernement

withCash Management Needs

Credit Derivatives

Emerging Markets Services

withGlobal Dept Needs

IDS Project example

IDS Project example

Single Window Reference Model Single Window Reference Model

RepositoryRepository


Single Window Reference ModelSingle Window Reference Model


Service-oriented

business processes

SYS

SYS

SYS

Dep

loyed

We

b s

erv

ices Business

application

WSWS

WSWS

Businessapplication

WSWS

WSWS

Self-developedservices

WSWS

WSWS

Service-oriented Business

Process Modeling

Ap

pli

cati

on

serv

er

Pro

cess e

ng

ine

Wo

rkfl

ow

BPMNXPDL

ARIS Process Performance Manager

WS repository

WSDL

BPEL processes

BPEL

UML diagrams

Software engineeringSoftware engineering

�Eclipse

�Rational

�Borland

�CASE tools

XMI

«businessClass»

Movie

t itle: String

durat ion: Integer

«businessClass»

Show

beginning: Date = null

numberOfSoldTickets: Integer

schedule(in beginning: Date)

cancel()

movie(): Movie {query}

beginning(): Date {query}

availableTickets(): Integer {query}

createReservat ion(in requestedTickets: Integer): Reservation

cancelReservations()

addReservation(in reservation: Reservation)

«businessClass»

MovieTheater

name: String

shows(in movie: Movie): Show[*] {query}

«businessClass»

Theater

number: Integer

seatCount: Integer

shows(in movie: Movie): Show[*] {query}

shows(in movie: Movie, in beginning: Date): Show {query}

1 1. .*1 1. .*

1

*

1

*

*1 *1

«businessClass»

Reservation

numberOfReservedTickets: Integer

reservat ionC ode: Integer

«create» create(in show: Show, in numberOfTickets: Integer): Reservation

*

1

*

1

«businessClass»

Ticket

* 1* 1

*

*

*

*

Single Window Framework for Single Window Framework for

Service Oriented ArchitectureService Oriented Architecture



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