UNNExT Capacity Building Workshop on Single Window Planning and Implementation Module 11 – Summary & Conclusions Authored by Dr. Somnuk Keretho UNNExT Advisory Committee Director, Institute for IT Innovation Kasetsart University December 2011 Palais des Nations, Geneva Supported by

Page  2 UNNExT Workshop on SW Planning and Implementation, December 2011, Geneva Summary – 1/5  This SW Planning and Implementation Workship aims to support policy managers and stakeholders with a systematic approach to address SW implementation challenges.  The systematic approach, called SWIF (SW Implementation Framework), is recommended.  It is based on an architecture concept and its associated development methodology called SW Development Cycle* adapted to the specific context of SW.

Page  3 UNNExT Workshop on SW Planning and Implementation, December 2011, Geneva Summary – 2/5  We suggest basic architecture concepts for SW, as inspired by the architecture of physical buildings, as following  Vision and Vision Alignment  SW Vision and its development needs to align with the national development strategy (and also with the regional and/or international agenda for the long-run success).  Decomposition  Decomposing complex SW issues into smaller and easier manageable components or sub-problems. 10 Key Components are suggested in this framework.  Viewpoints  Descriptions in different detailed levels suitable for different audiences’ perspectives.  Blueprints  (Better) Descriptions in pictures or diagrams along with associated verbal/written explanations. Blueprints for the analysis of the current or ”As-Is” conditions and for proposing the future or ”To-Be” architectures are recommended to be developed.

Page  4 UNNExT Workshop on SW Planning and Implementation, December 2011, Geneva Summary – 3/5  Establishing the Vision – improving import/export procedures and documentation as a strategic mechanism for increasing national trade competitiveness  With Measurable Goals e.g. 25% better, faster and cheaper Trading Across Border within 5 years.  A map is needed to guide you to reach your vision and goals. A SW Road Map is recommended as a long-term development roadmap and also as a Reference Model for assessment (of the “as-is” conditions) & prioritization (guiding the “to-be” architecture) of the future SW development (at least initially as the high-level architecture) 1.Paperless Customs Declaration System 2. Integration with other Regulatory Bodies 3. Port Community System (PCS) (interconnecting with entire port community) 4. Integrated National Logistics Platform 5. Integrating the National Logistics Platform into a Regional Info-Exchange System time Potential benefits

Single Window Roadmap in Five Evolutionary Development Levels 1.Paperless Customs Declaration System 2. Integration with other Regulatory Bodies (Regulatory SW) 3. Port Community System (PCS) - interconnecting with entire port community (Port SW) 4. Integrated National Logistics Platform (Integrated SW) 5. Integrating the National Logistics Platform into a Regional Info-Exchange System (Cross-border SW) time Potential benefits Note that in many countries, Port SW or PCS (Maturity Level 3) was fully developed before Regulatory SW (Maturity Level 2). Here, we do not necessarily recommend every country to develop Levels 4 & 5 if it does not really justify the cost and benefits yet.

Page  6 UNNExT Workshop on SW Planning and Implementation, December 2011, Geneva Complexity of Single Window can be handled by decomposing its challenges into smaller and more manageable sub-components. * Referring to World Bank’s Index ( Vision Reality Complicated Trade Procedures There are a lot of challenges to be tackled. Laws and Regulations Many Document Requirements Inadequacy in Technology Infrastructure Many Stakeholders Conflict of Interest Compliance Governance Many different ICT systems People and Business In-Readiness Difficulty in trade data exchange Barriers in Interoperability Regional Connectivity Connectivity within the country System Development Change Management achieving trade transaction cost and time reduction goals e.g. APEC-Thailand, Chinese Taipei: 25% better, faster, cheaper trading across border* within 5 years 1. Stakeholders’ needs and requirements 3. Stakeholders Collaboration 2. Single Window Vision and Political Will 4. Business Process Analysis 5. Data Harmonization and Documents 6. Service Functions (Applications Architecture) 7. Technical Standards and Interoperability 9. Business Models, Financial Issues and Governance 8. Legal Infrastructure 10. IT Infrastructure and IT Solutions From the “As-Is” conditions (architectures) of all these components Migrating to the target “To-Be” architectures of all these 10 components timeline systematically decomposing these SW challenges into 10 key components

Page  7 UNNExT Workshop on SW Planning and Implementation, December 2011, Geneva SW Development Cycle Note that the above development cycles are normally conducted in several styles of iterations. For example, the whole cycle can be revisited during the feasibility study phase, and again the whole cycle during the planning phase, and during the implementation phase.

Page  8 UNNExT Workshop on SW Planning and Implementation, December 2011, Geneva Summary – 4/5  To plan & manage a SW project, a stepwise approach called SW Project Management Process is proposed. 1.Inception Phase (Preliminary) – Developing a concept paper for preliminary and initial discussion 2.Elaboration Phase – Conducting detailed feasibility study 3.Planning Phase – Formulating a High-level SW master plan 4.Execution Phase – Executing and overseeing the project implementation plan 5.Feedback & Lessons-learned Phase – Collecting lessons learned and suggesting opportunities for SW improvement and extensions. * Based on an architecture standard called TOGAF-9 (The Open Group Architecture Framework).

Page  9 UNNExT Workshop on SW Planning and Implementation, December 2011, Geneva SW Project Management is also a “Process” with its life -cycle. 1. Inception Phase 2. Elaboration Phase 3. Planning Phase 4. Execution Phase 5. Feedback Phase In each phase, the 10 key components and associated activities/deliverables in the SW development cycles should be revisited and refined iteratively.

Page  10 UNNExT Workshop on SW Planning and Implementation, December 2011, Geneva Summary 5/5  National Commitment is the most critical factor for the successful implementation of a SW environment.  The SW Political Will needs to be institutionalized, i.e. transforming this policy mandate into routine management mechanisms among those stakeholders involving in the implementation and operations of SW.  Inter-agency collaboration and coordination mechanism among governments and trade is one of the most important issues to enable the success of SW implementation. The above three issues above normally determine whether the SW project will succeed or fail, and also determine how fast or how effective the SW projects will proceed and gain the acceptance.

Page  11 UNNExT Workshop on SW Planning and Implementation, December 2011, Geneva Conclusions & Recommendations – 1/2  Adopt SWIF, the SW architecture approach, to develop and manage the SW Master Plan (at the national level & the regional level).  Establish the Measurable Trade Facilitation Vision (and Single Window Vision) at the national level, and aligining with the regional level, e.g. 25% better, faster and cheaper Trading Across Border within 5 years.  Conduct detailed Business Process Analysis (based on, for example, some key export products, strategic trade partners, and/or through major ports) to identify bottlenecks, and also propose better, faster and cheaper Business Process (that is feasible by e-documents, and Single Window functions).

Page  12 UNNExT Workshop on SW Planning and Implementation, December 2011, Geneva Conclusions & Recommendations – 2/2  Prioritize the SW scope(s) for iterative implementation based upon the context, needs and the strategy of the country, e.g.  Development of e-customs declaration first, then e-cargo clearance at some major ports, etc.  Analyze and agree upon the new business process as the common understansing for the within-the country connectivity, and regional connectivity (e.g. single-stop cargo clearance at the border).  Conduct the targeted documents and the associated data simplification/hamonization based on international standards, e.g. UNLK, WCO DM 3.0, CCL,...  Adopt international standards for technical interoperability, e.g. ebXML Message Services, UN/CEFACT XML NDR,...  Develop your SW architecture (Business, Data, Application, Technology,...)  Handle your change management carefully.....

Page  13 UNNExT Workshop on SW Planning and Implementation, December 2011, Geneva References  Eveline van Stijn, Thayanan Phuaphanthong, Somnuk Keretho, Markus Pikart, Wout Hofman, and Yao-Hua Tan, “Single Window Implementation Framework (SWIF),“ Free University Amsterdam, Kasetsart University, Bangkok, UNECE and published as an EU-supported ITAIDE D5.0:4b deliverable.  Eveline van Stijn, Thayanan Phuaphanthong, Somnuk Keretho, Markus Pikart, Wout Hofman, and Yao-Hua Tan, “An Implementation Framework for e-Solutions for Trade Facilitation,“ in the book “Accelerating Global Supply Chains with IT Innovation,” Springer,  Thayanan Phuaphanthong, Tung Bui, and Somnuk Keretho, “Harnessing Interagency Collaboration in Inter-organizational Systems Development: Lessons Learned from an E-government Project for Trade and Transport Facilitation,” International Journal of Electronic Government Research (IJEGR), Vol. 6, No. 3, July-September  “Business Process Analysis to Simplify Trade Procedures”, UNNExT-UNESCAP/UNECE publication,  Somnuk Keretho, “Managers’ Guide for Single Window Planning and Implementation,” UNNExT Workshop on SW Planning and Implementation, December 2011, Geneva facilitation-conference/workshop-programme.html facilitation-conference/workshop-programme.html

Page  14 UNNExT Workshop on SW Planning and Implementation, December 2011, Geneva Feedback from the participants Could you please write down your assessment on  How does this capacity building workshop of SW planning and implementation meet your expectations?

Best Wishes on Your SW Journey and Thank You for Your Active Participation. UNNExT Capacity Building Workshop on Single Window Planning and Implementation December Palais des Nations, Geneva