联合国亚洲太平洋无纸贸易专家网络

联合国亚洲太平洋经济社会委员会

联合国欧洲经济委员会

简化贸易手续的业务流程分析指南

前言

今日的国际供应链，随着新的产品安全规定出台和对边境安全的密切关注，面临着日益增长的竞争性环境。贸易商为了保持竞争性，对于快速、准确、低成本地完成手续、监管和单证上所有要求的需求已经变得极其重要。

为了改进供应链上流程环节和信息流的效率和有效性，在实施贸易便利化改革之前，最重要的是明白现状情况。通过对最初应用在机械自动化业务流程中业务流程建模技术的改编，“简化贸易手续的业务流程分析指南”（以下简称BPA指南）的目标在于提供一个简单的方法来使得现行国际贸易事务业务流程文件化。BPA指南共享了这个领域中有价值的国家经验和教训。对于现行贸易流程和手续的深刻理解，能够给政府部门的高官们提供至关重要的信息，哪些改进是必须的。

我们希望，BPA指南可以当作一种工具为政府官员们服务，加快发现贸易流程和手续中的瓶颈、调整改进的顺序以及设计消除这些瓶颈的策略。最后，BPA能够为改革带来更高的透明度、更快的效率和更强的能力，这些都将是在当今国际市场保持竞争性的关键。

Ravi Ratnayake

Director

Trade and Investment Division

UN Economic and Social Commission for Asia and the Pacific

ACKNOWLEDGEMENTS（鸣谢）

This publication was prepared under the guidance of Ravi Ratnayake, Director, Trade and Investment, and the coordination by Shamika Sirimanne, Chief, Trade Facilitation Section, by a team consisting of Maria Misovicova, Peng Bin of ESCAP, Markus Pikart of UNECE and Somnuk Keretho and Thayanan Phuaphanthong from the Institute for Information Technology Innovation, Kasetsart University. Substantive inputs were provided by Nikolaus Sahling (consultant). Valuable contributions were received from Yann Duval, Sang Won Lim (ESCAP) and Tom Butterly (UNECE). The external editing was provided by Dorothy Van Schooneveld.

The Business Process Analysis Guide to Simplify Trade Procedures (BPA Guide) was developed as part of the joint technical assistance project by ESCAP and UNECE and under the auspices of the United Nations Network of Experts for Paperless Trade in Asia and the Pacific (UN NExT).

The project aims to raise the capacity and accelerate the adoption of the above-mentioned trade facilitation measures, especially in countries where those measures are not yet commonly implemented.

序

移动货物跨越边境需要满足一系列商业、运输和监管的要求。低效完成上述要求通常会造成不必要的延误和成本。目前，效率低下通常会与备齐运输和监管单证文件、边境监管手续不明确和过多的货物检查联系在一起。

单一窗口（详见术语表）是贸易便利化措施之一，正在迅速发展，尤其是亚洲-太平洋地区，原因在于它是无纸化贸易的基础。一旦全面实施，由于跨境货物监管而造成的复杂性以及不必要的延误和成本将会大大减少。

为确保单一窗口便利能够在国际供应链不同层面响应利益相关方们的需求，重要的是它的设计能够反映出实用的业务流程。考虑到现行业务流程可能会带来多余的动作和复杂性，由此产生手续上的低效和瓶颈，在把现行业务流程作为单一窗口设计基础之前，必须进行协调和简化。业务流程的协调和简化离不开对现行做法准确深刻的理解。

BPA指南提供了一种简单的方法来引出、证明和分析现行的国际贸易业务流程环节，同时也为进一步改进提供了建议。它提出了一系列实际步骤和行动，通过确定BPA项目范围、制定实施计划、收集相关数据以及通过简单易懂的方式展示，对已获取的数据进行分析来找出瓶颈和提出改进建议。这一系列建议的步骤和行动是从泰国在其创建单一窗口电子物流的准备过程中通过BPA实践概括出来的，作为东南亚国家联盟单一窗口倡议框架下的国家义务。为了使得BPA指南更符合实际，附件提供了泰国香米出口的BPA实例研究。

BPA指南旨在为来自政府部门或企业的实际执行者和政策制定者服务，这些政府部门或企业涉及到：

-协调和简化国际贸易手续；

-按照国际标准协调相关数据要求；以及

-实施单一窗口。

通过BPA指南，实际执行者可以按部就班地学习了解BPA，以及提出下一步改进的建议。另一方面，政策制定者能够更好地理解BPA与贸易便利化措施之间的关联性，包括业务流程简化、数据协调和单一窗口实施。他们将会开始熟悉在实施贸易便利化措施之前必须要落实的重要步骤。

目录

前言...............................

鸣谢.............................

序.................................................

缩写.....................................................

1. 贸易便利化和业务流程分析

1A 参与者和他们的利益

1B 贸易便利化背景下的业务流程分析

2. 业务流程分析简介

2A 定义和范围

2B 指南中运用的业务流程建模方法

2C 指南中运用的统一建模语言图形表示法

2D 业务流程分析的成果

3. 简化贸易手续的业务流程分析指南

3A 阶段、利益相关方和其他相关问题简介

3B 每个阶段、每个步骤以及每个环节

阶段一：设定范围

步骤一：定义项目范围

步骤二：制定详细工作计划并保障资源

阶段二：数据收集和流程文件化

步骤三：获取背景信息

步骤四：执行访谈并把所获数据文件化

阶段三：流程分析和提出建议

步骤五：分析现有流程并找出瓶颈

步骤六：提出建议

4. 实施建议

5.术语表

6.参考文献.

7. 附件：泰国香米出口的业务流程分析

表框

Box 1.1 联合国贸易便利化和电子商务中心国际供应链模型

Box 3.1 实例研究——定义项目范围

Box 3.2 实例研究——分析的范围

Box 3.3 实例研究——项目范围可视化

Box 3.4 实例研究——运用冻虾出口核心业务流程的实例

Box 3.5 项目评价与审查技术的预测

Box 3.6 流程分析师的职责与技能要求

Box 3.7 采访提问实例

Box 3.8

实例研究——“商品抽样调查”行为图，运用泰国冻虾出口的BPA实例

Box 3.9 泰国冻虾出口BPA实例的动态行为综合图示

Box 3.10 泰国冻虾出口BPA实例的时间-手续图示

Box 3.11

联合国贸易便利化和电子商务中心第18号建议：国际贸易手续相关的便利化措施

FIGURES 图示

Figure 1.1 Step-by-step approach to developing an electronic Single Window and paperless trade environment

Figure 2.1 The use of UML diagrams in the BPA Guide

Figure 3.1 Key steps and stakeholders in business process analysis

Figure 3.2 Stakeholders involved in Step 1

Figure 3.3 Activities involved in Step 1

Figure 3.4 Stakeholders involved in Step 2

Figure 3.5 Activities involved in Step 2

Figure 3.6 Stakeholders involved in Step 3

Figure 3.7 Activities involved in Step 3

Figure 3.8 Stakeholders involved in Step 4

Figure 3.9 Activities involved in Step 4

Figure 3.10 Stakeholders involved in Step 5

Figure 3.11 Activities involved in Step 5

Figure 3.12 Stakeholders involved in Step 6

Figure 3.13 Activities involved in Step 6

TABLES 表

Table 2.1 Use Case Diagram notations

Table 2.2 Activity Diagram notations

Table 3.1 Roles and responsibilities of stakeholders in BPA

Table 3.2 Overview of BPA

ABBREVIATION 缩写

ASEAN Association of Southeast Asian Nations

东南亚国家联盟

ASYCUDA Automated System for Customs Data

海关数据自动化系统

ECE United Nations Economic Commission for Europe

联合国欧洲经济委员会

ESCAP United Nations Economic and Social Commission for Asia and the Pacific

联合国亚洲太平洋经济社会委员会

ICT Information and Communication Technologies

信息通讯技术

PERT Project Evaluation and Review Technique

项目评价与审查技术

UML Unified Modeling Language

统一建模语言

UN/CEFACT United Nations Centre for Trade Facilitation and Electronic Business

联合国贸易便利化和电子商务中心

UN NExT United Nations Network of Experts for Paperless Trade in Asia and the Pacific

联合国亚洲太平洋无纸化贸易专家网络

1. TRADE FACILITATION AND BUSINESS PROCESS ANALYSIS

贸易便利化和业务流程分析

International trade transaction encompasses all activities related to the establishment of commercial contracts (commercial procedures), the arrangement of inland and cross-border transportation of goods (transport procedures), the export and import formalities to meet regulatory requirements (regulatory procedures), and the payment for purchased goods (financial procedures). It requires cooperation between many actors, including traders, government agencies and service providers from different countries.

国际贸易交易包含了签订商业合同（商业手续）相关的全部行为，货物在国内和跨边境环节的运输（运输手续），满足出口和进口监管要求的格式文件（监管手续），以及采购货物的付款（财务手续）。这要求许多参与者之间的合作，包括不同国家的贸易商们、政府部门和提供服务者们。

1A PARTICIPANTS AND THEIR INTERESTS

1A 参与者和他们的利益

According to their interests and needs, the actors of the international trade transaction can be grouped into the following categories:

根据他们的利益和需求，国际贸易交易中参与者们可以按照以下类别进行分组：

a) Government agencies 政府部门

Government authorities such as ministries of trade, finance/customs, transport, health, agriculture, information and communication technology, veterinary, plant and quarantine agencies are responsible for devising trade facilitation strategies, reform programmes, and laws and regulations to ensure the smooth flow of goods and information in a secure environment. Customs authorities have a specialized role here, which traditionally was to control the entry and exit of goods and to collect revenues. Later, this role was extended to ensure border security and port administration. Recently, the focus has been shifted from enforcement to trade facilitation with the use of pre-arrival clearances, the authorized economic operator’s concept, green lanes and post-clearance audits, increasingly employing electronic trade data submission, processing and exchange as well as information and communication technologies (ICT)-enabled trade facilitation solutions, such as Single Window systems. These government agencies need enhanced tax collection, more precise foreign trade statistics and better administration controls, which Single Window and paperless trade systems can provide.

政府部门，比如贸易部、财政部/海关、运输部、卫生部、农业部、信息通讯技术部、动植物检疫部门等，负责设计贸易便利化战略、改革项目以及法律法规，以确保货物和信息在一个安全的环境中顺畅地流动。在这里，海关当局有着专门的任务，传统上海关负责监管货物的进出境和征收税款。后来，这一任务拓展到确保边境安全和港口管理。最近，关注点从执法转移到贸易便利化，货到前清关（提前申报）、经认证的经营者（AEO）概念、绿色通道以及后续稽查得到运用，越来越多的电子贸易数据被提交、处理、交换，同样信息通讯技术比如“单一窗口系统”被用作贸易便利化的解决方案。这些政府部门需要加强税款征收，更准确的外贸统计以及更严密的监管，这些需求单一窗口和无纸化贸易系统可以做到。

(联合国贸易便利化和电子商务中心，建议第18号，展示了购买-运输-支付模型（见下图）下国际供应链的简化版。这个模型不仅建议在国际贸易交易中执行“一系列分段式的环节”，还定义了关联参与者的不同类型。国际供应链的主要参与者是政府部门、中间商、供应商和客户。) (Box 1.1. 联合国贸易便利化和电子商务中心国际供应链模型)

政府部门

供应商

中间商

客户

购买

运输

支付

b) Intermediaries 中间商

Intermediaries are those who provide commercial, financial, and/or transport services within an international supply chain, such as freight forwarders, customs brokers, third-party logistics service providers, carriers, express integrators, port and terminal operators, banks, insurance companies, and information technology (IT) value-added service providers. They are normally from the private sector, which needs a swift exchange of trade information and transparent regulatory environment in order to comply with the requirements of clients.

中间商是指那些在国际供应链中提供商业、财务和/或运输服务的机构，比如货运代理、报关行、第三方物流服务商、承运人、快递、港口和机场经营人、银行、保险公司以及信息技术增值服务商。他们通常是私营企业，为了满足客户的要求，需要快速的贸易信息交换和透明的监管环境。

c) Traders 贸易商

Generally, they are the source and the target of the supply chain. They are principals of the cargo and users of the services provided by the intermediary. They not only depend on the services provided by services providers, but also must meet the regulatory requirements of government agencies for moving goods across borders. At the same time, they also participate in the implementation of trade facilitation regulations and measures in collaboration with government agencies. Trading companies and business communities need a transparent and predictable trading environment, and solutions that cater to faster customs clearance, reduced delays at the borders, lower trade transaction costs, reduced corruption, and cheaper and more competitive exports.

通常情况下，他们是供应链的源头和目的。他们是货物的当事人和中间商服务的对象。他们不仅依靠服务商提供的服务，也必须满足政府部门对于货物跨境的监管要求。同时，他们也与政府部门合作参与贸易便利化规定和措施的实施。贸易公司和商业协会需要透明和可预期的贸易环境，提出解决方案来迎合更快的海关清关、在边境上减少延误、更低的贸易交易成本、减少腐败以及更便宜更具竞争力的出口商品。

1B BUSINESS PROCESS ANALYSIS IN THE CONTEXT OF TRADE FACILITATION

1B 贸易便利化背景下的业务流程分析

To reduce the complexity of the international trade transaction and thus costs related to it, UN/CEFACT recommends implementation of the following measures[footnoteRef:1]: [1: UNECE (2006b). Towards an Integrated Strategy for UN/CEFACT, Geneva联合国欧洲经济委员会(2006b)，联合国贸易便利化和电子商务中心“朝着综合性战略迈进”，日内瓦。]

为了减少国际贸易交易中的复杂性以及相关成本，联合国贸易便利化电子商务中心建议实施以下措施：

-The simplification and harmonization of trade procedures and, where possible, elimination of unnecessary ones;

-贸易手续的简化和协调性，减少不必要的环节；

-The simplification and coordination administrative procedures at border crossings;

-边境上行政手续的简化和协调性；

-The simplification of payment systems;

-支付系统的简化；

-The simplification, standardization and harmonization of documents required for a trade transaction;

-贸易交易所要求文件单证的简化、标准化和协调性；

-The facilitation of flow of information that controls the movement of goods throughout the transaction (e.g. by applying information and communication technology); and

-交易过程中控制货物流动的信息流的便利化，例如应用信息通讯技术；以及

-The enhancement of trust assessment through a better exchange of information.

-通过更好的信息交换来加强信用评估。

The successful implementation of trade facilitation measures, however, requires not only political and governmental support in terms of policy directions as well as human and financial resources, but also an in-depth understanding about existing business processes.

然而，贸易便利化措施的成功实施，不仅要求根据政治方向获得政治上和行政上的支持以及人力财政资源，而且要对现行业务流程有深入的理解。

According to UN/CEFACT’s step-by-step approach toward a Single Window paperless environment as shown in Figure 1.1, business process analysis is recommended as the first step to be taken before undertaking other trade facilitation measures related to the simplification, harmonization, and automation of trade procedures and documents[footnoteRef:2]. [2: UNECE (2006a). Background Paper for UN/CEFACT Symposium on Single Window Common Standards and Interoperability, Geneva联合国欧洲经济委员会(2006a)，联合国贸易便利化和电子商务中心“单一窗口普遍标准和互用性研讨会”背景资料，日内瓦。]

根据图1所示的联合国贸易便利化电子商务中心“通向单一窗口无纸化环境的步骤”，建议在实施其他简化、协调和自动化贸易手续和文件的贸易便利化措施之前，把业务流程分析作为第一步。

(业务流程分析) (流程简化和协调) (单证简化与整合) (国内数据协调) (跨境数据的协调与交换) (电子单一窗口和无纸化贸易环境)图1.1 通往电子单一窗口和无纸化贸易环境的步骤

In order to improve the efficiency and effectiveness of processes and information flow throughout the international supply chain, it is highly recommended that the “as-is” conditions of relevant business processes are well understood prior to the selection of trade facilitation measures.

为了改进国际供应链中流程和信息流的效率和效益，强烈建议在选择贸易便利化措施之前，要深刻理解相关业务流程的现行情况。

2. INTRODUCTION TO THE BUSINESS PROCESS ANALYSIS

2. 业务流程分析简介

2A DEFINITION AND SCOPE

2A 定义和范围

A business process is a sequence of steps performed for a given purpose. Based on this generic definition, a business process considered within the framework of trade facilitation can be defined as:

业务流程是为了达到一个特定的目的而实施的一系列步骤。基于这个一般定义，一个贸易便利化框架内的业务流程可以定义如下：

A chain of logically connected activities to move goods and related information across borders from buyer to seller and to provide related services

一系列逻辑上相关联的环节，这些环节是把货物和相关信息在买卖之间跨边境移动，以及提供相关的服务。

Business processes are valuable organizational assets. They enable the creation and delivery of business values as defined by organizational goals. Business processes are often driven by information. In the area of international supply chain, for example, the movement of cargo has to be escorted by corresponding cargo documents. It involves an average of 40 documents, 200 data elements (30 of which are repeated at least 30 times) and the re-keying of 60 to 70 per cent of data at least once.[footnoteRef:3] Delay on document processing or lack of integrity in the information that flows across business processes has become a factor that holds back cargo movement. On the average, each additional day that a cargo is delayed prior to being shipped reduces trade volume by at least 1 per cent and by approximately 7 per cent if the products are time-sensitive to time-insensitive agricultural goods[footnoteRef:4]. [3: APEC (1996). APEC means business: building prosperity for our community. Report to the Economic Leaders. Asia Pacific Economic Cooperation Secretariat, Singapore. ] [4: Djankov, S., Freund, C., and Pham, C. (2006). Trading on Time, World Bank, Washington DC.]

业务流程是很有价值的机构资产。它们根据机构目标的定义，创造并传递业务价值。业务流程通常由信息来推动。比如，在国际供应链领域，货物的流动必须有相应的货物单证。涉及到平均40份单证，200个数据项（其中30个会被重复至少30次），其中60-70%的数据至少更新一次。单证流程的延误或者业务流程中的信息流缺乏综合性，已经成为阻碍货物流动的因素。一般来说，货物出运前每额外延误1天，贸易量至少会减少1%，如果商品是时效性很强的，则会比时效要求不高的农业产品贸易量减少约7%。

Because the underlying business process has a significant impact on the performance of the overall business, any process improvement achieved can enhance the competitiveness both at the organizational and the national level. Business process analysis is a study of existing business processes within one or across several organizations, both in normal operation and in exceptional situations. Its primary goal is to understand attributes of business processes and relationships among them. The results of the business process analysis may serve as a baseline for implementing trade facilitation measures such as:

这是因为基础的业务流程会对整体业务绩效产生巨大的影响，任何流程上的改进都能够在机构层面和国家层面同时加强竞争力。业务流程分析（BPA）是一项对一个或多个机构内现行业务流程的研究，既有常规操作，又有异常情况。

- Simplification of trade procedures (including commercial, transport, regulatory and financial procedures);

-贸易手续的简化（包括商业、运输、监管和财务手续）

-Simplification of documentary requirements and their alignment with international standards; and

-单证要求的简化，与国际标准接轨；以及

-Automation of international trade transaction and its associated electronic documents for Single Window and paperless trade systems.

-国际贸易交易以及通过单一窗口和无纸化贸易系统的相关电子单证自动化。

2B BUSINESS PROCESS MODELING METHODOLOGY USED IN THIS GUIDE

2B 本指南中应用的业务流程模型方法

Business process modeling is a technique for documenting business processes where each element of the business process is represented by graphical nations. It can be achieved by a simple drawing with paper and pencil or a software tool. The resulting graphical representation of a business process is known as a business process model. Each business process model illustrates:

业务流程模型是一种业务流程文件化的技术，使得业务流程中的每个环节均可用图解（此处应该是拼写错误，根据下文应该是notation，而非nation）来呈现。可以简单地使用纸和笔或软件工具画图来实现。业务流程的图解结论就被称之为业务流程模型。每一个业务流程模型显示：

-Activities that come in a specific order and decision points;

-一系列有着特定顺序和决策点的环节；

-Actors who perform those activities;

-实施这些环节的参与者们；

-Defined inputs and outputs of each activity;

-每项环节清晰的投入和成果；

-Criteria for entering and exiting the business process;

进入和离开业务流程的条件；

-How actors relate to one another;

-参与者之间如何关联；

-How information flows throughout the business process;

-信息如何在业务流程中流动；

-Associated rules and regulations; and

-相关联的规章制度；以及

-Quantitative indicators such as number of steps, as well as time and cost required to complete a particular business process.

-数量指标，比如步骤数，以及完成一个特定业务流程所需要的时间和成本。

The documentation of existing business processes in simple diagrams and brief descriptions helps create a common understanding on working norms and operational procedures among relevant stakeholders. The stakeholders of the business processes include practitioners who deal with the documented business processes on a daily basis; experts who may be brought in to assist with the initiation and implementation of business process improvement programmes, and decision makers who make informed decisions regarding the revision of related regulations and procedures.

现行业务流程简单图示和简要描述的文件化帮助建立了对工作量和相关利益相关方之间操作手续的常规性认识。业务流程中的利益相关方，包括日常处理文件化业务流程的实践者；被要求协助提出和落实业务流程完善项目的专家；对相关法规和手续的修订做出英明决定的决策者。

Business process models are increasingly used in trade facilitation. For the purposes of this Guide, the business process model serves as a tool that facilitates:

业务流程模型在贸易便利化中应用越来越多。为了达到本指南的目标，业务流程模型作为一种工具提供了以下便利：

- The analysis of activities, documents, and information flow in international trade procedures;

-国际贸易手续中环节、单证、信息流的分析；

-The identification and prioritization of problematic areas that cause the delays in moving goods from seller to buyer; and

-发现并优先列举导致货物从卖方流向买方时产生延误的问题领域；

-The design of improvement measures to address these problematic areas (e.g. simplifying processes and data, and eliminating redundancies).

-处理这些问题领域的改进措施设计（例如简化流程和数据，减少多余的环节）。

The Unified Modeling Language (UML)[footnoteRef:5] provides a set of standard graphical notations for business process modeling. UML is internationally accepted and widely used not only among practitioners in business communities but also in information technology and software development. The consistency in modeling techniques produces results in a form that is easily understood, analysed and validated. If the ultimate goal of the business process modeling and analysis is to automate the international trade transaction and move to electronic trade documents exchangeable through the Single Window and paperless trade systems, the use of common standard graphical notations in business process modeling is vital. This is mainly because the common standard graphical notations allow business domain experts to communicate procedural and documentary requirements with technical experts who are designated to put the systems in place. [5: UML Resource Page, http://www.uml.org. UML来源网页，http://www.uml.org。]

统一建模语言（UML）提供了一系列业务流程建模的标准图解符号。UML是国际上通行的，不仅在商界实践者们之间，而且在信息技术和软件开发方面都广泛应用。建模技术上的一致性促使得到的结果形式易于理解、分析和验证。如果业务流程建模和分析的最终目的是国际贸易交易自动化以及电子贸易单证通过单一窗口和无纸化贸易系统实现可交换，那么普遍标准的图解符号在业务流程建模中的应用就是至关重要的。这主要是因为普遍标准的图解符号使得业务领域的专家们可以就手续上的和文件上的需求与那些开发系统的技术专家们进行沟通。

2C UML GRAPHICAL NOTATIONS USED IN THIS GUIDE

2C 本指南中应用的UML图解符号

In business process analysis, the use case diagram serves as a project’s frame of reference. Its purpose is to present a graphical overview of core business processes that are subject to further examination at a greater depth. It indicates all stakeholders involved in these business processes and demonstrates all actual associations between these business processes and the stakeholders.

在业务流程分析中，实例图作为一个项目的参照标准。其目的是呈现一个核心业务流程的图示概要，从而在更深层次进一步检验。它展示了所有这些业务流程中涉及到的利益相关方，并显示了这些业务流程与利益相关方之间的实际关联。

The activity diagram is an elaboration of each business process displayed in the use case diagram. It portrays a sequence of activities and information flows from one responsible party to another. It informs its audience not only who is doing what in which order, but also documentary inputs that serve as prerequisites to activities and documentary outputs that can be obtained upon completion of activities. A set of graphical notations for use case and activity diagramming are provided with explanations of their meaning in Tables 2.1. and 2.2. These notations are adopted from UML.

环节图解是实例图中每个业务流程的详细阐述。它展示了两个责任主体之间的一系列环节和信息流。它告诉受众，不仅是谁按照什么顺序做什么事，而且形象展示了作为流程环节所需要的预先投入，以及环节结束后可以获取的成果。实例和环节图解中的一整套图解符号，都在表2.1和2.2中标注了具体意义的解释。这些符号选自UML。

This BPA Guide focuses on modeling business processes with two types of UML diagrams: the use case diagram and the activity diagram, shown in Figure 2.1. The use case diagram illustrates the high-level business processes and actors associated with each of them. It serves as a frame of reference for further elaboration of business process modeling work. The activity diagram, on the other hand, describes activities, inputs, and outputs associated with each business process listed in the use case diagram.

本BPA指南重点聚焦在运用两种UML图解方法建立业务流程模型：实例图解和环节图解，如图2.1所示。实例图解展示了高层业务流程以及每个环节相关联的参与者。它用作进一步详细阐述业务流程建模工作的参照标准。另一方面，环节图解描述了实例图中列举的每个业务流程相关的环节以及投入和成果。

表2.1 运用实例图解符号

范围

参与者/角色

使用实例

(简要描述和使用说明) (符号) (表2.2 环节图解符号) (关联关系：把参与者和所要参加的实例（业务流程）关联起来) (参与者：表示一个核心业务流程；用一组动名词短语来描述。) (参与者：表示一个特定业务流程的参与者；可以是个人、组织或个人等标记上专属的名称；布置在项目范围之外。) (项目范围：表示一个流程领域；包括最上方标注项目范围的名称) (简要描述和使用说明) (符号)

流程参与者2

流程参与者3

流程参与者1

（未完，见下表）

(环节：表示一个不可分解的行为；标记上名称1）以动词开始，以名次结束；2）简短但包含足够的信息供阅读者理解。) (分隔线：用来把个人作业分散融入到具体执行的部门；标记参与个人、组织或部门的名称) (最终环节状态：：用来表示业务流程的完成。) (最终流动状态：：用来停止环节的流动；；表示在现有背景下，停止对后续环节的跟进) (初始状态：表示一系列环节的开始；每个环节图解只能有一个初始状态)

(决策：表示依据上一环节的成果，在这个点必须做出决策；决策点会出现多条连接线指向不同环节每条从上一环节指向决策点的连接线都要标注具体情况，反之亦然；) (对象：表示在环节与环节之间流动的单证或信息标记单证的名称) (简要描述和使用说明) (符号)表2.2 环节图解符号（续上表）

(汇合（同步）：被用作一系列平行环节或平行环节流的终点) (分叉（分散）：被用作显示一系列平行环节或平行环节流；) (连接线：表示环节图解中环节和信息流的连续性； )

2D OUTPUTS OF THE BUSINESS PROCESS ANALYSIS

2D 业务流程分析的成果

The main output of the business process analysis exercise within the context of trade facilitation is the business process analysis report that contains the following components:

在贸易便利化背景下的业务流程分析实践主要成果是包含以下内容的业务流程分析报告：

- Use case diagram showing the scope of the business process analysis project;

-实例图解展示了业务流程分析项目的范围；

-Activity diagrams;

-环节图解；

-Process descriptions, including a list of trade forms and documents, as well as a list of trade-related laws, rules and regulations;

-流程描述，包括贸易表格和文件清单，同时还有贸易相关的法律、规章制度的清单；

-Integrated activity diagram;

-综合性的环节图解

-Time-procedure chart;

-时间手续图示；

-A list of identified bottlenecks; and

-已发现瓶颈的清单；以及

-Recommendations to improve the business process and/or to-be business process models. Q111

-改进现行和/或未来业务流程模型的建议。

These output components are further explained in the following parts of the BPA Guide.

这些成果将在本BPA指南中作进一步阐述。

Figure 2.1. The use of UML diagrams in the BPA Guide

图示2.1 BPA指南中的UML图解应用

(2.3）准备出口许可证) (审核提交的信息) (经泰国出口动物/动物制品的申请表（R1/1）) (备齐出口许可证申请所需的信息) (渔业部门) (出口商或代理人) (渔业部门) (出口商或代理人) (UML环节图解) (UML实例图解)

不正确

正确

(签发出口许可证) (出口许可证 R.9) (获得R.9) (商业发票) (装箱单) (运用UML实例图解和环节图解，使得获取的业务流程内容可视化。)

3. BUSINESS PROCESS ANALYSIS GUIDE TO SIMPLIFY TRADE PROCEDURES

3. 简化贸易手续的业务流程分析指南

3A INTRODUCTION TO PHASES, STAKEHOLDERS AND OTHER RELATED ISSUES

3A 阶段、利益相关方和其他相关问题简介

The business process analysis consists of three phases that have to be carried out in sequence (see Figure 3.1):

BPA有三个阶段，必须逐步实施（详见图3.1）：

Phase I: Scope setting, which includes the following two steps:

阶段1： 范围设定，包括以下2个步骤

Step 1 - Define a project scope

步骤一：定义项目范围

Step 2 - Develop a detailed work plan and secure resources

步骤二：制定详细工作计划并保障资源

Phase II: Data collection and process documentation, which includes two steps:

阶段二：数据收集和流程文件化，包括2个步骤

Step 3 - Acquire background information

步骤三：获取背景信息

Step 4 - Conduct interviews and document captured data

步骤四：实施访谈，并把获取的数据文件化

Figure 3.1. Key steps and stakeholders in business process analysis

图3.1 BPA中的关键步骤和利益相关方

(阶段三) (阶段二) (阶段一) (项目参与者/业务领域专家) (项目管理者/项目领导人) (流程分析师) (项目赞助人) (提出建议) (分析现有流程并找出瓶颈) (实施访谈，并把获取的数据文件化) (获取背景信息) (制定详细工作计划并保障资源) (定义项目范围)

Phase III: Process analysis and recommendations development, which includes the following two steps:

阶段三：流程分析和提出建议，包括以下2个步骤：

Step 5 - Analyse the “as-is” processes and identify bottlenecks

步骤五：分析现有流程并找出瓶颈

Step 6 - Develop and propose recommendations.

步骤六：提出建议

Four groups of stakeholders participate in a business process:

业务流程中参加的利益相关方可以分为4组：

-Project Sponsor, who acts as authorized person from a lead agency commisioning the business process analysis study;

-项目赞助人，来自牵头部门，得到授权启动业务流程分析的研究；

-Project Manager/ Project Leader, who is in charge of planning, directing, staffing, and managing the development of the business process study;

-项目经理人/项目领导者，负责制定计划、指导、安排人事以及管理业务流程研究的进程；

-Project Analysts, who are in charge of collecting, documenting and analysing the business processes;

-项目分析师们，负责对业务流程收集数据、转化文件并进行分析；

-Process Participants/ Business Domain Experts, who carry out business processes and thus have specific expertise and knowledge of a business process.

-流程参与者们/业务领域专家们，负责执行业务流程，当然有着业务流程所要求的专业知识技能。

Their responsibilities in the different phases of the business process analysis are summarized in Table 3.1.

他们在BPA不同阶段的职责概括在表3.1中。

Table 3.1. Roles and responsibilities of stakeholders in BPA

表3.1 BPA中利益相关方的角色和职责

角色

阶段一

阶段二

阶段三

步骤一：定义项目范围

步骤二：制定详细工作计划并保障资源

步骤三：获取背景信息

步骤四：实施访谈，并把获取的数据文件化

步骤五：分析现有流程并找出瓶颈

步骤六：提出建议

项目赞助人

确定并批准项目范围

-批准任何项目范围的调整

-提供具体的资源

-需要时提供管理上的支持和方向

-参与主要项目审核并批准主要成就

-及时解决问题，保证项目成功

项目管理者/项目领导人

获取信息来定义调查目标流程的范围

-制定详细计划

-组织安排资源

-监督和控制计划的执行

参与审核重要成就，包括最后的成果

流程分析师

-

需要时审核计划并提出调整建议

-执行书面调研

为访谈和-观察做准备工作

-实施访谈；

-收集数据并加工完善

-把现行流程文件化

分析并找出瓶颈和现行流程的改进空间

-制定简化流程的建议

-报告最后成果

项目参与者/业务领域专家

审核建议流程范围

-

-提供流程的相关情况

-验证应用成果的准确性

参与最后成果的审核

The steps within each phase require that a series of activities be carried out. These activities will be explained in Section 3B. It is highly recommended that validation and verification activities are embedded in each step to ensure the accuracy and comprehensiveness of the outputs. Such validation and verification can be achieved through several rounds of a peer review performed by relevant stakeholders of the business process analysis exercise. Refinement shall be made until the quality of outputs is acceptable.

每个阶段的步骤需要执行一系列的环节。这些环节在章节3B中进行解释。强烈建议把验证与核查环节嵌入每个步骤，确保成果的准确性和完整性。这样的验证与核查可以通过多回合的同业互查，由BPA实践中相关利益相关方来实现。在相关成果被认可前必须不断地改进。

The six steps described in this guide, together with deliverables of the business process analysis report, are summarized in Table 3.2. The same table also provides guidance on what should be done (the “Do’s”) and what should be avoided (the “Don’ts”) in conducting the business process analysis exercise.

本指南中所描述的6个步骤，与BPA报告的成果一起概括在表3.2中。表3.2还指明了在执行BPA实践中什么应该做和什么应该避免。

表3.2 BPA概述

步骤

成果

行动

注意事项

步骤一：定义项目范围

实例图解和描述展示了：

-业务领域

-流程领域

-流程参与者

-这些参与者涉及到的业务流程

流程分析研究的范围要准确。

在BPA项目早期列举感兴趣的业务领域所处的环境和条件，比如运输方式、运送期限、支付期限、目的国以及原产国，因为不同运输方式、运送期限和支付期限都有不同的手续和单证要求。

从受益人的角度来设置范围。例如，由于资源有限，商品出口的业务流程不可能开展详细建模和分析。这种情况下，重点将会向项目受益人倾斜。如果受益人是出口商，重点将会在于出口商需要做些什么才能把货物通过海运运至目的国。如果受益人是承运人，那么重点将会在于承运人需要做些什么才能驶离起运港。

如果范围相对较大，可以把项目分成子项目。例如，如果项目要求分析出口10个国家战略商品的业务流程，把项目分为10个子项目并定义每个子项目的范围。

不要把范围设定的太广或太模糊。

步骤二：制定详细工作计划并保障资源

详细项目计划包括人力资源、时间安排和软件支持工具。

潜在受访者和联系方式的清单

组建一支由带着批判性思想的流程分析师们组成的团队

不要低估某些任务所需的工作量和时间，尤其是那些人员交互相关的，比如数据收集和验证。

步骤三：获取背景信息

一个业务流程背景信息的文件夹，这个业务流程一般会附上业务步骤简要说明。

关于访谈的指导性问题清单。

尽可能多地从各种源头收集背景信息

在访谈者收集足够的背景信息和熟悉组织结构和具体业务流程之前，不要进行任何访谈。

步骤四：实施访谈，并把获取的数据文件化

一系列环节图解展示了：

-开始和结束点

每个业务流程的前置条件和后续条件

-一系列环节

-每个业务作业相关联的单证

-退出业务流程的产出和标准

-完成流程步骤所需的平均时间

一系列业务流程描述展示了：

-特定业务流程所属流程领域的名称；

-业务流程的名称；

-相关规章制度；

-责任方的名称

-进入/启动业务流程的投入和标准

-完成这一步骤的环节和相关单证要求（包括表格、单证模板和样例）

-退出业务流程的产出和标准

环节图解展示了业务领域内整合后的流程。

时间-手续图示，展示每个业务流程与其所用时间之间的关系。

通知受访者关于访谈环节的整体预期和感兴趣的业务流程详细情况。

通过一种反映当前现状的方式定义流程并使之文件化。

当描述和文件化一个流程，从环节图解开始着手。画图可以帮助形成想法和环节的逻辑顺序。最有可能的是，画第一幅图解会是一场斗争。如果两个关联环节逻辑不通，意味着两个环节中间有所缺失。

记录下画图解时发现的问题，用来准备另一个访谈。基于这些问题来搭建第二轮访谈的框架。

不时地在流程分析师团队中举行经验交流会。交流经验使得流程分析师们分享业务领域中的一些流程观察和描绘的方式。例如，负责定义不同商品流程的流程分析师们将会发现，在他们中间无论何种商品，贸易商都必须遵守海关规定，按照相似的指令提交海关报关单。

经常在合适的地方重复使用这些方式（同样环节的图解），可以节省时间，也可以确保业务领域中流程的持续性。

不要试图创建看起来完美的流程。完美并不表示实际发生的情况，也就不能作为改进的基础。

步骤五：分析现有流程并找出瓶颈

一系列有改进空间的现行流程的观察

访谈期间，流程分析师也应了解受访者的意见和想法，主要对于应该改进的瓶颈和流程、单证、法律法规等，以及如何改进。

不要等到最后才分析和发现瓶颈，并形成改进建议。情愿在流程分析研究各个阶段来实施。

步骤六：提出建议

有着简化流程建议的最终报告，可能包括未来业务流程图解。

向相关利益相关方咨询，找出流程改进建议中哪些能做哪些不能做的限制。

听取他们的原因，为何一个特定的手续、规定或单证要求是必须的。

不要假设所有提出的建议都能实施。

3B INDIVIDUAL PHASES, STEPS AND ACTIVITIES

3B 每个阶段，每个步骤以及每个环节

The rest of this Chapter will discuss the three phases of the business process analysis, detailed steps involved in each phase and activities necessary to complete the steps.

本章节接下来将讨论BPA的3个阶段，每个阶段的详细步骤以及完成步骤所必须的环节。

Phase I: Scope setting

阶段1：范围设定

The objective of this phase is to establish a baseline for the implementation and management of a business process analysis project. It consists of two steps:

本阶段的目标是建立BPA项目实施和管理的基准条件。包含2个步骤：

Step 1 - Define the project scope

步骤一：定义项目范围

Step 2 - Develop a detailed work plan and ensure resources.

步骤二：制定详细工作计划并保障资源。

Step 1: Define the project scope

步骤一：定义项目范围

Step 1 aims at identifying a frame of reference for further detailed business process modeling work. Using the UML use case diagram, this view illustrates the high-level business processes and actors associated with each of them.

步骤一旨在为下一步详细的业务流程建模工作确定参照标准。通过应用UML实例图解，展示了高层业务流程以及与每个流程相关联的参与者们。

This step includes seven necessary activities, as illustrated with the UML activity diagram in Figure 3.3. Its detailed description is provided below.

这一步骤包括了7个必须的环节，在图3.3中应用UML环节图解加以展示。以下为详细描述：

Activity 1.1

环节1.1

Project sponsor identifies “a business domain” of interest. A business domain is usually the name of the industry (such as frozen shrimp export) or service (such as customs clearance) whose business processes are subject to the business process analysis exercise. (See Box 3.1 for an example)

项目赞助人确定一个感兴趣的业务领域。业务领域通常是一种产业（比如冻虾出口）或服务（比如海关清关）的名称，这些产业或服务的业务流程适用于BPA实践。（见Box3.1的举例说明）

To initiate a Business Process Analysis it is crucial that the project sponsor clearly specifies:

为了开始实施BPA，很重要的一点是项目赞助人要很清晰地明确：

- The stage of the international supply chain that he/she is interested in analysing - i.e. “Buy”, “Ship”, or “Pay”; and

-他/她所感兴趣进行分析的国际供应链的场景，比如“购买”、“船运”或“支付”；以及

-The environment and conditions in which the industry of interest operates and which shall be included in the BPA; i.e. mode of transport, terms of delivery, terms of payment, and country of destination (given that regulatory requirements vary from one country to another).

-感兴趣的产业运行的环境和条件，哪些内容应该包括在BPA之内；比如运输方式、运送期限、支付期限以及目的国（考虑到不同国家的监管要求不同）。

Figure 3.2. Stakeholders involved in Step 1

图3.2 步骤一中涉及到的利益相关方

( 这一UML实例图解展示了步骤一“定义项目范围”中需要参与的利益相关方： -项目赞助人； -项目管理者/项目领导人 -项目参与者/业务领域专家) (1）定义项目范围) (项目赞助人)

(项目参与者/业务领域专家) (项目管理者/项目领导人)

Figure 3.3. Activities involved in Step 1

(批准) (确定一个感兴趣的业务领域) (审核并给予反馈) (实例图解) (把收集的信息可视化) (提取出关键流程参与者和业务流程) (实施书面调研) (项目赞助人) (项目参与者/业务领域专家) (项目管理者/项目领导人)图3.3 步骤一中涉及的环节

不准确的

准确的

(表框3.1 实例研究——定义项目范围Recognizing the need for a greater efficiency in documentary procedures related to international trade transactions, Thailand has prioritized the establishment of the Single-Window e-Logistic Platform as the national flagship project. Progress towards the establishment of the Single-Window e-Logistic Platform was hindered by several factors, one of which was the absence of knowledge about the integrative nature of processes performed by different parties and about information flow throughout the international supply chain.认识到国际贸易交易相关单证手续需要更高的效率，泰国把建立单一窗口电子物流平台作为国家一级项目。但有好几个因素阻碍了建立单一窗口电子物流平台的进展，其中之一就是缺乏对不同部门实施流程的综合性认识，也缺乏对国际供应链中信息流的了解。In response to this shortfall, the Department of Export Promotion (under the Ministry of Commerce) commissioned an in-depth study on the export process with the following objectives:为了补上这块短板，出口发展司（商务部下属）要求组织深入研究出口流程，并达到以下目标： -To drive formalization of the export process; -规范出口流程； - To investigate interrelationships among processes, information, and stakeholders, as well as related laws and regulations; -调查研究流程、信息、利益相关方以及相关法律法规之间的相互关系； -To provide a basis for simplification of procedural requirements and harmonization of data requirements; and To facilitate automation of international trade transactions, and thus the establishment of the Single-Window e-Logistic Platform. -建立简化手续和协调数据要求的基础，加快国际贸易交易自动化以及单一窗口电子物流平台建设。Export processes vary by product. It is therefore not possible to carry out the study of the export process for all products at once. Given the resource constraints, it was decided to include only one product in the project. Products were prioritized and rated using the following criteria:出口流程因货物而异。因此无法立刻对所有货物的出口流程进行研究。考虑到资源有限，决定项目中仅包含一种货物。货物按照以下标准进行排序和挑选： -Strategic importance of the product on national economy; -对于国家经济有着重要战略意义； -Aggressiveness of competition; and -拥有竞争力；以及 -Degree of willingness of stakeholders to participate in data collection process. -利益相关方对于参与数据收集过程的愿意程度。Frozen shrimp was the product selected, based on the above criteria. It is one of the country’s strategic export products. The export volume of shrimp has been growing for the past five years. The production of frozen shrimp, in addition, involves the whole chain of production from farmers to manufacturers, retailers, and suppliers. About 80 percent of raw materials for production are sourced locally. Thai producers have been targeted to differentiate their products to deal with direct competition with low-cost Chinese and Vietnamese shrimp. Rice and poultry are also considered as among Thailand’s strategic export products. However, relatively close connection with stakeholders from shrimp exporters, their logistics service providers, and relevant government agencies gave relatively more confidence in achieving the goal of the project.冻虾，就是按照上述标准挑选的货物。它是国家战略级出口货物之一。过去5年中虾的出口量持续增长。此外，冻虾的制成涉及到整个生产链，从农民到制造商、零售商和供应商。约80%的生产原料来自于国内。泰国生产商把虾分类，来应对中国和越南虾低成本的直接竞争。大米和家禽也被列入泰国战略级出口货物。但虾的出口商、物流服务供应商和相关政府部门等利益相关方之间的关系相对较近，这也相对增加了达成项目目标的信心。Source:ESCAP from The Analysis of Frozen Shrimp Export Process in Thailand, Institute for Innovative IT, Kasetsart University来源：联合国亚太经济合作委员会，《泰国冻虾出口流程分析》，IT革新研究所，泰国农业大学)

Activity 1.2

环节1.2

Project manager/project leader conducts initial desk research to identify core business processes that are related to the business domain of interest.

项目管理者/项目领导人实施初始的书面调研，以确定感兴趣的业务领域相关的核心业务流程。

Activity 1.3

环节1.3

Project manager/project leader, based on research outcome, extracts key business processes associated with the industry or service of interest, as well as stakeholders who interact with those business processes.

项目管理者/项目领导人，在调研成果的基础上，提取出感兴趣产业或服务相关联的关键业务流程，以及与这些业务流程相关联的利益相关方。

Activity 1.4

环节1.4

Project manager/project leader documents captured core business processes and stakeholders of the business domain of interest using UML Use Case notations (see table 2.1).

项目管理者/项目领导人把获取的核心业务流程和感兴趣业务领域的利益相关方，运用UML实例符号的方式，制作成文件。

Project manager/project leader uses the following notations:

项目管理者/项目领导人使用以下符号目的在于：

-to depict core BPA

-描绘出核心BPA

-to depict each stakeholder, who is known as process participant/ business domain expert; and

-描绘出每个作为流程参与者/业务领域专家的利益相关方；以及

- to depict all actual associations between business processes and process participants/business do main experts.

-描绘出业务流程与流程参与者/业务领域专家之间的实际关联。

When there are core sub-business processes, project manager/project leader may organize core business processes into a process area. Boundaries may be used to group core sub-business processes together.

当遇到核心的子业务流程时，项目管理者/项目领导人可以把核心业务流程组织为一个流程领域，运用分界线把核心子业务流程集合在一起。

An example of a UML use case diagram is given in Box 3.3.

Box3.3中例举了一个UML实例图解。

Activity 1.5

环节1.5

Process participants/business domain experts review the use case diagram and provide feedback in terms of its accuracy as well as suggestions for further improvement.

流程参与者/业务领域专家回顾实例图解，就准确性和下一步改进建议进行反馈。

(表框3.2 实例研究——分析范围The Ministry of Commerce, represented by Department of Export Promotion, as a project sponsor, specified that the analysis of the frozen shrimp export process covers all activities in the international trade transaction, which range from “the establishment of commercial contracts”, through “the arrangement of inland and cross-border transportation and export formalities to meet regulatory requirements” to “the payment of the purchased cargo”. Due to the fact that mode of transport, terms of delivery, and terms of payment can vary, the project sponsor agreed to the following assumptions made for the study:商务部的出口发展司，作为项目赞助人，详细说明了冻虾出口流程分析涵盖了国际贸易交易中的所有环节，范围从“签订商业合同”、“国内和跨境运输安排以及规定的出口手续要求”，一直到“采购货物的支付方式”。事实上，运输方式、运送期限和支付期限都不一样，项目赞助人同意按照以下设想开展研究： - Ship: Shrimp exporters choose ocean freight as a mode of transport, as it is one of the cheapest and most convenient ways to ship goods overseas. -运输：虾的出口商选择海运作为运输方式，因为这是国际运输中最便宜和最便捷的方式之一。 - CIF (Cost, Insurance, and Freight): Shrimp exporters in most cases arrange and absorb the cost of shipping their cargo to the port of destination. Minimum insurance coverage is also procured against loss of or damage to the goods during the carriage. -到岸价（成本、保险和运费）：虾的出口商在绝大多数情况下会承担运输货物至目的港的费用。最低程度的保险费也可规避运输过程中货物丢失或损坏而造成的损失。 - FCL (Full Container Load): For simplicity, the analysis of frozen shrimp export process traces the operation of a sole exporter. It is also assumed that the whole container is intended for a single consignee. -整箱货（整柜装箱装载）：为了简化分析，冻虾出口流程的分析会集中在单一的出口商。同时还假设整箱货都是同一个收货人。 - CY (Container Yard) Container Service: For simplicity, it is assumed that CY/CY container service is used. Under such service, the carrier delivers an empty container to exporter’s premises for loading and brings the loaded container back to the container yard. At the container yard, the container waits to be loaded onto the vessel. No unpacking or modification is made. -集装箱堆场的服务：为了简化分析，假设使用了集装箱堆场/集装箱堆场的服务。通过这样的服务，承运人将空箱运至出口商，然后把装载号货物的集装箱运回堆场。在集装箱堆场，集装箱将等待被装运上船。不能重新开箱或者调整货物。 - L/C (Letter of Credit): For simplicity, a letter of credit is assumed as method of payment. -信用证：为了简化分析，假设使用信用证作为支付方式。Source:ESCAP from The Analysis of Frozen Shrimp Export Process in Thailand, Institute for Innovative IT, Kasetsart University来源：联合国亚太经济合作委员会，《泰国冻虾出口流程分析》，IT革新研究所，泰国农业大学)

Activity 1.6

环节1.6

Project manager/project leader revises and/or refines the project scope where necessary, based on the feedback from process participants/business domain experts.

如有必要，项目管理者/项目领导人根据流程参与者/业务领域专家的反馈，修改和/或完善项目范围。

Activity 1.7

环节1.7

Project sponsor approves the final version of use case diagram. The use case diagram acts as a baseline for planning, managing, and carrying out the business analysis study.

项目赞助人批准最终版的实例图解。实例图解作为制定计划、管理和执行业务分析研究的基础。

(2.8）集装箱装运上船) (2.7）海关清关) (2.5）准备并向海关申报) (2.4）申请货物保险) (2.3）准备出口许可证) (2.2）安排运输) (渔业部门) (内陆运输) (保险公司) (经认证的私人检测机构) (2.1）提取货样并检验) (Box 3.3. 实例研究——项目范围可视化 本UML实例图解展示了从泰国出口冻虾的核心业务流程。它提供了详细分析业务流程的参照标准。图解列举了所有流程参与者/业务领域专家、业务流程以及他们之间的关系。 图解显示，分析范围将涵盖国际贸易交易中的所有环节，包括商业手续、运输手续、监管手续和财务手续。核心业务流程是按照联合国贸易便利化和电子商务中心“购买-运输-支付”模型进行组织的。考虑到货物移动必须遵守监管要求，因此运输手续和监管手续时密切相关的。他们的主要子流程就集合成为“运输”。)

(2.9）准备进口商要求的单证) (2.6）装载集装箱并运至出境港) (泰国中央穆斯林委员会办公室) (外交部门) (外贸部门) (港口当局) (承运人) (海关) (海关指定的银行) (出口商或代理人) (出口商指定的银行) (进口商指定的银行) (进口商) (2）运输) (3）支付) (1）购买)

Figure 3.4. Stakeholders involved in Step 2

图3.4 步骤二中涉及的利益相关方

(2）制定详细工作计划并保障资源)

(本流程要求参与方为：-项目管理者/项目领导人 -项目赞助人 -流程分析师) (流程分析师) (项目管理者/项目领导人) (项目赞助人) (项目管理者/项目领导人)

(项目赞助人) (流程分析师) (制定项目时间表) (指派流程分析师) (详细项目计划) (预估工作量) (明确任务并排序) (实例图解) (项目管理者/项目领导人)图3.5 步骤二中涉及的环节

(接受) (批准) (审核并给予反馈) (审核并给予反馈) (不接受) (接受) (不接受) (细化项目计划)

The use case diagram may be changed at a later stage if an inaccuracy is found. The revised diagram should be approved by the project sponsor before adopting it as a frame of reference.

实例图解在后期如果发现有误，会被调整。修订后的图解应在被当作参照标准之前由项目赞助人再次批准。

Step 2: Develop a work plan and secure resources

步骤二 制定详细工作计划并保障资源

The objective of this step is to develop a detailed work plan that guides and manages the implementation of the business process analysis. The work plan should be based on the use case diagram developed in Step 1.

这一步骤旨在制定详细的工作计划，指导并管理BPA的实施。工作计划应以步骤一中实例图解为基础。

Based on the use case diagram, the work breakdown structure, which is an output-oriented description of project tasks, can be developed. This work breakdown structure then provides a starting point for estimating project costs, staffing and scheduling.

在实例图解的基础上，完成项目任务成果化的描述，即任务分解表。从这项任务分解表开始进行估算项目成本、人员和时间表。

Figure 3.5 illustrates activities that a project manager/project leader has to carry out in this step in cooperation with process analysts and under the oversight of the project sponsor. These activities are further explained

below.

图3.5展示了项目管理者/项目领导人在这一步骤中必须执行的环节，且必须与流程分析师合作并在项目赞助人监督下实施。

Activity 2.1

环节2.1

Project manager/project leader identifies, in sequential order, tasks required to derive each output of the business process analysis project. They include:

项目管理者/项目领导人按顺序制定任务，以达成BPA项目的每一项成果。它们包括：

- Activity diagrams;

-环节图解；

-Process descriptions, including a list of trade forms and documents as well as a list of trade-related laws, rules and regulations;

-流程描述，包括一系列贸易表格和单证以及贸易相关的法律和规章制度。

-Integrated activity diagram;

-综合性的环节图解

-Time-procedure chart;

-时间手续图示；

-A list of identified bottlenecks; and

-已发现瓶颈清单；以及

-Recommendations to improve the business process and/or to-be business process models.

-改进现行和/或未来业务流程模型的建议。

To prepare the work breakdown structure of the project, the project manager/project leader needs to anticipate project activities outlined in Step 3 onward. While Activity 3.1 – 3.3 and Activity 4.1 – 4.10 have to be carried out for all core business processes represented by use cases in the use case diagram (see Box 3.4 for an example), the rest – including the development of integrated activity diagram, time-procedure chart, a list of identified bottlenecks, and recommendations for future improvement – requires only a one-time implementation.

为准备项目任务分解表，项目管理者/项目领导人需要在步骤三之前确定项目环节的框架。当环节3.1-3.3以及环节4.1-4.10被执行，所有核心业务流程以实例形式在实例图解中展示时（详见Box3.4举例说明)，其余部分-包括整合后的环节图解、时间手续图示、已发现瓶颈清单以及未来改进建议-都只需要一步步实施即可。

Activity 2.2

环节2.2

Project manager/project leader estimates the effort (man-hours or man-days) needed to complete each identified task and to prepare all deliverables. There is no standard bench-mark time for each activity required to complete the business process analysis project. Likewise there is no one-size-fits-all solution to determine the amount of required resources. However, the following approach may be helpful for time and resource estimation:

项目管理者/项目领导人估算完成每项任务以及全部成果所需的工作量。对于完成BPA项目每个环节并没有标准的时间。同样也无法以统一标准来确定所需资源的数量。然而，下列内容或许对估算时间和资源有所帮助：

- In conducting business process analysis, great time and effort is spent on collecting and compiling data into visual diagrams and written descriptions. There is a set of similar project tasks for elaborating each use case into an activity diagram and process description. The more process participants/business domain experts are involved in a business process that is represented by a use case, the more complex and time-consuming the business process analysis will be.

-执行BPA过程中，大量时间和工作量花费在收集数据，以及将数据编制成可视化图解和书面描述上。有一系列相类似的项目任务，把每个实例用环节图解和流程描述进行详细阐述。一个实例所呈现的业务流程中有越多的流程参与者/业务领域专家参与，BPA就越复杂，耗时也越长。

-The first session of a face-to-face data-collection interview with each process participant/business domain expert who is a part of Phase II may take one to two hours. Given that the business process analysis is an iterative task, the interview with relevant process participants/business domain experts may be conducted more than once. However, the project teams should avoid conducting more than three interviews with the same process participants/business domain experts.

-对阶段二中每位流程参与者/业务领域专家面对面进行收集数据访谈，第一次一般为1-2个小时。由此BPA是一项重复性的任务，对流程参与者/业务领域专家的访谈一般不止一次。然而，项目团队应避免对同一位流程参与者/业务领域专家访谈超过3次。

- Project Evaluation and Review Technique (PERT) estimate[footnoteRef:6] might be used for this purpose. (See Box 3.5) [6: Marchewka, J.T. (2006). Information Technology Project Management, 2nd ed. John Wiley & Sons Inc., Hoboken, NJ.6. Marchewka, J.T. (2006)，信息技术项目管理，第二版，约翰威利国际出版公司., 霍博肯，新泽西州.]

-项目评价与审查技术的预测也可以用于该目的。

(出口商或代理人) (出口商或代理人) (出口商或代理人) (出口商或代理人) (海关指定的银行) (出口商指定的银行) (出口商或代理人) (出口商或代理人) (出口商或代理人) (出口商指定的银行) (进口商) (进口商指定的银行) (进口商) (出口商或代理人) (出口商或代理人) (出口商或代理人) (出口商或代理人) (2.8）集装箱装运上船) (2.5）准备并向海关申报) (2.4）申请货物保险) (2.3）准备出口许可证) (3）支付) (1）购买) (表框3.4 实例研究——冻虾出口核心业务流程的实例)

(来源：联合国亚太经济合作委员会，《泰国冻虾出口流程分析》，IT革新研究所，泰国农业大学) (外交部门) (泰国中央穆斯林委员会办公室) (外贸部门) (渔业部门) (港口当局) (承运人) (海关) (港口当局) (海关) (内陆运输) (海关) (保险公司) (渔业部门) (海关) (内陆运输) (出口商或代理人) (承运人) (内陆运输) (渔业部门) (2.1）提取货样并检验) (经认证的私人检测机构) (2.9）准备进口商要求的单证) (2.7）海关清关) (2.6）装载集装箱并运至出境港) (2.2）安排运输)

(表框3.5 项目评价与审查技术的预测) (乐观时间+4*最接近时间+悲观时间) (任务预测=) (项目评价与审查技术可以大致预测环节的持续时间。项目评价与审查技术的预测可以用来计算每个个体任务的平均量。有3种预测方式：悲观的、最接近的以及乐观的。公式如下：)

(-乐观时间是指完成一项任务的最短时间。这是假设中的最佳方案，所有事情按计划进行，内外部均未发生阻碍。-最接近时间是指完成一项任务的预计时间。-悲观时间是指完成一项任务的最长时间，假设最坏的方案。) (6)

Activity 2.3

环节2.3

Project manager/project leader develops a project schedule based on the following information:

项目管理者/项目领导人根据以下信息制定项目时间表：

- Set of tasks which are identified in a sequential manner

-排序完成的任务表

-Project effort estimates

-预计工作量

- Duration of the project stated in the contractual arrangement made with the project sponsor.

-与项目赞助人签订的合同安排中的开始以及持续时间。

Activity 2.4

环节2.4

Project manager/project leader assigns process analysts to the project. Once again the number of process analysts required depends on the project duration. The shorter the project duration is, the larger the number of process analysts is required. The responsibilities and required skills of process analysts are listed in Box 3.6.

项目管理者/项目领导人根据项目内容分派流程分析师。再一次流程分析师的数量取决于项目持续时间。项目持续时间越短，所需流程分析师数量就越多。流程分析师的职责和技能要求列举在Box3.6。

Activity 2.5

环节2.5

Project manager/project leader complies project time and effort estimates, project schedules, and project staff (process analysts) into the detailed plan for project stakeholders to review.

项目管理者/项目领导人把项目时间和工作量估算、项目时间表和项目人员（流程分析师）编制成详细的计划，供项目利益相关方审阅。

Activity 2.6

环节2.6

Project stakeholders review the detailed plan and then provide feedback.

项目利益相关方审阅详细计划并给予反馈。

Activity 2.7

环节2.7

Project manager/project leader revises and refines the detailed plan, based on the received feedback.

项目管理者/项目领导人根据反馈修改和完善详细计划。

Activity 2.8

环节2.8

Project sponsor, in consultation with other project stakeholders, approves the detailed plan as the baseline for future project execution, monitoring and evaluation.

经项目赞助人与其余项目利益相关方磋商，批准详细计划，并将此作为未来项目执行、监控和评估的基础。

Phase II: Data collection and process documentation

阶段二：数据收集和流程文件化

The knowledge about existing business processes is normally embedded in government or private sector employees who routinely conduct the business processes. Such knowledge is usually not documented, thus impossible to analyse and improve further. The purpose of Phase II is to make the knowledge of these business processes readily available through documenting them. The documentation then can serve as a baseline to improve the processes.

通常政府部门或企业从事日常业务流程工作的人员了解现行业务流程。这种了解往往没有文件，也就无法分析并加以改进。阶段二旨在将对业务流程的了解以文件形式呈现出来。然后这份文件就可以作为改进流程的基础。

(表框3.6 流程分析师的责任和技能要求流程分析师负责以下事项：-研究和分析现行流程；-创建业务流程模型；-提出改进现行流程的建议；以及-与其他利益相关方共同合作设计新的流程（未来流程）。流程分析师应以下列技能为基础进行挑选： -技术技能：尽管非必要，但基本UML符号的知识，尤其是在实例图解和环节图解中都是需要的。相关工作经验也可作为补充。-业务/组织技能：很重要的一点，被选中的流程分析师认识或有机会见到业务流程分析研究相关业务领域的个人。如果他们知道一个与目标业务领域相关联的特定组织或产业，也同样很有帮助。-人际交往/沟通技能：被选中流程分析师在有效沟通和与其他项目成员合作的能力，对于项目的成功是至关重要的。他们应有能力创建并维持与项目利益相关方很好的关系，尤其是项目参与者/业务领域专家。-分析技能：拥有分析思考的能力。他们应有能力从口头表述中抓住相关信息并书面记录下来。他们应有能力总结这些信息，同时整理出业务流程并编辑成文件。)

Phase II includes two steps:

阶段二包括2个步骤：

Step 3 - Acquire background information

步骤三:获取背景信息

Step 4 - Conduct interviews and document captured data

步骤四：进行访谈，并把获取的数据文件化。

Step 3: Acquire background information

步骤三：获取背景信息

It is important that process analysts acquire at the outset as much background information on the business processes under examination as possible, prior to the face-to-face interviews. Background information could be obtained via desk research through information publicly available on the Internet, information portals, and at inquiry points of the agencies or businesses involved in the business domain of interest.

很重要的一点，流程分析师最开始应尽可能多的获取业务流程背景信息，且应在面对面访谈开始之前。背景信息可以以书面调研形式通过英特网、信息门户、部门或企业的咨询点公开地获取。

The background information is useful for process analysts in the preparation of interview questions and makes them better prepared to conduct face-to-face interviews. Moreover, it allows them to effectively and efficiently capture the information and data to be collected during the face-to-face interviews and put these into a broader context. Stakeholders participating in this step are shown in Figure 3.6.

对于流程分析师而言，背景信息对准备访谈提问很有帮助，使得他们可以更好地为实施面对面访谈做准备。此外，还可以使他们有效和高效地获取面对面访谈中需要收集的信息和数据，并把这些信息数据放到更广泛的环境中分析。参与这一步骤的利益相关方们见图3.6。

Activity 3.1

环节3.1

For each use case (see Box 3.4 for example), process analysts conduct desk research, which involves the gathering of the background information, related laws and regulations from publicly accessible sources such as websites or inquiry points of relevant governmental agencies and business.

对于每一个实例（见Box3.4举例说明），流程分析师进行书面调研，包括通过公共资源收集背景信息、相关法律法规，比如网站或相关政府部门企业的咨询点。

Activity 3.2

环节3.2

For each use case, process analysts systematically record and organize relevant information into a folder. The folder should contain the following information:

对于每一个实例，流程分析师们把相关信息进行系统性地记录和组织，制成文件夹。文件夹应包含以下信息：

- Names of government and other agencies and businesses responsible for carrying out respective activities in the business processes under examination (e.g. chambers of commerce, in case of issuance of a non-preferential certificate of origin);

-在业务流程中分别执行各自环节的政府部门和其他机构企业的名称（比如商会，如果涉及非优惠原产地证书发布）；

- Contact names and details of potential interviewees in the identified agencies and businesses, i.e. officer-in-charge at the operational level for each activity;

-确定机构和企业中潜在受访者的姓名和详细信息，比如每个环节操作层面的负责人。

- Sequence of actions/activities in a process; i.e. processes and procedures required to move goods across the border;

-流程中的一系列行动/环节，比如移动货物跨越边境所需的流程和手续；

-Forms and documents associated with each action/activity (import/export permits, SPS certificates[footnoteRef:7], certificates of origin, commercial invoice, customs declaration, etc.). [7: Sanitary and Phytosantary certificate （原文拼写错误，应为phytosanitary，卫生消毒证明）]

-每个行动/环节相关联的表格和单证（进/出口许可证，卫生消毒证明，原产地证书，商业发票，海关报关单等）

Activity 3.3

环节3.3

The project manager/project leader reviews the outcome of desk research, including the interview questions, and determines whether process analysts are ready to proceed with the next step.

项目管理者/项目领导人审核书面调研的成果包括访谈提问，确定流程分析师是否做好进行下一步骤的准备。

图3.6 步骤三中涉及的利益相关方

(3）获取背景信息)

(本步骤要求参与方为：-流程分析师-项目管理者/项目领导人) (项目管理者/项目领导人) (流程分析师)

(记录并组织信息) (实施书面调研) (流程分析师) (项目管理者/项目领导人)图3.7 步骤三中涉及的环节

(充分的) (不充分的) (审核并给予反馈) (将背景信息制成文件夹)

Step 4: Conduct interviews and document captured data

步骤四：进行访谈并把获取的数据文件化

The purpose of Step 4 is to conduct the face- to-face interviews with process participants/business domain experts. Face-to-face interviews are the most commonly used data collection method for the business process analysis exercise. This process aims to confirm the accuracy of the previously collected background information in order to gain an in-depth understanding of each use case or core business process in question. Such comprehensive information is necessary for creating a visual representation as well as descriptive explanation for each use case.

步骤四旨在对流程参与者/业务领域专家们进行面对面访谈。面对面访谈是BPA实践中最常用的数据收集方法。这一流程的目标是确定之前收集背景信息的准确性，这是为了通过提问来获取对每个实例或核心业务流程更深入的认识。这样综合性的信息对于为每个实例创建一份可视化报告以及描述性说明是很有必要的。

Once the face-to-face interview sessions with the relevant business process participants have been conducted, process analysts consolidate all inputs from interviewees and document them. There are three main outputs that should be delivered under Step 4:

一旦与相关业务流程参与者进行了面对面访谈，流程分析师会把所有来自受访者的信息进行编辑强化并制作成文件。步骤四中需要完成3个主要成果：

-Activity diagrams

-环节图解

- Process descriptions, including a list of relevant forms and documents as well as laws, rules and regulations

-流程描述，包括一系列贸易表格和单证以及贸易相关的法律和规章制度

-Time-procedure charts

-时间手续图示；

The stakeholders and activities involved in this step are shown in Figures 3.8. and 3.9.

这一步骤中涉及到的利益相关方和环节见图3.8和3.9。

(4）进行访谈并把获取的信息文件化) (项目赞助人)图3.8 步骤四涉及的利益相关方

(本步骤要求参与方为：-流程分析师-流程参与者/业务领域专家-项目管理者/项目领导人-项目赞助人) (流程参与者/业务领域专家) (项目管理者/项目领导人) (流程分析师)

Activity 4.1

环节4.1

Process analysts contact potential interviewees by phone or email to agree on the date, time and venue of the face-to-face interview. As noted before, potential interviewees are selected based on their involvement in a business process area of interest and the type of information that they can provide. Process par ticipants/business domain experts who are in charge at the operational levels have relatively more potential as interviewees, as they usually deal with respective procedures and formalities associated with the business process of interest on a daily basis.

流程分析师通过电话或邮件与潜在受访者取得联系，以落实面对面访谈的日期、时间和地点。之前提到过，挑选潜在受访者是基于他们在一个业务流程领域中的介入程度以及他们能够提供信息的类型。作为操作层面负责人的流程参与者/业务领域专家们，相对更容易成为潜在受访者