panama canal authority · panama canal authority request for information rfi-engagement services...

PANAMA CANAL AUTHORITY

REQUEST FOR INFORMATION

RFI-ENGAGEMENT SERVICES FOR ENTERPRISE ARCHITECTURE

PROGRAM AND IMPLEMENTATION

ACP RENOVA Program

October 2012

RFI-ENGAGEMENT SERVICES FOR ENTERPRISE ARCHITECTURE PROGRAM AND IMPLEMENTATION

Non-binding RFI (Request for Information) 2 ACP RENOVA Program

Contents

1. Introduction ................................................................................................................ 4

1.1 Background ......................................................................................................... 4

1.2 Purpose ............................................................................................................... 5

2. RFI Description ............................................................................................................ 5

2.1 Scope ................................................................................................................... 6

2.2 Assumptions ........................................................................................................ 7

2.3 Constraints .......................................................................................................... 8

2.4 RFI Template ....................................................................................................... 9

2.5 RFI Procedure .................................................................................................... 15

3. ACP Current environment ......................................................................................... 16

3.1 ACP VISION ........................................................................................................ 16

3.2 ACP MISSION ..................................................................................................... 16

3.3 Organizational Chart ......................................................................................... 17

4. ACP Core Business Applications Architecture........................................................... 18

4.1 Electronic Data Collection System (EDCS) ........................................................ 18

4.2 Mobile Data Collection Application (MDCA) .................................................... 20

4.3 Enhanced Vessel Traffic Management System (EVTMS) .................................. 21

4.4 Customer Service Management System (CSMS) .............................................. 25

4.5 Summary Table of Maritime Applications ........................................................ 27

4.6 Maritime Systems Functional Module View ..................................................... 28

4.7 Maritime Systems Technology View ................................................................. 31

5. ACP Existing IT Infrastructure Architecture .............................................................. 32

5.1 Operating System .............................................................................................. 32

5.2 RDBMS Software ............................................................................................... 33

5.3 Storage .............................................................................................................. 33

5.4 Servers ............................................................................................................... 33

5.5 Telecommunications ......................................................................................... 33

5.6 Other Software ................................................................................................. 34

6. SOA IT Readiness Assessment Results ...................................................................... 35

6.1 Analysis of Results of the BPM/SOA Maturity Survey. ..................................... 35

6.2 Maritime Core Business Applications Functionalities and Possible Services. .. 36

6.3 SOA Reference Architecture ............................................................................. 38



6.4 Proposed SOA Roadmap. .................................................................................. 39

7. Definitions, Acronyms, and Abbreviations ............................................................... 41

8. Annex ........................................................................................................................ 43

8.1 Sample documentation for Service Contracts .................................................. 43

8.2 Proposed Services List ....................................................................................... 48

8.3 Maritime Business Process Overview ............................................................... 49



11..

11..11 BBAACCKKGGRROOUUNNDD

The Panama Canal Authority (ACP) is the autonomous entity of the Government of Panama responsible for the operation, administration, maintenance, and modernization of the Canal, following its transfer from the United States of America to the Republic of Panama on December 31, 1999. In the following years, the ACP was transformed into an organization focused on delivering results and profitability, resulting in significant investments in training, development and technology. Today, the Canal is presented with new challenges and opportunities, defined by a sustained increase in international trade and the greater demand for the Panama transit route where its information, electronics and telecommunication systems (IT) play an important role as it executes the expansion program that will provide a new third-set of locks, increasing the Canal´s capacity by 2015. The Canal’s IT infrastructure serves diverse business functions such as marine traffic, finance, human resources, energy and water utilities among others. The core maritime transit operations and related services are supported by Marine Traffic Control systems, locks machinery control systems, positioning systems, and telecommunication services. Some of these systems are commercial off the shelf (COTS), while others are developed in-house or outsourced based on different kinds of technologies. There is a need for these systems to share information through different means, but as new business requirements evolve, this has become more difficult to maintain. In order to achieve business agility while reliably supporting its current operation, the ACP is adopting an Enterprise Architecture approach for Business/IT alignment, and implementing a BPM/SOA Suite. ACP is looking for technological flexibility to modernize the way its systems are architected, designed and built to be ready when the expansion program and the new set of locks are completed. It is important for ACP to improve its technology capabilities in terms of agility, flexibility and resiliency to respond timely in enabling new business capabilities, developing new products and services, and other business innovations. This new way of doing IT must also be efficient, operational and maintainable for the information systems to achieve higher levels of integration and interoperability. Additionally, support for web-service and mobile technologies, security, multi-platform environments, and point-to-point integration will play a key role in this enterprise transformation. As a first initiative, ACP completed a four (4) months SOA IT Readiness Assessment and Roadmap to provide a better understanding of the current situation and, consequently,



established the basis for the development of a phased SOA adoption and modernization plan to adapt software, people and processes to a service orientation by delivering early, measurable, and incremental business benefits while avoiding major disruptions. The ACP expanded the initial limited scope from SOA, and is currently carrying out an RFI to gather information regarding Enterprise Architecture (EA) adoption, the implementation of an EA Center of Excellence, and BPM/SOA analysis, design, build and implementation services.

11..22 PPUURRPPOOSSEE

This Request for Information (RFI) has been issued for the purpose of gathering information on feasible services and alternatives to achieve the following objectives:

1. Adopt EA in the Panama Canal including the establishment of an EA Center of Excellence that supports the EA practice

2. Assessment and definition for core business processes using a “Top-Down” and “Middle-Out” approach

3. Analysis, detailed design, development and implementation of business

processes and BPM/SOA solutions pertaining transit requests, reservation management and pre-arrival assessments for the Canal´s maritime services (“Solution Project 1”).

It is expected that interested parties provide general information as requested in section 2.4. The information required, and all information exchanged herein shall be treated as confidential and shall not be disclosed to any person or entity and is only for internal use of ACP. The publication of this RFI does not represent a commitment to enter into a contract with participants, nor does it imply a decision to purchase nor does it constitute and obligation or commitment of any sort. The non-proprietary information collected through this RFI is of non-binding nature and could be used as input material to prepare an RFP to be published by ACP as a public bid within the next three months.

22..

In January 2012, the Canal hired third-party services to conduct a 4-month SOA IT Readiness Assessment in collaboration with its newly formed IT Transformation Team. This assessment was focused on a SOA adoption using a BOTTOM-UP approach where existing systems functionality was discovered and conceptual services were identified. However, in order to fully comply with the ACP business goals and strategy, it will be



necessary a TOP-DOWN approach that will allow the understanding of the business point of view and that will allow closing the gap between existing systems functionality and the processes and services required. Additional information on this assessment and its results is provided in section 6 of this document. On June 2012, a Program Management team was established in order to extend the approach of the preceding SOA initiatives towards an integral, holistic, business-driven vision and program scope. The coordination team, namely RENOVA, is responsible for the adoption of Enterprise Architecture, the establishment of the EA CoE and the initial guidance of all EA efforts. It serves also as the coordinating Project Management Office (PMO) for the execution of projects to RENOVAte current processes and systems. The first milestone in this transformational effort is to procure a new comprehensive integration and development BPM/SOA platform. This new platform includes not only SOA components, but BPM, ECM, Governance tools among others. The platform is planned to be acquired through a bid-and-selection process between October and December 2012, and implemented in the development environment by February 2013.

22..11 SSCCOOPPEE

The information requested in this RFI refers to goals/tasks that the ACP seeks to accomplish with its own workforce and guidance/support from external consultants

Goal Description

“EA Adoption and Establishment of CoE”

Conceptualize, develop and ensure adoption of Enterprise Architecture for the Panama Canal, including Business, Information, Application and Technology Architecture layers.

Establish an EA Center of Excellence that ensures the sustainable usage of EA best practices and methodologies, and effective governance to satisfy business needs through agility and flexibility.

“Top-Down” and “Middle-Out” assessment of core business processes

Discover and analyze business processes with a ¨Top-Down¨ and “Middle-Out” approach to complete the BPM/SOA perspective, using the findings from the SOA Readiness Assessment (¨Bottom-Up¨ results).

“Solution Project 1” Design, build and implement business processes covering transit requests, reservation management and pre-arrival assessments for the Canal´s maritime services using BPM/SOA.

Refer to Annex 8.3 for more information.



Following is an illustration of the RFI scope in terms of the organization as described previously.

22..22 AASSSSUUMMPPTTIIOONNSS

At the beginning of the engagement, it is expected that the contractor will help the ACP to identify priorities, risks and other factors regarding the courses of action in: application integration, modernization, composite applications and new application development

It is of utmost importance that the ACP develops the competencies and establishes the capabilities to use EA effectively to drive business and IT investments and to deliver solution implementation projects to the business while governing its architecture. For that matter, knowledge transfer is a key element of this engagement

ACP will avoid the adoption of turn-key solutions to minimize the number and complexity of risks associated to the fact that these type of solutions do not allow effective knowledge transfer to maintain and extend their architectures

It is expected that ACP resources will be responsible for value-added tasks. To minimize costs, other non-core tasks could be outsourced to software factories such as development for specific areas of the whole solution

The work envisioned for the “Solution Project 1” shall make the most efficient use of the BPM/SOA platform components available for solution development at ACP



The deliverables from the initial SOA assessment, including Ontology Model and conceptual services, are in Sparx System’s Enterprise Architect version 9.3. As ACP continues to grow its EA design and modeling software toolbox, other tools that are part of the ACP stack of tools may be used for these purposes

Designs will be created in a single model of Sparx System’s Enterprise Architect tool or equivalent tool part of the ACP stack, without redundancy in its entire model.

The methodology to be used will be described fully and comprehensibly to ACP personnel, and it may be adopted for new projects without generating additional costs to ACP in licensing or additional consultancy for implementation/maintenance of the methodology

Strategy for knowledge-transfer must include workshops, one-on-one sessions as part of the on-the-job training, and a training plan as a means of formal development for ACP personnel.

Travel Expenses shall be considered in the costs estimates. Indicate the expected travel expenses for each of the resources/roles described, and the number of trips required / expected for each.

The services shall be provided through a company legally established in the Republic of Panama for the purposes of tax law compliance; otherwise, all payments will be subject to a tax retention of 30% until the company files a tax declaration

All personnel assigned by the contractor must be properly certified and have verifiable experience, that is within the last two years, for the role they will play. Typical certifications include but are not limited to TOGAF and PMP based on role.

All personnel must be proficient in reading and writing in English (Knowledge of Spanish is a plus but NOT necessary)

22..33 CCOONNSSTTRRAAIINNTTSS

The work to be performed for ¨Solution Project 1¨

o Shall be based on TOGAF9 and OASIS, and must be built using at least the following BPM/ SOA layers: Presentation, Process, Rules, Services, Documents, and Components.

o For the service layer, current functionalities, and conceptual services identified in

the SOA Readiness Assessment shall be validated and used as input for this layer.

o In addition to the functional requirements, the analysis and design shall cover non-functional requirements including usability, reliability, performance, security, supportability, and other aspects to ensure quality of services.

o The design must consider Web interfaces, B2B interfaces and offline capabilities for creating and uploading transactions through a web interface.



22..44 RRFFII TTEEMMPPLLAATTEE

Please provide the following information for the company profile and the requested information for the listed goals for this request of information. Company Profile

Item Description

Company Background Brief history of the company, website, business divisions, years in business, customer base …

Areas of expertise List areas of expertise, number of years providing services in these areas, solutions for vertical industries…

HQ Location and global/regional/local (Panama) presence

Address of your main office or headquarters, regional offices or subsidiaries, partner network worldwide including specifically presence in Panama and the Americas.

EA Development and EA Center of Excellence experience, capabilities and competencies

Service offerings, projects, participation in industry research and development, number of qualified personnel, certified personnel…

BPM/SOA development and integration experience, capabilities and competencies

Service offerings, projects, participation in industry research and development, number of qualified personnel, certified personnel…

Successful EA Projects Description of services implemented in your clients comparable to the ones requested in this RFI

Successful BPM/SOA solution development projects

Description of services implemented in your clients comparable to the ones researched in this RFI

Point(s) of contact(s) for this RFI.

Name, title / position, telephone, e-mail, social networking

If you are interested in providing services for the goals/tasks listed in the RFI Description, please complete the additional information as follows:

Interested in providing services for… Please complete…

“EA Adoption and Establishment of CoE” Goal Section A

““Top-Down” and “Middle-Out” assessment for core business processes Goal

Section B

“Solution Project 1” Goal Section C



Section A - EA Adoption and Establishment of CoE” Goal

Item Description

EA Methodology Describe the EA methodology to be used and its relation to EA best practices and industry frameworks. Specify how this EA methodology aligns with BPM/SOA development and integration efforts.

Expert Profiles / Roles List the expert profiles/roles that will support/guide this goal with the proposed approach. For example, “Enterprise Architecture Consultant”, “Information Architect”, “Process Analyst”, “Technical Writer” and such. Include role descriptions for each.

Work plan Describe the phases, milestones and schedule for this goal. Include any deliverables expected for these objectives

ACP Workforce Requirements Describe the profiles/roles and their level of effort (hours) required by ACP in terms of the workforce that shall carry out this goal.

Knowledge Management Plan Describe knowledge management activities that will guarantee knowledge transfer and EA program and EA CoE sustainability.

Training and Development Plan Describe recommended formal training and development plan for ACP personnel assigned to work and carry out this goal and sustain EA efforts thereafter, in addition to on-the-job knowledge transfer. The training plan must include the list of courses and an estimated cost.

Estimated level of effort (contract hours) to achieve this goal as detailed, taking into account the assumptions and constraints listed.

Amount of hours required of each Expert Profile broken down for each of the proposed deliverable

Estimated cost of services described

Provide the total cost in USD for the services and its breakdown per deliverable listed in the work plan.

Estimated costs for additional services

Provide hourly rates in USD per role/function for additional services not included in the scope of this RFI

Additional considerations Include any other information that is important to consider (additional resources or requirements, pre-requisite information…)

Evaluation model for selection criteria

List sample criteria for evaluation including capability attributes, cultural fit, certifications, personnel requirements, etc. to be considered for the RFP.



Section B - “Top-Down” and “Middle-Out” assessment for core business processes Consider the following scenarios, and for EACH of these scenarios complete the table below:

“Done by ACP” where ACP personnel complete most of the actual work, supported by mentoring and guidance, quality checks and such.

“Hybrid Joint ACP/Provider approach” where both ACP and Provider perform actual tasks in the analysis, design, build and implementation. This means the Provider’s staff will be regularly completing tasks towards deliverables.

Item Description

Scenario “Done by ACP” or “Hybrid Joint ACP/Provider approach”.

BPM/SOA Methodology Describe the BPM/SOA methodology to be used for the discovery and analysis of core business processes to perform the “Top-Down” and “Middle-Out” approach. Explain how this methodology covers the work to be performed at each BPM/SOA layer.

Expert Profiles / Roles List the expert profiles/roles that will support/guide/execute this goal with the proposed approach. For example, “Enterprise Architect”, “Service Designer”, “Business Rules Specialist”, “Usability expert” and such. Include role descriptions for each.

Work plan

Describe the phases, milestones and schedule for this goal. List all expected deliverables for these objectives.


Knowledge Management Plan Describe knowledge management activities that will guarantee knowledge transfer and sustain future in-house or outsourced “Top-Down” and “Middle-Out” assessment.

Training and Development Plan Describe recommended training and development plan for ACP personnel assigned to work and carry out this goal and sustain future in-house or outsourced “Top-Down” and “Middle-Out” assessment.



Consider the following scenarios, and for EACH of these scenarios complete the table below:



Item Description


Amount of hours required of each Expert Profile broken down for each of the proposed deliverables.

Estimated cost of services Provide the total cost in USD for the services and its breakdown per deliverable listed in the work plan.


Provide costs per hour per role for activities to be hired as additional services in USD.

Estimated cost of Training Requirements

Provide the total cost for the Training Plan described, in USD as a separate quote.

Additional considerations Include any other information that is important to consider (additional resources or requirements, pre-requisite information…).


List sample criteria for evaluation including capability attributes, cultural fit, personnel minimum requirements, etc. to be considered for the RFP.



Section C - “Solution Project 1” Consider the following scenario, and for EACH scenario that meets your interests, complete the table below.



Item Description

Scenario “Done by ACP” or “Hybrid Joint ACP/Provider approach”.

BPM/SOA Methodology Describe the BPM/SOA methodology to be used for the analysis, design, build and implementation of “Solution Project 1.” Explain how this methodology covers the work to be performed at each BPM/SOA layer.

Expert Profiles / Roles List the expert profiles/roles that will support/guide/execute this goal with the proposed approach. For example, “SOA Architect”, “Service Designer”, “Business Rules Specialist”, “Usability expert” and such. Include role descriptions for each.

Work plan:

Describe the phases, milestones and schedule for this goal. List all expected deliverables for these objectives.


Knowledge Management Plan Describe knowledge management activities that will guarantee knowledge transfer and sustain future in-house or outsourced BPM/SOA solution projects.

Training and Development Plan Describe recommended training and development plan for ACP personnel assigned to work and carry out this goal and sustain future in-house or outsourced BPM/SOA solution projects.



Consider the following scenario, and for EACH scenario that meets your interests, complete the table below.



Item Description


Amount of hours required of each Expert Profile broken down for each of the proposed deliverables.

Estimated cost of services Provide the total cost for the services described, in USD.


Provide costs per hour per role for activities to be hired as additional services in USD.

Estimated cost of Training Requirements

Provide the total cost for the Training Plan described, in USD, as a separate quote.

Additional considerations Include any other information that is important to consider (additional resources or requirements, pre-requisite information…).


List sample criteria for evaluation including capability attributes, cultural fit, personnel minimum requirements, etc. to be considered for the RFP.



22..55 RRFFII PPRROOCCEEDDUURREE

This RFI is distributed by web/e-mail to a limited number of companies based on ACP’s market knowledge. To further enhance transparency and participation, the RFI will also be posted via Twitter and Linked In. Feel free to notify or forward this RFI to business partners in capacity of providing the aforementioned services. Your response to this RFI is required no later than November 2nd, 2012 by email to [email protected]

Point(s) of Contact Please provide your response in WORD or PDF format to the following electronic mails:

Primary POC Cristina Lee RENOVA Enterprise Architecture Program Phone: +507.272.7595 E-mail: [email protected]

Alternate POC Axel Mock RENOVA Enterprise Architecture Program Phone: +507.272.1917 E-mail: [email protected]



33..

33..11 AACCPP VVIISSIIOONN

WORLD LEADER in services to the maritime industry and in sustainable development for the conservation of the Panama Canal watershed. CORNERSTONE of the global transportation system and driving force for the progress, development and growth of Panama. MODEL of excellence, integrity and transparency in our conduct; committed to the integral development of our human resource team.

33..22 AACCPP MMIISSSSIIOONN

To produce the maximum sustainable benefit from our geographical position. We will be successful to the extent that we provide value and service to our customers, increase our corporate value and thus contribute to the prosperity of Panama. Our business. This enterprise is charged with operating, maintaining and improving the Panama Canal so that it remains the route of choice for our customers. We are the exclusive administrators of the Canal's patrimony and do so in a manner that is profitable, efficient and competitive, with excellence, quality and transparency, while guaranteeing prompt, dependable, safe and uninterrupted interoceanic transit. We invest in training and technology; we grow in order to strengthen the corporation's competitive position and assure future viability. We manage and conserve the Canal's water resources and participate actively in environmental protection, as well as in the sustainable development of the Canal watershed. Our country. We bring wealth to Panama and contribute with our efforts to the nation's welfare, development and progress, and to an improved standard of living for all Panamanians. Our customers. We build lasting relationships with our customers, understanding and anticipating their needs, and offering quality service. Our people. We recognize that the Canal worker is the most important resource in achieving service excellence. We recruit and promote the very best. We value diversity and encourage teamwork, while continuously training our people, creating the opportunities for all individuals to contribute, learn, grow, and progress based on their merits, and to be fairly compensated for their contributions.



33..33 OORRGGAANNIIZZAATTIIOONNAALL CCHHAARRTT



44..

ACP is committed with its mission of operating, maintaining and improving the Panama Canal so that it remains the route of choice for our customers, and has developed a catalog with more than 100 applications, most of them for departmental used but a few ones available for supporting the most critical and major Business Processes. The following diagram shows the current ACP systems applications covered during the IT Readiness Assessment for SOA (refer to section 6) with the main applications:

Electronic Data Collection System (EDCS)

Mobile Data Collection Application (MDCA)

Enhanced Vessel Traffic Management System (EVTMS)

Customer Services Management System (CSMS)

Other departmental applications were not included in the assessment but they are required for the transit operation and must be included in the new architecture.

ACP Critical Application Systems – Functional Application View

44..11 EELLEECCTTRROONNIICC DDAATTAA CCOOLLLLEECCTTIIOONN SSYYSSTTEEMM ((EEDDCCSS))

Built in Java using a proprietary framework of Crimson Logic. This system considers the following framework, standards and technologies:



DAO (Data Access Object)

JavaScript

JMS (Java Message Service)

JSP (JavaServer Pages)

MDB (Message Driven Bean)

MVC (Model View Controller)

Servlet

VO (Value Object)

XML

Initial analysis concluded that SQL statements are embedded in the code through the

entire development. No reuse components identified. Electronic Data Collection System

Technical Name EDCS – part of ADCS

Description Allows the customers and agents to submit all required pre-arrival information of a vessel to visit and/or transit the Panama Canal as well as for ACP representatives to process these submissions. After being verified by ACP personnel, this information is incorporated into the production database of the Enhanced Vessel Traffic Management System (EVTMS). The information is provided by web, cig or xml format through a from upload option.

Type Outsourced by Crimson Logic (http://www.crimsonlogic.com)

Criticality CRITICAL - OP - Maritime Operations

Development Language Java and Crimson Logic COTS

Responsible Unit FAII-SMI

Platform EDCS Web access • MS Internet Explorer 6.0 SP1 and above • Windows 2000 (SP2), Windows XP • JRE 1.4.2 • CIP & I-Key drivers EDCS CIG with RTFTP Client for Windows • Windows 2000 (SP4) for Solaris • Solaris 8 • gcc 2.95.3 and above

Users 200

Availability 24X7

Owner OP

Database SUN V880, Solaris 9 Oracle Server 9.2.0

Application SUN V880, Solaris 9, load balanced (content switch) BEA Weblogic Application Sever 8.1

Architecture 3-tier

Status Active

Modules ETA, (Estimated Time of Arrival) Vessels, visits and movement information of Vessels SHD (Ship Due), Vessels, visits, movement, security and quarantine information of Vessels CAD (Cargo Declaration), Vessel's cargo declaration BAP (BAPLIE), Contenerized cargo information PAX (Passenger list), Passenger list CREW (Crew list). Crew List

Functional Areas Maritime Operations Department

Functionalities

(EDCS) allows the customers and agents to submit all required pre-arrival information of a vessel to visit and/or transit the Panama Canal as well as for ACP representatives to process these submissions. The information is provided by web, cig or xml format through a form upload option.



Project Scope: All modules in this system are selected as part of Solution No. 1 for a BPM/SOA approach as the first initiative.

EDCS and MDCA Systems – Technical Components View

44..22 MMOOBBIILLEE DDAATTAA CCOOLLLLEECCTTIIOONN AAPPPPLLIICCAATTIIOONN ((MMDDCCAA))

Built on .NET. The database used by this application comprises internally views with triggers responsible for distributing the information into the EVTMS database. The initial analysis concluded that development is quite simple and rudimentary considering the layers in which they are built. And like EDCS, SQL statements are embedded in the code.

Mobile Data Collection Application Technical Name MDCA – part of ADCS

Description Allows the Boarding Officer to automate admeasurements processes prior to the vessel transit through the canal.

Type Outsourced by Crimson Logic (http://www.crimsonlogic.com)


Development Language .NET, Java


Platform • Windows 2000, .Net Framework, BT 500 Bluetooth client • JRE 1.4.2, CIP & I-Key drivers, Oracle Data Provider for .net

Users 50

Availability 24x7

Owner OP

Database HW: SUN M5000, Solaris zones, Solaris 10 SW: Oracle Server 11.2.0.2



Application SUN V880, Solaris 9, load balanced (content switch) BEA Weblogic Application Sever 8.1

Architecture Client / server

Status Active

Modules ADS Final SIQD Final Tolls Docking Release Transit Release Handline Release Received from the Master Admeasurer's Inspection Checklist Admeasurement Clearance and Handline Inspection (No Agents) Handline Lockage Request Launch Fee MCC Chock & Bitts Tank Statements Super Structure Calculation Crew List Passenger List Retrieve reports module


Functionalities

Facilitates Admeasurement inspections of vessels arriving in Canal waters, through the wireless network from mobile devices to access information in the EVTMS system. Includes options for: capture and updating the results of the admeasurement work; provide digital signature for documents; electronic forms printing; synchronize information between the first and second boarding officer; and synchronize information with EVTMS.

44..33 EENNHHAANNCCEEDD VVEESSSSEELL TTRRAAFFFFIICC MMAANNAAGGEEMMEENNTT SSYYSSTTEEMM ((EEVVTTMMSS))

Built in Oracle Forms. This system provides real-time information from Canal resources and the vessels in transit. Initial analysis concluded that the structure within the database shows the correct use of packages, procedures and functions. However, business forms have embedded logic components as present in the database. This logic is highly recommended to be moved outside these components and located in a business rules engine.

EVTMS Oracle Forms Applications



Enhanced Vessel Traffic Management System

Technical Name EVTMS

Description Integrates the operational transit information in a database central repository, providing real time information of Canal resources and in-transit vessels within the limits of the waterway.

Type In-house development


Development Language Business components use Oracle Developer Suite 10g (Forms/Reports), PL/SQL, Java and RDBMS Oracle 11g, Scientific components use .NET 2003, VB6 and G2, Migrating everything to .NET 2010.


Platform Oracle Forms Server, Windows XP, .NET 2.0, .NET framework 4.0

Users 1500

Availability 24x7

Owner OP


Application HW: SUN Blade 6000 (T3-1B), Solaris zones, Solaris 10, load balanced (content switch) SW: Oracle OAS 10.1.2 (Forms Server, Report Server)

Architecture client/server

Status Active

Modules Maintenance of vessel's visit and its movements Vessel Transit Reservation Billing Maritime Services Maintenance for vessel’s transit resources requirements and restrictions Operational transit processes Vessel Transit Schedule Planning Harbor and anchorage movements Pilot Assignment Management Inquiries System Administration


Functionalities

Integrates the operational transit information in a database central repository, providing real time information of Canal resources and in-transit vessels within the limits of the waterway. Users are allowed to administer visits and process booking requests, register admeasurement activities, review funds and process financial information, administer transit restrictions, resources and determine precautionary measurements for dangerous cargo or special transit conditions. Also evaluate potential risks based on the information of crew, passenger, cargo and previous ports call, coordinate harbor and anchorage movements and provide information through reports and on-line requests to both internal and external users.

Project Scope: Maintenance of vessel’s visit and its movements (ETA/SHD) and Vessel Transit Reservation (Booking) modules in EVTMS Business for this system are selected as part of Solution No. 1 for the BPM/SOA approach as the first initiative.



44..44 CCUUSSTTOOMMEERR SSEERRVVIICCEE MMAANNAAGGEEMMEENNTT SSYYSSTTEEMM ((CCSSMMSS))

Include the identity management functions for performing user authentication and authorization of applications; and the customer service management system, for managing the services delivered to customers. Some of its features are: tariffs, billing information, and more. Built by PSL on Java (JEE) and uses a proprietary framework called “JBrain”. Initial analysis determined that this system should not be migrated into the new enterprise architecture at least during the first initiatives because it was developed using Java under a service model. However, current and future functionalities for this system should be analyzed and evaluated in order to incorporate those into the new architecture.

Customer Service Management System Technical Name CSMS

Description Extends the guarantee process for revolving funds of current shipping agencies with ACP; allows advancing the earning and improving the billing process (including standard maritime services); allows the registry and control of incidental maritime and commercial services provided to the clients; and permits the submission of transit bookings guarantees directly to the shipping agencies.

Type Outsourced by PSL (http://www.psl.com.co)


Development Language Java (JEE) and PSL JBrain Framework


Platform IE8, Windows XP, Windows 7

Users 1433

Availability 24x7

Owner OP


Application HW: SUN Blade 6000 (T3-1B), Solaris zones, Solaris 10, load balanced (content switch) SW: Oracle OAS 10.1.3 (OC4J/JAVA)

Architecture 3-tier / client/server

Status Active

Modules IDMS (Identification Management System) Tariffs Services Guarantees Launches Tugs Inspections Billing Other Services Commercial Services Commercial Billing

Functional Areas Maritime Operations Department Finances

Functionalities

CSMS Functionality: Allow Maritime & Commercial tariffs, account, and service configuration and administration; commercial contracts configuration and administration (Occasional, Recurrent & One-Time); guarantee administration (Input, Approval & Expiration); charges flows, generation and invoicing; automatic assignment of guarantees to Maritime charges; and Maritime Invoices Publishing, to be available to external users (Banks & Shipping Agents). Provide maritime charges quotations, and manage Claims and other clients request for Information IDMS Functionality: Manage User Profile configuration; internal User Activation using Active Directory; external user creation using SUN LDAP; assign user profiles and organization activation.



CSMS System – Technical Components View



44..55 SSUUMMMMAARRYY TTAABBLLEE OOFF MMAARRIITTIIMMEE AAPPPPLLIICCAATTIIOONNSS

The following table lists the utilized software for core business processes in the applications that support the Transit Operations Division. It also describes the software infrastructure requirements for these applications.



Project Scope: Integration to Other Supporting Applications is part of Solution No. 1 for the BPM/SOA approach as the first initiative.

44..66 MMAARRIITTIIMMEE SSYYSSTTEEMMSS FFUUNNCCTTIIOONNAALL MMOODDUULLEE VVIIEEWW

Following is a view of ACP’s functional modules components and technical components of the core business application provided for additional information. Application: EDCS Modules: ETA/Ship Due, Cargo Declaration, BAPLIE, Crew List, Passenger List, Booking, Data Replication Application: EVTMS Business Modules: ETA/Ship Due, Booking, Admeasurement, Security, Marine Billing, CPC/Safety, Resources, Data Replication Application: EVTMS Scientific Modules: Vessel Schedule, Pilot Assignment, Harbor, Signal Station



Application: CSMS Sub-systems/Modules: Guarantee, Inspections, Tariff, Billing, Launches, Services, Tug, Commercial Services, Commercial Billing, Other Services, IDMS Application: Departmental Systems Sub-systems/Modules: Tug Schedule, Linehandlers, ShipFile/Filenet



44..77 MMAARRIITTIIMMEE SSYYSSTTEEMMSS TTEECCHHNNOOLLOOGGYY VVIIEEWW The following diagram shows the software configurations and its software environment relationship. It also provides a quick overview of the different server types, required configurations, and different peripherals.



55..

This section provides a general overview of the existing ACP infrastructure main components just as a reference.

Component ACP current tools

1. Servers Unix-based (Sun) Intel-based (HP/Dell)

2. Server operating systems Windows Server 2003 R2 and above Sun Solaris 10 and above

3. Work stations Intel-based (example, HP, Dell)

4. Workstation operating systems Windows XP SP3 and above

5. Database Oracle 11g (v 11.2) RDBMS and above, or MS SQL Server 2005 and above

6. App Server and/or Web Server Oracle iAS10g & BEA Weblogic on Unix / Microsoft IIS

7. Browsers Microsoft Internet Explorer 7.0 and above

8. Corporate email system Microsoft Exchange 2010

9. Collaboration and Document Management System

Microsoft Office SharePoint Server 2007 and above

10. Imaging KnowledgeLake Imaging 11. Office productivity tool Microsoft Office 2010 and above

12. Directory Microsoft Active Directory, SUN LDAP Server

13. Business Process Management System (BPMS)

Tibco Active Matrix

14. File Management IBM Filenet Panagon

15. Business Intelligence IBM Cognos 10

16. Commercial Off-the-Shelf Oracle Financials, Oracle Human Resources, Oracle Primavera, IBM Maximo

Programming Languages and Tools

Web Services MS Access Oracle Developer Suite

Java Visual Basic IBM Cognos

.NET Framework Visual Studio IBM FileNET

XML MS SharePoint Genexus (9,X)

C# Reporting Services G2

Javascript ASP ArcGIS

Integration Types

Oracle Database Link

Oracle Advanced Replication

Web Services

Java API

Data File Transfer

XML Http

DTS

55..11 OOPPEERRAATTIINNGG SSYYSSTTEEMM The ACP corporate systems run under SUN Microsystems’ Solaris Operating System version 9 or above, Windows 2003 Server and Windows XP. The Sun Solaris is the preferred O.S. for systems deployment running with Oracle RDBMS.



55..22 RRDDBBMMSS SSOOFFTTWWAARREE The ACP corporate systems run under Oracle’s RDBMS version 9i or above, Microsoft SQL Server 2000 and SQL Server 2005. Oracle is the preferred RDBMS for critical systems deployment.

55..33 SSTTOORRAAGGEE The storage for all of the ACP corporate system is accessed through a Storage Area Network (SAN) inside the Datacenters. The vendor must provide to the ACP accurate storage estimates so that the appropriate space allocation can be done to ensure proper system performance. The SAN is based on Brocade Fiber Channel switches. The SAN based storage will host all non-operating-system software (COTS), programs, and data. Additional SAN storage is expected to manage the new architecture.

55..44 SSEERRVVEERRSS The ACP corporate systems run under SUN Microsystems’ SPARC platform, or x86 (Intel, AMD) Windows platform. The existing production application tier consists of Sun E4800, Sun T2000 and HP Blade servers, which are attached to a SAN (Storage Area Network) and load balanced through a Cisco Content Switch. Servers can be physical or virtual depending on the application’s requirement. When virtualized, the preferred hypervisors are Solaris 9 and VMware ESX 3.5 or above. The existing production database tier consists of a Sun 6900 Server. Both tiers support the Production and Pre-Production environments. The existing development application tier consists of Sun 450 and V890 servers and the development database tier consists of a Sun 4500 Server. This hardware infrastructure gives service to the development environment and the system test environment. Additional Sun servers are expected to manage the new architecture.

55..55 TTEELLEECCOOMMMMUUNNIICCAATTIIOONNSS All equipment and associated software in ACP existing IT infrastructure are Cisco. The current Internet bandwidth for the ACP is four (4) optical Ethernet links, two at 5 Mbps and two at 10 Mbps, through two different Internet service providers using full BGP-4 routing protocol. It should also evaluate the current bandwidth utilization in each link, to determine the impact on their solution, considering the amount of estimated transactions and data traffic for



ACP environment. In case this infrastructure is not enough to comply with the ACP solution requirements, the provider should include the required additional resources (hardware, software, links, services, etc.) to make it work properly. With regards to service availability on Internet access, currently ACP has a baseline of 99.6% a year. The provider should evaluate this baseline versus the ACP solution requirements in terms of availability. For reference purposes, our current optical Ethernet links to Internet are in a load-sharing configuration for upstream and downstream traffic with an average utilization of 60% during working hours, but eventually have peaks of 100% for a short period of time.

55..66 OOTTHHEERR SSOOFFTTWWAARREE For internal disk mirrors, and disk volume management, ACP is currently using Veritas Volume Manager Version 3.1.1 or above. For disk volume availability, recovery, and performance, ACP is currently using Veritas File System version 3.4 or above. For automated backups, the ACP is currently using Veritas Netbackup version 4.5 or above, with the appropriate database agent. The use of the BPM tool is limited to the implementation of an administrative process to manage forms only.



66..

As a first initiative, the ACP completed a four (4) months SOA IT Readiness Assessment and Roadmap to provide a better understanding of the current situation and, consequently, established the basis for the development of a phased SOA adoption and modernization plan to adapt software, people and processes to a service orientation by delivering early, measurable, and incremental business benefits while avoiding major disruptions. The tracks covers by this assessment included the following:

SOA Readiness Assessment

Defined the basis on which to develop the ACP service model and defined the optimal technical requirements for each of the layers that make up a service-oriented architecture. It also included the definition, analysis and design of a service specification to implement.

SOA Roadmap

Provided a Project Plan detailed definition under a SOA guidance for the ACP, including the preparation and training of ACP personnel.

SOA Architecture

Defined the different layers or platforms needed to implement a complete SOA strategy, and to ensure the adequacy of such Technological Architecture normalized model and its acceptance. It also included the infrastructure SOA Requirements and the SOA ToR.

SOA Center of Excellence and Governance

Defined the model and procedures for roles required within the IT department for the SOA governance.

Even though, during the consulting process ACP understood the need to redefine the scope of the study toward an Enterprise Architecture, the original scope for the consulting was limited to the Service-Oriented Architecture.

66..11 AANNAALLYYSSIISS OOFF RREESSUULLTTSS OOFF TTHHEE BBPPMM//SSOOAA MMAATTUURRIITTYY SSUURRVVEEYY..

The survey results are transferred to a BPM/SOA Maturity evaluation matrix with specific weights for each of the survey lines, obtaining a valuation for each of the evaluation categories that are included in these lines.

The overall results for the iteration of the survey are reflected in the Summary of the evaluation matrix (May 2012) shown below:



BPM/SOA Maturity Evaluation Matrix for ACP (May 2012)

There is a state of maturity primarily located within the first level with gain in Preparation Technology, Organization Maturity, and Life Cycle Management, due to different implementations undertaken in the organization of BPM and Web Service technologies; however, offset by almost no governance in any environment.

These results indicate progress with unconsolidated experiences, not being accompanied by corresponding increases for absorption of technologies and the application of these in other projects that complement the evolution of SOA.

In summary, ACP as organization, and the consolidated results as can be seen in the polar diagram Maturity, is currently at the first level of maturity, named as the Early Learning and characterized by the following tips:

SOA activities initial concept testing, creation of independent services for troubleshooting specific point.

Application of Process Management to a very specific area of the business, much like a traditional application and without possibility of expansion to other areas of the business.

66..22 MMAARRIITTIIMMEE CCOORREE BBUUSSIINNEESSSS AAPPPPLLIICCAATTIIOONNSS FFUUNNCCTTIIOONNAALLIITTIIEESS AANNDD PPOOSSSSIIBBLLEE SSEERRVVIICCEESS..

The IT Readiness Assessment also covered the core business applications for ACP, identifying and documenting around 3850 functionalities out of the most critical four (4) application systems.



Application Functionalities Matrix – Partial View

These functionalities were supported by 1017 atomic operations, and each of these operations, after being validated with the Ontological model, were grouped in 122 possible services, including the possible applications integration services. Out of these, there are identified 20 services to be part of Solution No. 1.

Atomic Operations per Service Matrix – Partial View

For each of these possible services, the consultant provided a conceptual service contract, and the definition of each of these services in the Sparx Systems’ Enterprise Architect tool, allowing the generation of the documentation directly from the tool. The Ontological model was also document using this tool, including over 750 entities. And as result of this assessment for the actual Data Model perfectly matches the core business of ACP. Even when the business of the new 2014 Canal Expansion can carry changes in it, is a very good basis for reuse. In addition, the maintenance of that data



model simplifies the transition periods in which there are other solutions modernized and others, and avoids problems arising from the current existing cross integrations.

66..33 SSOOAA RREEFFEERREENNCCEE AARRCCHHIITTEECCTTUURREE ACP has started down the path that will lead to the adoption of a SOA model. This aims to provide flexibility to their operations and business processes to meet the changing needs of internal and external customers. These operations and processes will use many components and services to be organized logically to achieve harmony between them. This harmony requires a structure that orders the different components that effectively targeted. It is for this reason that the definition of a technological architecture is as important to SOA / BPM initiatives. The consulting established the architecture bases that ACP must implement to provide a robust SOA platform. The following aspects were considered: • Model reference technology architecture • Current technological architecture of ACP • Functional requirements of ACP • ACP target architecture • Roadmap for technological evolution • Product analysis From the technological point of view, in the ACP platforms coexist several software architectures but mainly 3-tier architectures and client / server.

Components Diagram “As-Is”(Top Level)



Reference model to support the SOA/BPM initiates for ACP Target Architecture.

Components Diagram “To-Be”

The Target Architecture shall cover the complete Enterprise Architecture, including not just the BPM and SOA tools but also ECM and any other tool required for Security, Governance, Administration, etc. No changes to current database software required.

66..44 PPRROOPPOOSSEEDD SSOOAA RROOAADDMMAAPP.. The Panama Canal Authority (ACP) decided to adopt an Enterprise Architecture under the Process Management and Service Oriented Architecture (BPM/SOA) models, with the purposes of:



Modernize the ACP Information Technology as a strategic asset that provides the business agility required in a changing environment.

Prepare the launch of the 2014 Canal Expansion with the Information Technology prepared for the new business rules, resulting from the new third-set of locks and provide also, flexibility required to face the future.

The SOA Roadmap SOA Strategy defined concrete actions and initiatives to continue to meet the objectives pursued in the SOA strategy. Based on ACP SOA Strategy, the Roadmap defined in detail the modernization plan for adapting the architecture and business applications, the people and processes into a Services Oriented align information technology with business agility by providing the Business with measurable and incremental benefits. The first group of projects proposed in the Roadmap includes those that are essential to the smooth operation of the business derived from the implementation of the new third-set of locks for the 2014 Canal Expansion. The Roadmap indicates the initiatives undertaken for the adoption of SOA and according to SOA Strategy and specifies the projects to be developed in each of the following areas of development:

Initiatives (Projects) in Enterprise Architecture

Architecture and Technology Infrastructure

Organization

Government

Training



77..

ACP: Autoridad del Canal de Panamá (Panama Canal Authority)

BPM: Business Process Management

COE: Center of Excellence

CORE BUSINESS SERVICES: The nuclear services that will support the business function from the applications

CSMS: Customer Service Management System

EDCS: Electronic Data Collection System

ESB: Enterprise Service Bus

EVTMS: Enhanced Vessel Traffic Management System

MDCA: Mobile Data Collection Application

ONTOLOGY: Semantics that will support the Core Business Services of ACP

OP: Maritime Operations Department

RFP: Request for Proposal

SOA: Service-Oriented Architecture

ToR: Terms of Reference

Architecture: is the fundamental organization of a system, embodied in its components, their relationships to each other and the environment, and the principles governing its design and evolution (described in ANSI/IEEE STD 1471-2000). Enterprise Architecture: is the practice of applying a comprehensive and rigorous method for describing a current and/or future structure and behavior for an organization's processes, information systems, personnel and organizational sub-units, so that they align with the organization's core goals and strategic direction. Although often associated strictly with information technology, it relates more broadly to the practice of business optimization in that it addresses business architecture, performance management, organizational structure and process architecture as well. Framework: is a set of assumptions, concepts, values, and practices that constitutes a way of viewing the current environment.



Organization for the Advancement of Structured Information Standards (OASIS): is a not-for-profit, international consortium that drives the development, convergence, and adoption of e-business standards in the public sector and for application-specific markets. Founded in 1993, OASIS has more than 5,000 participants representing over 600 organizations and individual members in 100 countries. Reference architecture: is an architectural design pattern that indicates how an abstract set of mechanisms and relationships realizes a predetermined set of requirements. Reference Model: is an abstract framework for understanding significant relationships among the entities of some environment that enables the development of specific architectures using consistent standards or specifications supporting that environment. Service Oriented Architecture (SOA): is a paradigm for organizing and utilizing distributed capabilities that may be under the control of different ownership domains that provides an uniform means to offer, discover, interact with and use capabilities to produce desired effects consistent with measurable preconditions and expectations. Service: is the means by which the needs of a consumer are brought together with the capabilities of a provider. Software Architecture: is the structure or structures of an information system consisting of entities and their externally visible properties, and the relationships among them. The Open Group Architecture Framework (TOGAF): is a leading Enterprise Architecture Framework which has a dynamic representation and provides a detailed step-by-step method on how to build, maintain, and implement Enterprise Architecture. Since the mid 1990’s, TOGAF has been continuously developed by representatives of some of the world’s leading IT customer and vendor organizations, working in The Open Group's Architecture Forum.



88..

88..11 SSAAMMPPLLEE DDOOCCUUMMEENNTTAATTIIOONN FFOORR SSEERRVVIICCEE CCOONNTTRRAACCTTSS

Sample documentation for the Conceptual Service VesselService generated from the Enterprise Architect. As part of the Assessment, all possible services identified were documented at a conceptual level. Each documented service included two sections: Service Features and Service Operations.



Sample documentation for the Detail Service Specification VesselService generated from the Enterprise Architect. ACP received as part of the Assessment only five (5) services documented with detail specifications. Each documented detail service included sections as: components model, component diagram, service operation specifications & operation flow charts, among others.



88..22 PPRROOPPOOSSEEDD SSEERRVVIICCEESS LLIISSTT Possible services list from a bottom-up approach for discovering functionalities and operations out of the core application systems during the SOA Readiness Assessment.

Possible Services

ACPInfoRequestsService GenericServiceReference PayPerClassCalendarServiceReference

ACPInfoRequestsServiceReference GuaranteeService PayTypeService

BatchService GuaranteeServiceReference PayTypeServiceReference

BatchServiceReference HarborMovementDelayReasonService PeopleOnBoardService

BillingAccountService HarborMovementDelayReasonServiceReference PeopleOnBoardServiceReference

BillingAccountServiceReference HarborResourceRequirementService PeopleOnBoardServices

BoardingPassService HarborResourceRequirementServiceReference PilotDutyAssignmentService

BoardingPassServiceReference IdentityServiceReference PilotDutyAssignmentServiceReference

CanalLocationUseAssignmentService IDMSService PilotService

CanalLocationUssagesAssignmentServiceReference IMDGCodeServiceReference PilotServiceReference

CargoInfoHeaderService InspectionItemService PilotTransitEvaluationService

CargoInfoHeaderServiceReference InspectionItemServiceReference PilotTransitEvaluationServiceReference

ChargeService InspectionServiceService RequerimentService

ChargeServiceReference InspectionServiceServiceReference RequerimentServiceReference

ClaimService InvoiceService RTPLService

ClaimServiceReference InvoiceServiceReference ScheduleService

CommercialServiceConfigurationService ItineraryServiceReference ScheduleServiceReference

CommercialServiceConfigurationServiceReference LaunchServiceReference ScheduleTransitLocationService

CommercialServiceService LaunchServiceService ScheduleTransitLocationServiceReference

CommercialServiceServiceReference LaunchServiceServiceReference SDBService

CTANActivityService LaunchUserActiveShiftService ServiceConfigurationEffectivityService

CTANActivityServiceReference LaunchUserActiveShiftServiceReference ServiceConfigurationEffectivityServiceReference

CTANService LineHandlerService ServiceConfigurationEffectivityServices

CTANServiceReference MaritimeServiceConfigurationService ServiceDefinitionService

CustomerVesselCargoItemService MaritimeServiceConfigurationServiceReference SmallCraftLicenseService

CustomerVesselCargoItemServiceReference MaritimeServiceRequestService SmallCraftLicenseServiceReference

CustomerVisitService MaritimeServiceRequestServiceReference TariffService

CustomerVisitServiceReference MaritimeServiceService TariffServiceReference

DeadTowService MaritimeServiceServiceReference TripService

DeadTowServiceReference MemoService TripServiceReference

DeficiencyTypeService MemoServiceReference TugJobAssignmentService

DraftMeasurementService MiscellaneousServiceService TugJobAssignmentServiceReference

DraftMeasurementServiceReference MiscellaneousServiceServiceReference TugJobCodeService

FacilitySecurityInfoServiceReference MTCLogService TugJobCodeServiceReference

FileNetService MTCLogServiceReference TugJobGroupService

FLIMSYService NonComplianceOcurrenceService TugJobGroupServiceReference

FloatingEquipmentService NonComplianceOcurrenceServiceReference TugLogService

FloatingEquipmentServiceReference OPERTUGService TugLogServiceReference

FuelTankService ORAFINService VesselService

FuelTankServiceReference ORAHRService VesselServiceReference

GenericService PayPerClassCalendarService

Candidate services to support Solution no.1 processes



88..33 MMAARRIITTIIMMEE BBUUSSIINNEESSSS PPRROOCCEESSSS OOVVEERRVVIIEEWW This section provides an overview of each one of the business core processes involved in the first initiative; however, it will be the contractor responsibility to revise and update each one of them in order to accomplish the requested tasks. These processes are subject to a set of business rules, which determine the policies and the structure of the information of the company. Nevertheless, it is important to emphasize that ACP is often revising them to optimize the processes and its results. The overview is provided for the following processes:

- Visit information Management - Transit Booking Requests - Naval Architect procedures - Fissile Material Cargo procedures - Admeasurement pre-arrival procedures

o Total volume Calculation o Radio Pratique Approval

Visit Information Management The ACP regulations requires that any vessel visiting Canal waters communicates its estimated time of arrival as well as other information to the Canal at least 96 hours before arriving to Panama Canal waters. Initial communication between the vessel and ACP starts with the estimated time of arrival (ETA) message received electronically through the EDCS system. This message is processed by the ETA Clerk who revises the entire information before accepting or rejecting each electronic transaction. Once the information is approved, it is transferred to the main operational system (EVTMS) to make it available for other ACP personnel, e.g., the Scheduler, Port Entry Coordinator. ETA messages are mainly submitted by local shipping agencies that represent the owner of the vessel, but they might come from the master of the vessel (i.e., captain), charterers, owners or operators responsible for vessel activities in Panama Canal Waters. In addition to the ETA message, the vessel is required to provide other information, which are validated by the EDCS system and get transferred to the EVTMS system without human interaction. Following are the types of information received:

SHIP DUE information: contains in addition to the vessel identification information, dimensions, draft, security information, and itinerary movements for the visit. It is currently called the ETA message.

CARGO DECLARATION information: contains the nature and tonnage of deck cargo; any packed dangerous or non-dangerous good; any explosive or dangerous cargo in



bulk; any non-dangerous bulk cargo; and all other cargo. The submission of this information requires a previously approved and active visit in the EDCS system.

BAPLIE DECLARATION information: contains cargo information for containerized vessels in standard EDI format used in the Maritime Industry. The submission of this information requires a previously approved and active visit in the EDCS system.

CREW MEMBERS’ information: contains crew members’ identification and duty information including any local embarking/disembarking activities while in Canal waters. The submission of this information requires a previously approved and active visit in the EDCS system.

PASSENGER LIST information: contains passengers’ identification information including any local embarking/disembarking activities while in Canal waters. The submission of this information requires a previously approved and active visit in the EDCS system.

If the ETA message cannot be submitted electronically via EDCS, a fax copy can be sent to the ETA Clerk to include the visit information in the operational system. Also, if a vessel arriving to Canal waters while sighted by the Port Entry Coordinator (PEC) is ascertained missing in the operational system (e.g. yachts), the PEC will send the vessel information to the ETA Clerk for the inclusion of the visit information into the EDCS system. Information received from a vessel which indicates a first visit to Canal waters requires an additional revision by the ETA Clerk. The vessel identity is revised using the operational and historical systems and the Jane’s and Lloyds ship’s data banks, to confirm the not existence of a previous register for the new vessel. Currently, there is not integration with the Jane’s or Lloyds ship’s data banks and the EDCS or EVTMS systems. Information on vessel’s visits can be modified, if required, by ACP to include dock numbers, ready time information or additional itinerary movements to comply with Canal operations and handle them properly. ACP is also required to verify each movement ready time to move in order to plan the required resource to transit or to move the vessel safely. This information is modified using the corresponding modules in the EVTMS systems.

Used software and tools: EDCS, EVTMS (Business Applications), Jane’s and Lloyds System: Web and book, Microsoft Office (Outlook), Telephone / Fax

Transit Reservation (Booking) Process The Panama Canal Transit Reservation (Booking) System is an advanced scheduling of vessels regulated by the Chapter 1, Section 3 of the Maritime Regulations for the Operations of the Panama Canal. These rules are reviewed/revised annually, as required and published through Operations Vice President's Notices to Shipping, issued in



January of each year. Changes, clarifications, and additional information are published, as required, through Advisories to Shipping (refer to http://www.pancanal.com/eng). The Transit Reservation is available on a voluntary basis to all Canal customers and provides for a daily number of vessels to make a more timely prescheduled transit upon payment of established tariffs. A vessel that has an announced visit can submit a booking request form only through her vessel shipping agent. The booking request form can be submitted via electronically through the EDCS system (which get transferred to EVTMS), via fax or hand-carried to the Maritime Traffic and Admeasurement Section. As a rule of thumb, the booking requests are treated on a first-come, first-served basis. These requests will be processed in the order of preference and the slot will be awarded to the first vessel that meets the characteristics of the available slots. For booking requests logged simultaneously, the established procedure for processing is: EDCS requests first, followed by faxes requests, and finally personally delivered requests. Slots are awarded based on availability for requested transit date, vessel dimensions, and transit direction, after applying additional validations. The Transit Reservation Assistance will review all booking requests and validate slots availability using the EVTMS system and the manual Transit Booking Listing Form, and will register all fax and hand-delivered requests with slots awarded into the EVTMS system. Additional manual processes are performed to notify the agents of rejected requests not send electronically.

All transit booking requests submitted electronically via the EDCS system involve the use of security mechanisms like tokens with digital certificates. A transit booking request may include additional options like daylight transit, change transit date among others, which have their own requests and are submitted electronically via the EDCS system. At the end of each day, the Transit Reservation Assistance performs a series of validations using the EVTMS system and prepares a manual report with all exceptions for the day which require the supervisor’s signature. Once signed, this except list report is delivered to both the Marine Billing Section and the Account Receivables & Payables Section. Used software and tools: EDCS, EVTMS (Business Applications), Auction System for booking slots (software-as-a-service), ACP Website (www.pancanal.com), Microsoft Office (Outlook, Excel), Telephone / Fax

Naval Architect procedures The ACP Naval Architect is responsible to ensure that new/modified vessels planning to transit the Panama Canal meet with the Vessel Requirements regulated by Notice to

http://www.pancanal.com/eng

http://www.pancanal.com/



Shipping No. 1, Section 2 - Approval of Plans, and the Maritime Regulations for the Operations of the Panama Canal. This advance information will minimize the possibility that transit might be denied due to noncompliance with Canal regulations. Before arriving to Canal waters and staying in the shipyard, ship owners of new/ modified vessels are encourage to send their structural plans (e.g. general arrangements, visibility arrangements, capacity plan, engine room plan) for evaluation by ACP via email or by regular mail in a compact disk in PDF or TIFF file format or in a file format compatible with AUTOCAD in a compressed zip file. As part of this evaluation, the Naval Architect will review and validate the vessel’s plans and will certify if the new/modified vessel complies with the ACP’s Vessel Requirements (e.g. proper location, size, and height for the pilot shelter/platform). If the vessel’s plans comply, the documentation is stamped electronically with an “approved” seal and returned via email to allow the recipient controls of printing any number of copies of the stamped plans needed to meet distribution requirements; otherwise, a list of exceptions is sent to the owner in order to make the adjustments and correct the unsuitable or unsafe arrangements before the vessel leaves the shipyard. The Naval Architect scans the vessel’s plans (drawings and letters) and stores them inside the document management system (DMS), classifying them by plan number, hull number and builder’s shipyard information. Even though the EVTMS system implemented a module for the Naval Architect to record this information in the system, currently the information is only stored off-line. Used software and tools: AutoCad, Microsoft Office (Outlook, Excel), FileNet (DMS), Telephone / Fax Fissile Material Cargo procedures Vessels carrying fissile material cargo are regulated by the Chapter 9, Article 137 of the Maritime Regulations for the Operations of the Panama Canal. These rules established that any vessel carrying fissile material cargo (e.g. Uranium, Plutonium) are required to provide at least 30 days prior to arrival the following information:

Criticality Index according to the IMDG

Certificate Package design

Insurance Coverage

Required Visit information (e.g. the cargo manifest). All this information is mailed to the ACP’s Dangerous Cargo Specialist who will review/revise all the documentation. There is a manual entry in an Excel control sheet to keep track of the information received.



Once the information is evaluated, the Dangerous Cargo Specialist notifies the shipping agent the results of the evaluation by email, requesting additional information if needed or assigning the Precautionary Designator (PD) code to the vessel to allow her to transit. If the vessel does not comply with the requirements, no PD code or a hold is assigned to the vessel’s visit using the EVTMS system and the Canal Port Captain is notified of the vessel condition. The Excel control sheet is used to respond requests from multiple solicitants, internal and external to ACP (e.g. members of the Government or the civil society) on statistics for vessel transiting with fissile material cargo. There is some information not available in the current EVTMS system to the Dangerous Cargo Specialist at this time to allow him to request this report or indicate any financial instruments used by the vessel. According to the current procedures, once the vessel finishes its visit, the detail information provided is destroyed.

Used software and tools: EVTMS (Business Applications), Microsoft Office (Outlook, Excel), Telephone / Fax

Admeasurement pre-arrival procedures Vessels arriving to the Panama Canal waters are subject to admeasurement inspections on arrival to warranty that all arrangements used for ACP personnel or other transfers shall efficiently fulfill their purpose of safely enabling embarking and disembarking, ensure the proper operation of vessel’s equipment, and to calculate the total volume for charging services provided by ACP. Some of these inspections may be reduced through the preliminary revision of vessel’s documentation and plans, reducing the waiting time of the vessel in Canal waters. For this purpose, the Admeasurement Unit performs the following pre-arrival procedures:

Total Volume calculations The ACP regulations indicates that any vessel visiting Canal waters for the first time or with structural changes shall present an International Tonnage Certificate (69) (ITC 69) or a substitute document deemed acceptable by the ACP along with vessel’s plans, classification certificates and documents with information stating the Total Volume of the vessel or sufficient information in compatible or AUTOCAD format to the Admeasurement and Billing Unit to determine this volume through mathematical calculations. This advance information will avoid or minimize the total time of admeasurement inspections and additional charges. The vessel’s plans and documentation requested includes:

o Lines Plan (or offsets table, if Lines not available)



o Midship Section (or Shell Expansion and bilge radius info, if Midship not available)

o General Arrangement o Cargo Securing Manual (container section) o Capacity Plan o International Tonnage Certificate o International Load Line Certificate o Suez Tonnage Certificate (if it has one)

Shipping agents who send the documents electronically received an automatic email confirmation. Once the calculations are completed by the Admeasurement and Billing Unit, the vessel’s plans (drawings and documents) are scanned and stored inside the document management system (DMS), classifying them by IMO Number (international identifier for new vessels) or by the ACP’ Ship Identification Number (ACP unique identifier for modified vessels). All this procedure is performed outside of the operational systems. Used software and tools: AutoCad, Microsoft Office (Outlook, Excel), FileNet (DMS), Telephone / Fax

Radio Pratique Approval

The Admesurement and Billing Unit offers to vessels planning on visiting the Panama Canal the option of reducing their waiting time by requesting a Radio Pratique to allow ACP personnel to complete pre-inspection activities and determine ahead of time if an admeasurement inspection will require to be scheduled for the vessel on arrival. Primarily vessels requiring bunker services and supplies from the shipping agent before they are cleared by ACP may submit a radio pratique request through the EDCS system at least 96 hours before arrival. Once the request is submitted, the system notifies via email to the Admeasurement Research of a new request. The Admeasurement Research will approve or reject the radio pratique request based on the revision of quarantine information submitted by the vessel previously for the visit using the EVTMS system. If the request is rejected, an additional inspection may be required to be schedule for the vessel incrementing the waiting time in Canal waters. Used software and tools: EVTMS (Business Applications), Microsoft Office (Outlook).

*** END OF DOCUMENT ***