BS CWA 15236-2005 Analysis of standardization requirements and standardization gaps for eprocurement in Europe《欧洲电子采购的标准化要求和差距分析》.pdf

1、EUROPEAN COMMITTEE FOR STANDARDIZATIONCOMIT EUROPEN DE NORMALISATIONEUROPISCHES KOMITEE FR NORMUNGManagement Centre: rue de Stassart, 36 B-1050 Brussels 2005 CEN All rights of exploitation in any form and by any means reserved worldwide for CEN national Members.Ref. No.:CWA 15236:2005 E/FCENWORKSHOP

2、AGREEMENTCWA 15236February 2005ICS 35.240.60English versionAnalysis of standardization requirements and standardizationgaps for eProcurement in EuropeThis CEN Workshop Agreement has been drafted and approved by a Workshop of representatives of interested parties, the constitution ofwhich is indicate

3、d in the foreword of this Workshop Agreement.The formal process followed by the Workshop in the development of this Workshop Agreement has been endorsed by the NationalMembers of CEN but neither the National Members of CEN nor the CEN Management Centre can be held accountable for the technicalconten

4、t of this CEN Workshop Agreement or possible conflicts with standards or legislation.This CEN Workshop Agreement can in no way be held as being an official standard developed by CEN and its Members.This CEN Workshop Agreement is publicly available as a reference document from the CEN Members Nationa

5、l Standard Bodies.CEN members are the national standards bodies of Austria, Belgium, Cyprus, Czech Republic, Denmark, Estonia, Finland, France,Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Slovakia,Slovenia, Spain, Swe

6、den, Switzerland and United Kingdom.CWA 15236:2005 (E) 2 Contents Foreword 5 Introduction . 6 1 Definition of an eProcurement Framework . 7 1.1 Organisational and Procedural aspects 7 1.1.1 Organisational issues, differences and similarities between public and private procurement. 7 1.1.2 eTendering

7、 . 9 1.1.3 eOrdering . 10 1.1.4 eDespatching . 12 1.1.5 eInvoicing 13 1.2 Technical aspects. 15 1.2.1 Introduction . 15 1.2.1.1 Hardware Technical Building Blocks 16 1.2.1.2 Basic Software Technical Building Blocks . 16 1.2.1.3 Application Software Technical Building Blocks . 16 1.2.1.4 Typical Scen

8、ario of an eProcurement Environment 16 1.2.2 Methodology 17 1.2.3 Analysis . 19 1.2.4 Functional Requirements for Technical Building Blocks . 24 1.2.5 Summary 26 1.3 Legal aspects 28 1.3.1 Introduction . 28 1.3.2 Electronic public procurement in the new EU legislation. 29 1.3.3 Additional legal sour

9、ces of electronic procurement regulation. 31 1.3.4 Standardization requirements for electronic public procurement 32 1.3.4.1 Functional requirements of the eTendering and eAwarding phases 33 1.3.4.2 Horizontal requirements 35 1.3.4.3 Risk management 36 1.3.4.4 Quality assurance. 36 1.3.4.5 Applicati

10、on centric approach. 36 1.3.4.6 Cross recognition and status information for electronic signatures 37 1.3.4.7 Information security and application tokens . 40 1.3.4.8 Privacy. 41 1.3.4.9 Transaction policy . 41 1.3.4.10 Collaboration partner agreement . 42 2 Gap Analysis 43 2.1 Organisational and Pr

11、ocedural aspects 43 2.1.1 Member States programmes 43 2.1.2 Broad Guidelines and Standards 44 2.1.3 Gaps in Transaction Standards 45 2.1.4 eCatalogue and eClassification 47 2.1.5 Legacy differences EDI to XML. 47 2.1.6 ePayment and Remittance advice application . 48 2.2 Technical aspects. 49 2.2.1 T

12、echnical Architectures. 49 2.2.2 Relevant Standardization Organizations and Standards 52 CWA 15236:2005 (E) 3 2.2.3 Recommendations . 56 2.3 Legal aspects 59 2.3.1 European Electronic Signatures Standardization initiative . 59 2.3.2 CEN/ISSS WS on eAuthentication (WS/eAUT). 61 2.3.3 CEN/ISSS WS on e

13、Invoicing (WS/eINV) 61 2.3.4 CEN/ISSS WS/ Data Protection and Privacy (WS/DPP) 61 2.3.5 Network and Information Security Steering Group 62 2.3.6 CEN/ISSS European eBusiness Interoperability Forum (eBIF) 62 2.3.7 Standardisation recommendations for electronic public procurement 63 3 Dissemination 65

14、4 Conclusions . 66 5 References . 70 Annexes . 72 Annex A: e-GIF Technical standards catalogue 73 Annex B: Legal framework of public procurement. 81 Annex C: Relevant European specifications and reports 82 Annex D: General legal framework for public eProcurement. 84 Annex E - Presentation on CEN/ISS

15、S eProcurement Workshop 93 CWA 15236:2005 (E) 4 Figures Figure 1: Technical Building Block Layering 15 Figure 2: A typical eProcurement Scenario16 Figure 3: Reference eProcurement process of WS/ePro .19 Figure 4: Client-Server Architecture versus Service trading model 20 Figure 5: Technical Building

16、 Blocks of eProcurement systems 21 Figure 6: eTendering process (CA: Contracting Authority).24 Figure 7: eAwarding process (CA: Contracting Authority) 25 Figure 8: Layered approach towards interoperability requirements for eProcurement29 Figure 9: Regulatory blocks in electronic transactions .31 Fig

17、ure 10: Standardisation requirements .33 Figure 11: Recommended actions .33 Figure 12: W3C Web Service Architecture Stack versus ebXML .49 Figure 13: Basic profile of WS-I for web services.51 Figure 14: Order-to-Invoice Business Process of UBL.56 CWA 15236:2005 (E) 5 Foreword This CWA covering the a

18、nalysis of standardization requirements and standardization gaps for eProcurement in Europe has been prepared by a project team reporting to the CEN/ISSS Workshop on eProcurement (WS/ePRO) in the period December 2003 to December 2004. The decision to produce this CWA was taken at the Workshop kick-o

19、ff meeting on 14 October 2003. The content of the CWA was defined in the Workshop work plan approved in May 2004. The draft CWA was published on the CEN web site for public comments and sent to relevant CEN/ISSS electronic lists from 29 September 2004 to 29 November 2004. The CWA was endorsed by the

20、 CEN/ISSS Workshop eProcurement members in January 2005. The final endorsement round ran from 24 December 2004 to 20 January 2005. The list of experts who formally supported the CWA contents may be obtained from the CEN/ISSS Secretariat. Aim of the CWA is to help policy makers, business men, researc

21、her and anybody interested to have an overview of the state of art, activities and possible actions to undertake to promote and facilitate the use of inter-operable private and public eProcurement solutions in Europe, based on recognized standards. The CWA focuses on the following aspects: a) the fr

22、amework for procuring electronically The following aspects are considered: organizational and procedural issues: business processes and related issues technical issues: technologies used to implement eProcurement legal issues In particular, the CWA analyses which are the differences in doing eProcur

23、ement in the public and private sector and between large companies and SMEs and which are the resulting different requirements. b) standardization gap analysis The CWA contains an analysis of existing standards/specifications for each stage of eProcurement. It focuses on the differences between Memb

24、er States in the European Union that could cause problems for cross-border eProcurement. The CWA contains recommendations related to further actions to be taken in specific regarding standardization. c) dissemination The CWA examines if there is a case for raising awareness on standards and standard

25、ization activities in the field of eProcurement. Some suggestions of how this should be done are put forward. CWA 15236:2005 (E) 6 This CEN Workshop Agreement is publicly available as a reference document from the National Members of CEN: AENOR, AFNOR, BSI, CSNI, CYS, DIN, DS, ELOT, EVS, IBN, IPQ, I

26、ST, LVS, LST, MSA, MSZT, NEN, NSAI, ON, PKN, SEE, SIS, SIST, SFS, SN, SNV, SUTN and UNI. Comments or suggestions from the users of the CEN Workshop Agreement are welcome and should be addressed to the CEN Management Centre. Introduction The issue of electronic procurement has been identified by the

27、CEN/ISSS e-Business Focus Group, as being one of key topics requiring more coherent standardization activity over the 2003-2005 timeframe. There has been support for dedicated activities from other CEN/ISSS groups and stakeholders. EDI, now e-Business or B2B, was and is still used where there is a r

28、egular exchange between buyer and seller. But there have been no recent overviews of procurement requirements, in the context that procurers are moving towards eProcurement in a more general way, with the use of the Internet, or use of electronic auctions or a fully-electronic tendering process. “Pr

29、ocurement” covers a very wide range of different standards issues in different Groups. At one end of the chain are the principles of e-cataloguing and product classification, then moving into issues related to the business transaction process seeking bidding document/offer/selection of bidders/trans

30、action/delivery/invoicing, etc. Lying underneath are horizontal aspects such as data privacy and security. Of course, most of these issues are already being standardized, often in multiple groups. It is important to encourage the use of compatible systems for public procurement as well as for privat

31、e procurement. This will help SMEs to access eProcurement processes, it will facilitate service provision, and it will avoid problems for companies selling to multiple customers. CWA 15236:2005 (E) 7 1 Definition of an eProcurement Framework Under the Clinton administration, one of the main US Gover

32、nment programmes was to introduce commercial behaviour in public procurement. An important item in the programme was to prefer the purchase of COTS, Commercial Of The Shelf items (and services), rather than procuring unique government specified items that needed to be manufactured and where the fina

33、l price tag would be factors of a hundred if not more. The major benefits have included: - Lower product prices - Use of purchasing cards to pay for the bought items - Use of standard “content” vehicles for e-transactions (ANSI-X12, EDIFACT, XML) - Use of standard technical architectures for messagi

34、ng and web services - Fewer stringent legal obligations than previously required in public procurement attracted more manufacturers and sellers to supply the public sector - Others 1.1 Organisational and Procedural aspects 1.1.1 Organisational issues, differences and similarities between public and

35、private procurement. Leaving the eProcurement aspect aside, there are differences of principle in the business issues between public and private procurement. Private procurement is geared to provide the best costs-benefits balance. This is not always the case for public procurement where transparenc

36、y and openness are paramount. However, large public eProcurement initiatives may have a clear goal to drastically cut costs. Public procurement is governed by legislation, which does not apply to private procurement. In both sectors, eProcurement is deployed to provide a better and more efficient se

37、rvice to the organization/community and to reduce costs. Private sector e-Business developments from the very outset have been based on agreements achieved by industry and trade sectors. Buyers, sellers, manufacturers, transporters, banks and others grouped their efforts to develop e-business standa

38、rds and transactions through EDI (e.g. ANSI-X12, UN/EDIFACT). While the US developments were predominantly for the US, the later European developments were based on international principles that also included US requirements. Good examples are to be found in the automotive industry (ODETTE) or retai

39、l and distribution (EANCOM). In the case of the European Article Numbering organization, today known under the joint name EAN.UCC1, a body of some 800 000 members, including the US Uniform Code Council, have been prominent in the development of e-business standards (EDI), as part of UN/EDIFACT, and

40、now are basing their new developments on ebXML technology and UN/CEFACT Core Components. The developments of guidelines, standard transactions, procedures, coding, etc. are implemented world-wide. In Europe, the EAN.UCC member organizations are very much involved in the 1EAN International was rename

41、d GS1 and UCC GS1 US in January 2005. http:/www.ean-int.org/ CWA 15236:2005 (E) 8 facilitation of implementation at national level and where the items in question are very much part of the product range required by the different public sector groups, e.g. health service, office equipment and furnitu

42、re, food, etc. 25 With the advent of Internet technology, new approaches based on XML are being developed to make possible to migrate existing EDI transactions and to extend the application into new areas to use eCatalogues. A further aim is to attract SMEs and trading partners who had declined to i

43、mplement EDI because it is too complex and not cost justified. Established organizations such as EAN.UCC are active in international developments and deployment of e-business applications2. Through critical re-thinking of business processes in the private sector, buyers, suppliers, transporters are

44、managing to make procurement more responsive, flexible and resilient. In the case of assembled products, suppliers are organising their operation to assemble products only when they are ordered and deliver literally “on demand,“ with a high level of customization. In contrast, public sector groups i

45、n the Member States were not very active during the first developments of EDI but are now reviewing their business processes in eGovernment to include eProcurement. Excellent examples are to be seen in OGC (UK), DPSM (France), an application of the city of Bremen (Germany), e-Handel and GAS (Norway)

46、. While these public sector applications are developed as open, transparent and based on best practice guidelines, they differ from private sector applications because they are predominantly focused to their own country or to a region. The step to make them cross border transparent and interoperable

47、 in a single European electronic market has still to be achieved. Member States administrations are recognising that the IDA eProcurement programme, carried out by the European Commission/DG Enterprise, is taking them in the right direction to implement the Public Procurement Directive with the corr

48、ect level of interoperability across Member States eProcurement applications. However, the IDA programme will have to be adapted to national complementary programmes related to eGovernment. These national programs are interfering with Procurement (for ePayment in particular), and adaptations will ha

49、ve to be defined to cope with the IDA proposed standards, which will have also to be revised. Such alignment of standards will be necessary to avoid duplication of efforts and unnecessary conversions. An extract taken from an article written on the Bremen application: “Most importantly, Dr Hagen hopes that Bremen will profit from the European Commissions IDA Programme in the area of interoperability and support for standardisation, and he also believes that this can be true vice versa. In this context, interoperability tests with Swedish and British XML-standardisation e