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AND IMPLEMENTATION GUIDE SINGLE WINDOW PLANNING UNITED NATIONS ECONOMIC AND SOC

AND IMPLEMENTATION GUIDE SINGLE WINDOW PLANNING UNITED NATIONS ECONOMIC AND SOCIAL COMMISSION FOR ASIA AND THE PACIFIC UNITED NATIONS ECONOMIC COMMISSION FOR EUROPE Single Window Planning and Implementation Guide United Nations New York and Geneva, 2012 Page ii Disclaimer The views and the opinions expressed in this document are those of the author and do not necessarily reflect the views of the United Nations or other organizations that have contributed to this document. This publication is available in English, French and Russian. Acknowledgements This publication was prepared by Somnuk Keretho, Institute for Information Technology Innovation Kasetsart University, Thailand, under the guidance of Virginia Cram-Martos, Director, and Markus Pikart, Economics Affairs Officer, UNECE Trade and Sustainable Land Management Division. It is based on the Single Window Implementation Framework (SWIF) developed by Eveline van Stijn, Free University Amsterdam, Thayanan Phuaphanthong, Kasetsart University, Somnuk Kerotho, Kasetsart University, Markus Pikart, UNECE, Wout Hofman, TNO and Prof. Yao- Hua Tan, Free University Amsterdam/ TU Delft under the EU funded ITAIDE project. Substantial contributions to the Guide were also received by Jonathan Koh Tat Tsen, Singapore, Tom Butterly, UNECE and Yann Duval, ESCAP. The UNNExT Advisory Group on Single Window Master Planning and Implementation, held on 6 October 2011 in Seoul reviewed the draft Guide. Comments were also received by Prof. Igbal Babayev, Chief, Customs Department, Republic of Azerbaijan, Alvin Mah, Dagangnet, Malaysia and Sang-Won Lim, ESCAP. Presentations and contributions of experts and participants of the UN Global Trade Facilitation Conference 2011 on Single Window and Supply Chains in the next Decade and the UNNEXT workshop on Single Window Planning and Implementation held in 2011 in Geneva, Switzerland are also gratefully acknowledged. All reviewers participated in their individual capacity and any remaining errors are the responsibility of the authors. ECE/TRADE/404 Copyright© United Nations, 2012 All rights reserved worldwide Page iii Foreword For many Governments, the Single Window system has become a core instrument to facilitate trade, simplify procedures and implement electronic business. Today 49 countries around the world have reported the implementation of Single Window Systems of varying complexity. A Single Window automates the information exchanges that control the flow of goods across national borders. The conditions under which this information is exchanged and shared, its accessibility, accuracy, the data formats and the technologies used, are crucial for global trade efficiency. Managing this information skilfully, leveraging its potential, finding new ways to generate, manage, process and use this information is vitally important for Governments, the private sector and citizens. When implementing a Single Window, all Governments face similar challenges. These relate to the technical aspects of the systems, as well as the organizational and inter-organizational, managerial, financial, political, legal, national and international settings. Policymakers and persons in charge of conceptualizing, planning, implementing and overseeing Single Window projects need to manage the many aspects of the project and create an environment in which the project can succeed. This requires advanced managerial competencies in very different domains—such as trade policies, business process analysis, change management, electronic business and information technology management and standards, legal issues and Single Window architectures. The Single Window Planning and Implementation Guide was developed in collaboration with international experts and academics. Experienced Single Window project managers from both developing and highly developed countries contributed their wealth of experience in managing projects. Researchers developed an integrated high-level managerial framework based on international best practice and the latest management techniques. The Guide addresses the needs of managers and policymakers who are entrusted with planning and overseeing Single Window systems in our member countries. It provides managerial strategies; all guidance on practical issues as well as in the specialised knowledge areas required to plan and oversee such a complex undertaking. Single Window Planning and Implementation Guide Page iv We hope that this Guide will contribute to swift project implementation, better services to Government agencies and private-sector enterprises that are the stakeholders in Single Windows and, ultimately, enhance the regional and global integration of the economies in our regions. This Guide complements a set of UNNExT tools to support Single Window and trade facilitation implementation: the Business Process Analysis Guide to Simplify Trade Procedures; the Data Harmonization and Modelling Guide for Single Window Environments; the Guide for Alignment of Trade Forms and the Capacity-Building Guide on Electronic Single Window Legal Issues. It is recommended to use this Guide together with these other tools in order to derive the maximum benefit. Ravi Ratnayake Director Trade and Investment Division ESCAP Virginia Cram-Martos Director Trade and Sustainable Land Management Division UNECE Single Window Planning and Implementation Guide Page v Preface The Single Window Planning and Implementation Guide contains managerial guidelines for policy managers, policymakers and those who are tasked to plan and manage the information technology- enabled Single Window development projects for simplifying cross-border trade procedures and document requirements within developing economies and transition economies. The objective of the Guide is to assist the decision makers, Government officials and private stakeholders to address managerial issues that may affect the planning, the development and operation of Single Window systems, including their cross-border interoperability. The Guide also serves as background reading for capacity-building workshops, especially those supported by United Nations regional commissions and other international funding agencies. Such workshops aim at building the managerial competence of Government officials and relevant stakeholders to plan, manage and oversee the Single Window projects within their economies or within a region of collaborative economies. Therefore, the target audiences of this Guide are policy managers, Government officials and other stakeholders especially those who are tasked to lead, coordinate and/or involve in initiating, planning and managing Single Window projects. Improving trade and transport-related procedures and documentation with some forms of electronic- based Single Window environments is well recognized as one of the most important development visions for increasing trade competitiveness of many economies. However, how to transform these visions into reality is neither simple nor obvious. Therefore, a holistic and systematic framework for guiding the planning and implementation of the SW vision into reality is proposed. An architecture-based approach, called Single Window Implementation Framework (SWIF), as recommended in the Guide, provides policy managers and decision makers with guidelines on how to systematically structure many complicated challenges of Single Window implementation into less complicated and more manageable sub-components. The Guide also suggests a stepwise project management process and practical steps on how to initiate a project, how to analyse the current environment, how to propose the target architectures from different viewpoints, and then how to formulate the high-level master plan for implementation. The Guide also discusses key ideas on some approaches to secure political will with its clear vision and how to formulate an effective collaborative platform. We discuss the importance of other critical success issues including the necessity of business process analysis, data harmonization, development of electronic messages, and commonly agreed functions of its application architecture. A case study at the end of this guide summarizes the implementation experiences and history of a national Single Window project using the described implementation framework. Single Window Planning and Implementation Guide Page vi Contents Foreword .............................................................................................................................. iii Preface ............................................................................................................................... v List of figures ...................................................................................................................... viii List of tables ....................................................................................................................... viii List of abbreviations .............................................................................................................. ix 1. Introduction ............................................................................................................ 1 1.1 The Vision - Improving Trade Procedures and Documentation as a Strategy for Increasing National Trade Competitiveness ........................................ 1 1.2 Single Window to Facilitate Trading Across Borders ..................................................... 5 1.3 Why do we need a Guide for Single Window Planning and Implementation? ................................................................................................... 6 1.4 Target audiences and objective of this Guide ............................................................... 7 1.5 Outline of this Guide .................................................................................................... 7 2. The Roadmap: Evolution of Single Window .............................................................. 9 2.1 Gradually Migrating from Paper-documents to Electronic-document Environments ......................................................................... 9 2.2 A Single Window Roadmap based on five evolutionary stages .................................... 10 2.3 Assessing the National Situation against the Single Window Roadmap ....................... 17 3. Single Window Implementation Framework ........................................................... 19 3.1 Enterprise Architecture to systematically decompose SW project challenges ................................................................................................ 19 3.2 Decomposition, Viewpoints and Blueprints ................................................................ 20 3.3 Key Components of Single Window ............................................................................ 21 3.4 A methodology to develop the components of the Single Window ............................. 28 4. Single Window Project Management ...................................................................... 38 4.1 Phase 1: Inception for Developing the Initial Concept Paper ...................................... 39 4.2 Phase 2: Elaboration phase for Conducting the Detailed Feasibility Study ..................................................................................... 42 4.3 Phase 3: Planning for formulating a Single Window high-level master plan ................................................................................................ 51 4.4 Phase 4: Development and deployment oversight ..................................................... 55 4.5 Phase 5: Lessons-learned and feedback ..................................................................... 56 4.6 Lessons learned: Advice from experienced Single Window project managers ............................................................................... 56 Single Window Planning and Implementation Guide Page vii 5. Financial and business model analysis .................................................................... 60 5.1 Why is the financial and business model analysis needed? ......................................... 60 5.2 What should be covered in the analysis? .................................................................... 61 5.3 Some approaches and techniques on how to conduct the analysis ............................. 64 5.4 Risk assessment ......................................................................................................... 67 Summary ............................................................................................................................. 69 Glossary ............................................................................................................................. 71 References ........................................................................................................................... 75 Appendix A National Single Window Case Study .................................................................................. 79 1. Introduction ............................................................................................................... 79 uploads/Ingenierie_Lourd/ nsw-implement-guide.pdf