KNOWLEDGE ACADEMY - SINGLE WINDOW - WORLD CUSTOMS ORGANISATION

SINGLE WINDOW - DEFINITIONS - … a facility that allows parties involved in trade and transport to lodge standardized information and documents with a single entry point to fulfill all import, export, and transit-related regulatory requirements. If information is electronic, then individual data elements should only be submitted once. UN-CEFACT Recommendation 33

SINGLE WINDOW - DEFINITIONS - Parties involved in trade and transport WHO? Standardized information and documents WHAT? Single entry point WHERE? Fulfill all import, export, and transit- related regulatory requirements. WHEN / WHY Electronic data elements should submitted only once HOW?

Single Window - Political & Technical The Single Window environment is a complex technical issue, but it cannot work without the politics and other non-IT issues being examined first. Be sure to get the policy, legal and administrative frameworks analysed and sorted before looking at technical options. (WCO Guidelines)  Political - Developing Political will - Management Group among border agencies - Concept paper/feasibility study - Decide a lead agency - Policy Harmonization  Technical - Technical Group among border agencies - Data Harmonization - Development of SW system - Alignment with global standards (UNECE)

Revenue Administration Transportation & Logistics Facilitation Trade Policy Implementation Internal Security Health & Public Safety Single Window Services SW and Customs Functions

Revenue Administration Transportation & Logistics Facilitation Trade Policy Implementation Internal Security Health & Public Safety Revenue Administration Transportation & Logistics Facilitation Trade Policy Implementation Internal Security Health & Public Safety Country ACountry B What is the Priority? The choice of services for Single Window would depend on the national Customs What does the Customer hope to see? Outcome-centric focus important for both working level & leadership in steering SW implementation

SINGLE WINDOW PERSPECTIVES Chap 1: Understanding SW Environment Chap 2: Border Management Functions & SW Concept Chap 3: SW as part of Customs Modernization Chap 4: Agenda Setting & Policy Planning Chap 5: Establishing Formal Structures Chap 6: Designing SW Services Chap 8: Human Resource & Change Management Chap 7: Dealing with legal issues 1. Incubation & Strategic Planning 2. Establishment & Consolidation 3. Development, Implementation, Evaluation & Feedback

SINGLE WINDOW PERSPECTIVES Understanding of “horizontal” aspects important for optimal SW implementation – SW as part of Coordinated Border Management – Service Interactions and Service Oriented Architecture – Sustainability & Continual Improvements in SW

SINGLE WINDOW - CBM - COORDINATED BORDER MANAGEMENT The coordinated approach by border control agencies, both domestic and international, in the context of seeking greater efficiencies over managing trade and travel flows, while maintaining a balance with compliance requirements SINGLE WINDOW ENVIRONMENT A facility that allows parties involved in trade and transport to lodge standardized information and documents with a single entry point to fulfill all import, export, and transit-related regulatory requirements. If information is electronic, then individual data elements should only be submitted once. CMB does not equal SW -But effective SW environment can only be achieved if a Country undertook CBM efforts -CBM is a pre-requisite to the development of a successful SW environment

SINGLE WINDOW - CBM - CBM in the context of SW development – Stakeholder involvement – Business process re-engineering – Dematerialization of supporting documents – Risk management

SINGLE WINDOW - CBM - Stakeholder involvement – Forming a structure with clear leadership & directions for CBM – Active involvement / commitment of CBRA, Trade – Consultation, confidence building, feedback – Clear goals

SINGLE WINDOW - CBM - Business Process Re-engineering – To re-cast existing manual processes into new electronic processes – Eliminate redundant / duplicative steps – Align digital workflow to physical goods clearance – A well-designed workflow allows essential checks / verifications to be achieved in a much shorter time without sacrificing rigour

SINGLE WINDOW - CBM - Dematerialization of Supporting Documents – Need to verify data submitted with supporting documents – Potential source of bottleneck – Can physical documents be made electronic? Scans? Electronic from creation? – Can such checks be reduced? Removed? – Post clearance audit instead of up-front checks?

SINGLE WINDOW - CBM - Risk Management – Structured data in electronic form opens up many possibilities – Pre-clearance Enables data to be holistically reviewed for key risk areas (i.e. security, revenue, OGA requirements) Identifying high-risk containers for checks (x-ray or intrusive) – Clearance Availability of information to Officers at the border enables quick reference and intervention if necessary – Post-clearance Identifying unusual trends, patterns Business intelligence – Support effective allocation of scarce resources

Service Interactions & Service Oriented Architecture Works hand-in-hand with business process re-engineering Design of SW incorporating “ideal- state” for all stakeholders – Business value of regulators – Service design & Service delivery – Service mindset

Service Interactions & Service Oriented Architecture Business Value of Regulators – Stereotypical mindset: Customs as hindrance to trade – Regulatory functions are necessary Security, protection of society, revenue for government functions – Uncertainty, delays, inconsistencies in applying procedures that is the main problem, not the regulations

Service Interactions & Service Oriented Architecture Service design & Service delivery – Identify & optimize interactions – Face-to-face contact – Web-site navigation – SW software interface – Training / engagement – Availability of information Entire suite of regulatory functions / services provided must converge through SW Face-to- Face Telephone / Website / Online Services Publications

Service Interactions & Service Oriented Architecture Service mindset – Not always easy: regulator cum service provider – CBM provides foundation to standardize controls / reduce duplications – Designing effective SW services requires regulators to empathize with the public we serve

Service Interactions & Service Oriented Architecture User Registration Authentication Access Control Submission of Data Front-End Validation Verification of Data Supporting docs SINGLE WINDOW ENVIRONMENT Approval / Rejection PHYSICAL ENVIRONMENT Goods arrive Goods targeted / exempted from checks Goods cleared for imports / detained BACK-END (or what the trader does not need to care about) Processing Systems / Modules Business Rules Data Warehouse Govt User Database Risk Management Offences / Enforcement Database Routing of Submissions Validation of submissions Supporting Documents Manifests Access Control Authentication Verification Functions Post Clearance Analysis Decision Making Clearance Business Intelligence Action / Inspection Log Payments Payment Records Arrears Management Clearance Records Payment Electronic?

Sustainability & Continual Improvements A SW environment is not static – it needs to be refined Performance Measures – System availability – Feedback management – Service standards – Key performance indicators Time Release Study – Diagnostic on checkpoint situation to drive improvements

Sustainability & Continual Improvements Operating environment can change – CBM provides framework for agencies to coordinate responses – SW provides the tool to support prompt response Information Controls Facilitation

Conclusion A Single-Window is a tool that can unlock great trading and regulatory efficiencies – If it is designed properly, with the inputs from key stakeholders – If it is run with a service-centric mindset – If it is sustained and continually improved upon

Resources UNCEFACT Recommendation 33 – fact/recommendations/rec33/rec33_trd3 52e.pdf fact/recommendations/rec33/rec33_trd3 52e.pdf WCO Single Window Compendium – ation/activities-and-programmes/single- window/single-window-guidelines.aspx ation/activities-and-programmes/single- window/single-window-guidelines.aspx