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Supported by. UNNExT Capacity Building Workshop on Single Window Planning and Implementation Module 6 – Project Management Phase 1: Inception Phase (Preliminary Study).

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  1. Supported by UNNExT Capacity Building Workshop on Single Window Planning and ImplementationModule 6 – Project Management Phase 1:Inception Phase (Preliminary Study) Authored byDr. Somnuk KerethoUNNExT Advisory CommitteeDirector, Institute for IT InnovationKasetsart Universitysk@ku-inova.org 14-15 December 2011Palais des Nations, Geneva

  2. The Objectives of this module • To provide guidelines on how to conduct an initial SW concept • When and Why an inception phase should be conducted? • What should we do with the concept paper(the deliverable of this inception phase)? • How it should be conducted? • What should be the key contents in the concept paperwhich is the deliverable of this inception phase?

  3. SW Project Management Process in 5 Phases • Inception Phase (Preliminary) – Developing a concept paper for preliminary and initial discussion • Elaboration Phase – Conducting detailed feasibility study • Planning Phase – Formulating a SW high-level master plan • Execution Phase (Implementation & Oversight)– SW Project Implementation and – Monitoring and Controlling the project’s progress • Feedback & Lessons-learned Phase – Collecting lessons learned and suggesting opportunities for SW improvement and extensions.

  4. When an initial concept study should be conducted? • An inception phase (preliminary study) should be conducted as an initial preparation at least for two occasions, i.e. • When a country starts to think about the possible implementation of a Single Window, or • When a country thinks about the possible extensions of the existing Single Window.

  5. Whyan inception phase should be conducted (the purpose of an initial concept study)? • The purpose of this inception phase is to develop a concept paper aiming to facilitate initial discussion on the SW and then to obtain feedback and approval to go forward for an in-depth study into the need for, approach to and feasibility of a Single Window. • Normally, this initial concept paper is not intended to seek commitment or agreement for the implementation of a Single Window yet.

  6. What should we do with the concept paper (the deliverable of the inception phase)? • With the concept paper, a meeting should be conducted, if possible, among high-level(as possible) key government representatives and relevant business representatives to discuss the proposed Single Window concept. • Upon the feedback from the meeting, and presuming that a positive decision is reached to proceed with a recommended next step, an elaboration phase (a detailed feasibility analysis), the meeting should establish a Project Management Group made up of senior representatives of the key agencieswho will be directly involved in implementing and utilizing the Single Window.

  7. How an inception phase be conducted? Understand the “As-Is” conditions and propose the “To-Be” architectures of these 10 key components mainly at the conceptual feasibility and policy level, but some technical components should be roughly explored their feasibility, potential benefits, and risks. 1. Stakeholders’ requirements, and Related National Agenda (Module 2) 2. SW Vision & Goals (Module 2) 3. Possible SW Scope (Module 3) 4. Business Process and Document Requirements for export-import of somestrategic goods and/or strategic ports,... 4. What are the existing ICT systems, What should be the “to-be” SW architecture (which SW levels in the Roadmap) 5. Platform for stakeholder collaboration …………………………….etc.

  8. Understand the “As-Is” and propose the “To-Be” of these 10 Key Components • Stakeholders’ Needs and Requirements • SW Vision and Political Will • Stakeholders Collaboration Platform • Business Process Analysis and Improvement • Data Harmonization and Document Architecture • Service Functions/Applications Architecture • Technical Standards and Interoperability • Legal Infrastructure • Business Models, Financial Issues & Governance • IT Infrastructure & Technical Architecture

  9. A Case Example 1(referencing to the SW RoadmapLevel 1) “To-Be” Paperless Customs Procedures(an initial concept study in 2005, proposed for the development from the “As-Is (then)” paper-based documents and partial electronic procedures) ElectronicCustoms Declaration Submission with Digital Signature All transactions are electronically exchanged, e.g. Customs e-payment, risk analysis, reporting, … Referring to – ‘Thailand NSW” presentation byMr. SINMAHAT Kiatjanon, Thai Customs Department - February 2010., Nepal.

  10. A Case Example 2 Exporter/Importer “As-Is” Application Architecture in 2007 - Declaration- Invoice- Packing List New Generation of EDI (ebXML MS/XML Messages/Digital Singnatures) 1. About 80% of import/export permits and certificate documents arephysical papers not electronic papers yet 2. Separate ICT islands Paperless Customs Declaration and Clearance Customs Dept Server Browser (Request for C/O) Web-Based Application (Certificate of Origin) Dept of Foreign Trade Browser(Request for Health Cert.) except Shrimp (Request from Dept of Fisheries) Web-Based Application(Health Certificate) Dept of Livestock Development Many Paper Documents Web-Based Application(Health Certificate) Dept of Fisheries Paper Handling and/or Web-Based Application(Bill of Lading) Carriers or other logistics service providers

  11. A Case Example 2 (cont)(referencing to the SW RoadmapLevel 2) Exporter A Conceptual Architecture* ofthe “To-Be” National Single Window Technical interoperability protocols are needed, and common definitions of data elements, and semantic data structures (common data models) among different documents required by different organizations are required also. Paperless Customs Declaration and Clearance Customs Dept 36 RegulatoryAgencies involving with Import/export and logistics procedures 1. National Single Window[Goal 1] e-DocumentsExchange Hub Web-Services (ebXML) Application (Certificate of Origin) Dept of Foreign Trade 2. [Goal 2] –Electronic Single Window EntryOne time submission for each data element but multiple usage for different purposes on different ICT platforms Web-Services (ebXML) Application(Health Certificate) Dept of Livestock Development * as initially proposed for discussion and feedback with key stakeholders in 2007. Web-Services (ebXML) Application(Health Certificate) Dept of Fisheries Web-Services Applications (e.g. Bill of Lading, and other documents) Carriers or other logistics service providers

  12. Summary • This module discusses how we can produce an initial concept paper to explore a general overview, an initial vision, scope and potential benefits of possible SW implementation. • The paper should avoid excessive technical jargons, but typically focuses on the practical issues, especially on possible better, faster and cheaper “to-be” business procedures and documentations enabled by electronic means. • This concept paper is just the initial and rough approximation. More clear vision and scope needs to be further analyzed and scrutinized, a detailed feasibility study should be conducted and then the working team revisits and readjusts the vision and its quantitative goals, this time with more supporting evidence.

  13. Group Exercise 2 • Discuss about what could be the scope and initial concept of your country’s SW to be developed within the next 2 (or 5) years, by considering the following two key components • Which import/export-related procedures and documents that should be analyzed (the “as-is”), and then propose “to-be” procedures enabled by e-documents submission, electronic transaction and e-document exchange? • What are the viewpoints (pictures) of the “as-is” IT conditions and the possible “to-be” functions/application architecture of your country’s future SW?

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