Work Plan 15 September 2016 Document 5 IMPLEMENTING THE IPPC Global ePhyto SOLUTION A WORK PLAN FOR RPPOs and NPPOs Purpose This document outlines a detailed business work plan to progress implementation of electronic phytosanitary certificates (ePhyto) globally. It has processes and tools that could be utilised to specifically support the development of ePhyto Project Plan, for those countries that opt to use an ePhyto system. This document analyses resource needs, opportunities and methodology that could raise awareness and understanding to build and implement ePhyto capacity amongst countries. This work plan is supported by “ePhyto Global Solution” published by IPPC and Appendix 1 of ISPM 12. -1-
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Work Plan 15 September 2016Document 5
IMPLEMENTING THE IPPC Global ePhyto SOLUTION
A WORK PLAN FOR RPPOs and NPPOs
Purpose
This document outlines a detailed business work plan to progress implementation of electronic phytosanitary certificates (ePhyto) globally. It has processes and tools that could be utilised to specifically support the development of ePhyto Project Plan, for those countries that opt to use an ePhyto system. This document analyses resource needs, opportunities and methodology that could raise awareness and understanding to build and implement ePhyto capacity amongst countries. This work plan is supported by “ePhyto Global Solution” published by IPPC and Appendix 1 of ISPM 12.
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DOCUMENT CONTROL
Version History
Version Description Author Date
1.0 RPPO/NPPO version for CPM11(revised from previous APPPC workplan)
ePhyto Steering Group December 2015
1.1 Updated as RPPO and NPPO work plan
Pete Neimanis & Chin Karunaratne
27 April 2016
Definitions, Acronyms and Abbreviations
Abbreviation/Word Definition/Description
APPPC Asia & Pacific Plant Protection Commission
ASEAN Association of Southeast Asian Nations
CDC IPPC Capacity Development Committee
CITES Convention on International Trade in Endangered Species of Wild Fauna and Flora
Codex Codex Alimentarius Commission
CPM Commission on Phytosanitary Measures
DAWR Department of Agriculture and Water Resources
ePhyto Electronic Phytosanitary Certification
EPPO European and Mediterranean Plant Protection Organization
ESG ePhyto Steering Group
FAO Food and Agriculture Organisation
IGTC International Grain Trade Coalition
ISF International Seed Federation
IPPC International Plant Protection Convention
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Abbreviation/Word Definition/Description
NPPO National Plant Protection Organisation
OIE World Organisation for Animal Health
RPPO Regional Plant Protection Organisation
STDF The Standards and Trade Development Facility
UNCTAD United Nations Conference on Trade and Development
UNICC United Nations International Computing Centre
Union Fleurs International Flower Trade Association
1.1 Development needs and benefits in RPPOs being addressed by the implementation of this project. .7
1.2 Why RPPOs best placed to support the ePhyto development in NPPOs?..........................................................7
1.3 How does this project complement development and trade policies of participating countries?.........7
1.7 The Approach for RPPOs and NPPOs................................................................................................................................8
1.8 Global Approach......................................................................................................................................................................... 9
1.9 Related References.................................................................................................................................................................10
2.5 Related Projects and Dependencies................................................................................................................................12
2.6 Constraints and Assumptions............................................................................................................................................13
2.8 Stages and Milestones...........................................................................................................................................................17
5. Governance.................................................................................................................................................... 215.1 Roles and Responsibilities...................................................................................................................................................21
5.2 Communications Plan (Reporting Process).................................................................................................................22
8. Quality Management.................................................................................................................................. 298.1 Project Monitoring and Control........................................................................................................................................29
8.2 Information Management (IM) of project:...................................................................................................................75
9. Decision and Action Register.................................................................................................................76
10. Organisational Change Assessment and Management............................................................78
11. Project Closure and Finalisation........................................................................................................8111.1 Closure Report.......................................................................................................................................................................81
11.2 Post Implementation Review..........................................................................................................................................81
11.3 Business Impact Review....................................................................................................................................................82
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1. Overview
An ePhyto is an electronic phytosanitary certificate. It is the electronic equivalent of the wording and data of phytosanitary certificates in paper form, transmitted by authenticated and secure electronic means from the National Plant Protection Organisation (NPPO) of the exporting country to the NPPO of the importing country.
Several NPPOs have been exploring and developing different systems for the electronic exchange of phytosanitary certificates. It was mentioned at the Open Ended Working Group on Electronic Phytosanitary Certification in Paris in 2012 that this practice will create a multitude of exchange formats and mechanisms thus undermining some of the advantages of electronic exchange.
The International Plant Protection Convention (IPPC) has developed the Global ePhyto Solution as an integrated suite of components to implement a consistent and effective electronic certification approach. The key element are
Appendix 1 to ISPM 12 – consistency in message content and structure The Global Hub – consistency in certificate exchange mechanisms and The Generic National System – effective capability to exchange for developing countries
Implementing the IPPC ePhyto solution, through RPPOs into NPPOs, is expected to improve the capacity and key capabilities of developing countries via implementing a simple generic ePhyto system (connected to a global hub) designed with the capability to exchange electronic export and import phytosanitary certificates.
The adoption of an electronic phytosanitary certification (ePhyto) system will replace paper based phytosanitary certificates used by developing countries in the region and would create opportunities to provide phytosanitary certificates in an innovative, cost effective and globally harmonised way via a safe, secure environment. It aims to facilitate efficient trade in plants and plant products through the implementation of an ePhyto framework connected to a global hub for exchange. It will eliminate the cost and complexity of each participating country needing to have its own exchange system. It will also promote economic growth, safe transport and safety in trade for developing countries with new trading partners.
Electronic transmission of phytosanitary certificates will also help developing countries with limited resources to strengthen their border management capabilities associated with export and import consignments. After implementation, the sustainability of this project will be assured by public/private sector partnerships. Participating countries may be responsible for imposing a fee on participating industries that would use the ePhyto system. A portion of this fee would be used for future development and maintenance of the ePhyto hub.
Countries in IPPC regions (e.g. Asia and Pacific Plant Protection Commission (APPPC), European and Mediterranean Plant Protection Organization (EPPO), North American Plant Protection Organization (NAPPO), Inter-African Phytosanitary Council (IAPSC) etc.) are planning future ePhyto developments in-line with the proposed IPPC solution.
This workplan provides a consistent and co-ordinated set of project management tools to assist with the preparedness, implementation and sustainability of the IPPC ePhyto Solution through RPPOs and into NPPOs.
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1.1 Development needs and benefits in RPPOs being addressed by the implementation of this projectPhytosanitary certificates, issued for exported or re-exported consignments, provide assurance to an importing NPPO that consignments meet their specific phytosanitary import requirements. The phytosanitary certificates are currently paper based, manually processed and prone to error, fraud and misinterpretation. Therefore, most NPPOs are interested exchange electronic phytosanitary certificates.
This project will directly provide the following benefits for participating countries:
to reduce the costs associated with printing and shipping paper certificates to reduce the costs associated with sorting, distributing, retrieving, and archiving paper
documents as current paper based systems are laborious and inefficient to expedite exchange of specific phytosanitary certificates between exporting and importing
NPPOs, including transparency and added convenience of reissued certificates to eliminate fraudulent certificates and increase the transparency of certificates that have
been issued and exchanged between NPPOs to decrease the costs associated with expensive auditing processes to increase efficiency by removing manual processes and creating automation of
consignments to enable information to be stored and accessed electronically in real-time to improve the clearance time of goods at the border with pre-arrival processing of ePhyto
certificates to reduce delays in receiving replacement phytosanitary certificates to improve security in transmission of certificate documentation to improve planning for the arrival and clearance of plants and plant products at customs to maximize the investment by building on existing initiatives to reduce ongoing and costly bilateral arrangements to help to link into the World Customs Organization “One Window” initiative and harmonize
codes and processes
1.2 Why RPPOs best placed to support the ePhyto development in NPPOs?
RPPOs form a key tier within the structure of the IPPC and play a critical role in the success of the IPPC - notably through
Co-ordination and participation in activities among their NPPOs in order to promote and achieve the objectives of the IPPC.
Cooperation among regions for promoting harmonized phytosanitary measures Gathering and dissemination of information, in particular in relation with the IPPC
The functions and roles of the RPPOs will be critical for ensuring that NPPOs follow a consistent and efficient methodology for their Preparedness, Implementation, and Sustainability of the IPPC Global ePhyto Solution.
1.3 How does this project complement development and trade policies of participating countries?
The development and maintenance of a global ePhyto hub will be undertaken by contracting parties who would be asked to make an appropriate contribution.
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Developing countries will benefit from adopting ePhyto, as it will be more economical than a paper based system.
As the proposed ePhyto solution runs through a global hub (single point exchange) it will not be necessary to have multiple bilateral agreements between two countries (NPPOs) to exchange ePhytos directly between two national systems (point to point exchange). This will cause a major shift in existing trade practices and policies between participating NPPOs by harmonising foreign relationships. The project will support a strong "Aid for Trade" by engaging the private sector (key industry partners) of participating countries in the design and delivery of this project. It will also source additional investments in cash or kind which will help to form public-private partnerships. This approach will enhance trade and minimise poverty by promoting "Agricultural" productivity in the region. Ongoing financial support to maintain ePhyto platforms of participating countries may not be required after they are developed in future as this will be done by contributions from local industry.
The development of ePhyto projects with pilot countries, within RPPOs, will have a sharper geographic focus with regard to future trade activities and promote employment opportunities in the region. The investments in infrastructure, trade facilitation and competitiveness achieved by the implementation of this project will reduce the cost of doing business in developing countries, while trade facilitation ensures that businesses can take advantage of international opportunities. The investments in "Effective Governance" of ePhyto will improve the operations of the public sector which would provide a sound regulatory environment for stronger growth in the private sector. For instance, people will have opportunities to be employed in agricultural and ePhyto (IT systems) expansion in their respective countries.
A regional example of the application of ePhyto framework to the Indo-Pacific region, particularly South East Asia and the Pacific, will complement with the development of Maritime Silk Route by China where Sri Lanka and Pakistan will act as major trade hubs with many other developing countries in the region. It will also provide sustainable economic development by improving incomes, employment and enterprise opportunities of developing countries.
The ePhyto certificates transmitted via the hub will provide three levels of security: system, data and transmission between participating countries. This will help to reduce the cost associated with expensive auditing processes and provide phytosanitary assurance to participating countries.
In summary, the adoption of a global ePhyo system will deliver direct support to foster smooth, efficient, cost effective certification platform to improve and regulate trade between various developing countries which in turn will promote the economic development and welfare of those countries. This project will explore innovative approaches to project financing; improving the regulatory environment for private sector participants; and addressing other constraints to economic growth.
1.7 The Approach for RPPOs and NPPOs
Each RPPO should established a regional ePhyto Working Group to progress the IPPC consistent ePhyto approach within member NPPOs.
The RPPO ePhyto Working Group to analyse the country survey reports for the APPPC ePhyto Working Group to capture the ePhyto status of its members.
The RPPO ePhyto working group to determine how many countries to implement the work plan and participate in the ePhyto exchange based on country readiness
The pilot countries selected for ePhyto development will ideally cover:
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Countries that are currently exchanging,
Countries that are commencing exchange,
Countries that have hard copy processing (nothing started).
The RPPO ePhyto working group will also consider the levels of phytosanitary certificate based trade, ability to resource the ongoing maintenance of an ePhyto exchange system and legislative (e.g. governance) and IT requirements of the pilot countries as sub-criteria.
RPPOs will seek funding (cash or in kind) from the participating countries or regional trade development funds for ePhyto development.
The participating country will be engaged by RPPO representatives for discussions with its National Plant Protection Organisation (NPPO), Country Representative, Project Manager, Technical Manager and key industry bodies.
NPPO representatives will establish a project/work plan with the participating country.
The RPPO ePhyto Working Group will maintain contact ESG and seek their agreement and recommendations for the proposed ePhyto system before development.
The participating country will implement the relevant NPPO work plan.
All progress on the work plan will be reported back to the RPPO ePhyto Working Group at regular intervals for the benefit of all APPPC members to develop ePhyto exchange capability.
The RPPO ePhyto Working Group will invite various stakeholders (internal and external) to test the system and request their feedback for further improvements.
The RPPO ePhyto Working Group will provide an annual progress report to ESG and CPM Bureau
1.8 Global Approach
After the global ePhyto survey is undertaken, ESG will further assess the readiness and suitability of countries in the beginning of 2016. A final decision of the countries to join the pilot hub and/or the pilot generic national system will be taken by the Bureau of CPM by the end of March and will be announced during CPM-11 in April 2016.
For this purpose, ESG is currently looking to establish a small Industry Advisory Group (IAG) to maintain the collaboration with key industry bodies (e.g. Grain, seeds, cut flowers, wood etc.) for development and piloting of ePhyto as work will need to continue across all of afore-stated areas with emphasis on harmonisation. STDF is also looking to establish an Oversight Committee that will meet once a year to broaden the involvement of other certification bodies to oversee the use of STDF funds for global Hub development.
The table below provides a structure for the elements/documents associated with the work plan with three phases for review at different times after start of project.
A. Preparedness – A work plan for NPPO is developed after discussion at country level to initiate and plan the project. A Readiness Assessment is undertaken before a country goes into “implementation” phase (i.e. post testing).
B. Implementation – A Project/Technical Manager is appointed by NPPO to undertake development and delivery of ePhyto system under the UNICC and IPPC guidance.
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C. Sustainability – NPPO will undertake post-implementation review (benefit analysis, customer survey etc.) for institutionalisation of new business practice under the guidance from IPPC
Stage of Work plan Preparedness Implementation Sustainability
Change Assessment Benefits Plan1 Training strategy Training delivery Communications plan Stakeholder register Risk register Readiness assessment (to move into production)
1.9 Related References
Title of reference Date
1 STDF Project Plan March 2015
2 ePhyto fact sheets #1 to #5 Feb. – Oct. 2014
3 A global ePhyto feasibility study (IPPC consultant’s report) March 2014
4 eCert Working Group meeting minutes, Department of Agriculture, Canberra, Australia
September 2015
5 Global Survey results January 2016
6 Global ePhyto Solution March 2016
1 Manage separately
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2. Project Overview
2.1 Project Objectives
The objective of this project is to ensure that IPPC Contracting countries are able to provide phytosanitary assurances in trade in an innovative, cost effective, and globally harmonised way using a global facility for electronic phytosanitary certification at a specified time frame.
2.2 Project Outcomes
This project will initially set up and make operational a global, central exchange tool (Hub) for the exchange of electronic phytosanitary certificates for participating countries. The experience gained by this exercise could be shared with other countries to set up similar systems globally to exchange ePhytos between various NPPOs. The introduction of a generic national system for the creation and receipt of phytosanitary certificates will be undertaken as part of this proposal. This will be done for those countries that do not have the capacity to engage in the hub based ePhyto process.
ESG will attain following outcomes after initiation of this project with participating countries.
foster an environment of co-operation through open information sharing, increase harmonisation of phytosanitary certificates through implementation of Appendix 1
to ISPM 12, explore and secure capacity building funding for participating countries.
2.3 Project Outputs
The major outputs of this project are outlined below that will be further elaborated in the attached work plan.
Setting up a global harmonised exchange tool (hub) for electronic phytosanitary certificates. Setting up a generic national system to exchange electronic phytosanitary certificates with
participating countries.
This work plan will recognise countries fall into three broad categories: 1. Work plan for RPPOs, 2. Work plan for NPPOs that are currently or commencing exchanged and 3. NPPOs with nothing started that will use the generic national system...
The project will catalogue existing ePhyto systems (if present) or design new systems in participating countries and align them with ISPM 12 Attachment 1 requirements. These systems will be further evaluated for future development.
Assist countries to implement electronic phytosanitary certification
The project will also develop suitable training modules and operational manuals for users in participating NPPOs after ePhytos are developed. The relevant advocacy material will be provided to key industry bodies highlighting potential benefits of ePhytos in comparison to paper based methods.
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2.4 Project Scope
The working group will limit its work to focussing on direct ePhyto matters of contracting parties in its work program. Other phytosanitary matters are out of scope and will not be addressed by the working group.
2.5 Related Projects and Dependencies
Funding approved from various bodies
The project should have operating funds for infra structure development and capacity building. The lack of funding is a key factor that could impact the timely completion of this project.
Change in policies of participating countries
The unexpected change in policies by participating countries could have an impact on ePhyto development. Some of these changes could be attributed to political / trade disputes between the chairing country and participating country.
Legislation
Some participating countries may require changes to their legislation regarding the use of ePhyto for their phytosanitary certification. This will cause delay in setting up ePhyto projects in those countries.
Single point hub development
A single point hub establishes common transmission requirements that all participating NPPOs should accept. The delays caused in the hub development will directly impact ePhyto development in participating countries.
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2.6 Constraints and Assumptions
Constraint Impact on the successful implementation of the project plan
Probability of occurrence
Assumptions
Lack of political will to support the system in participating countries
Medium Medium Regular discussions and consultation of key players associated with the national plant protection agencies of participating countries before the start of project.
Advocacy material (e.g. newsletters, ePhyto fact sheets etc.) developed and sent to participating countries.
Resistance to harmonisation of elements of the proposed system
Medium Low Conduct workshops / information sessions with key industry groups of participating NPPOs on benefits associated with ePhyto before start of the project.
Develop advocacy material within the project.
Harmonise decision making processes with ESG and CPM.
Lack of confidence or security concerns in electronic computerised systems
Medium Medium Develop security systems
Legislative changes acting as a barrier in participating countries
High Medium Raising awareness in CPM bureau, ESG and participating NPPOs for required changes.
ESG to contact relevant NPPOs and push for legislative changes.
Develop advocacy material to implement appropriate changes.
Scarcity of trainers that understand both the IT and phytosanitary
Medium Medium Develop group training programs for new trainers by combining both elements of IT and Phytosanitary aspects.
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Constraint Impact on the successful implementation of the project plan
Probability of occurrence
Assumptions
elements Appoint Project Managers & IT Managers to manage ePhyto development in participating countries.
Develop separate user manuals for both groups.
Lack of minimal requirements to implement the system
Medium Medium Develop a global framework (hub) for use by all contracting parties for their exclusive use before ePhyto systems are developed in participating countries
Explore minimal requirements and develop them in participating countries.
Develop ePhyto systems that could support national production and receipt of ePhytos, including an on-line web based generic system that would require minimal facilities in the participating country. This system should have the capability to link with global hub in future.
Funding issues High High Explore the total funding requirements before projects are started with participating countries.
Explain whether assistance in kind is available in participating countries to minimise unforeseen costs.
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2.7 Project Benefits
Expected benefits Measures Dates for achievement Disadvantages
Reduce data entry and validation functions (e.g. sorting, distributing, retrieving and archiving paper documents) by NPPO staff
Quantify number of phytosanitary certificates issued within a certain time period.
To be decided in future as this criterion is country specific
Nil
Reduce costs associated with printing and shipping paper certificates
Evaluate reduction in cost after ePhyto is set up
Soon after ePhyto is set up in participating countries
Nil
Eliminate fraudulent certificates and increase the transparency of certificates that have been issued and exchanged between NPPOs.
Drop in fraudulent documentation when measured against previous cases
Soon after ePhyto is set up in participating countries.
Nil
Improve security in transmission of certificate documentation
As above Soon after ePhyto is set up in participating countries.
Nil
Improve planning for the arrival and clearance of plants and plant products at customs
Evaluate clearance time of the new system when compared with the previous system
To be decided as this criterion is country specific
Nil
Reduce delays in receiving replacement phytosanitary certificates by expediting communication between exporting and importing NPPOs.
Evaluate time frame of getting replacement certificates
Soon after ePhyto is set up in participating countries.
Nil
Maximise the investment by building on existing phytosanitary initiatives
Research on existing initiatives To be decided as this criterion is country specific
Nil
Reduce ongoing and costly bilateral arrangements Evaluate reduction in cost Soon after ePhyto is set up in participating countries.
Nil
Decrease costs associated with expensive auditing processes.
Evaluate reduction in cost Soon after ePhyto is set up in participating countries
Nil
Increase efficiency by removing manual processes and creating automation of consignments
Evaluate reduction in cost after ePhyto is set up in participating countries
Soon after ePhyto is set up in participating countries
Nil
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Expected benefits Measures Dates for achievement Disadvantages
Enable information to be stored and accessed electronically in real-time
Physical assessment Soon after ePhyto is set up in participating countries
Nil
Improve the clearance time of goods at the border with pre-arrival processing of ePhyto certificates
Measure reduction in clearance time Soon after ePhyto is set up in participating countries
Nil
Ability to link into the World Customs Organisation “One Window” initiative and harmonise codes and processes.
Evaluate capability for harmonisation. Soon after ePhyto is set up in participating countries.
Nil
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2.8 Stages and Milestones
Stage/Milestone Responsibility Timeframe & dates
Development and setting up of a functional global hub for ePhyto exchange
Contracting party/parties entrusted to develop the hub
Coordinated by ESG
To be decided in October 2015
Costing arrangements for future hub users Various service providers
Coordinated by ESG
To be decided after the development of hub
Establishing individual work plans with participating countries
Various country representatives
Coordinated and supervised by IPPC Project Officer, ESG Chair with Project Manager and Technical Manager of the participating country after the “Readiness Document” is assessed.
To be decided after pilot countries are selected for ePhyto development
Finalise relevant legislative changes for some participating countries
Country representatives
NPPO of the participating country
Coordinated by the IPPC Project Officer and ESG Chair
Time frames are country dependent
Development of ePhytos for participating countries (web based or hub based)
NPPO of the participating country
Various contracting parties (information technology) for ePhyto development
Supervised and managed by country representatives
Coordinated and supervised by the IPPC Project Officer and ESG Chair
To be decided by NPPOs of various countries
Development of training material for web based and hub based countries
Organised and supervised by the IPPC Project Officer and ESG Chair
NPPOs to provide details of their requirements
Participating country to advise their requirements
To be decided after completion of pilot ePhyto projects associated with participating countries
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2.9 Critical Success Factors
CSF# CSF Title CSF Description KPI
1 Funding Additional funding may need to be sought for capacity building projects associated with participating countries.
Ability to source funding from various funding bodies (e.g., ASEAN) by the NPPO (e.g. Department of Agriculture ) CPM bureau, IPPC etc. to undertake capacity building and other tasks.
2 Coordination and information exchange
Global coordination of project by IPPC with ESG managing ePhyto development in pilot countries.
Regular communication with ESG and CPM Bureau to resolve technical/non-technical issues associated with ePhyto development.
Periodical newsletter sent to various stakeholders by the Department of Agriculture, Canberra, Australia.
3 Support Enthusiasm and support by NPPOS and relevant country representatives (Project Manager and Technical Manager) are central to the success of the project.
Comparative progress evaluation, country visits, regular discussions and presentations with contracting parties.
4 Knowledge and education Strategic and global knowledge (IPPC, CPM etc.) associated with country representatives and other stakeholders are important to progress the project.
ESG to evaluate progress and educate relevant parties.
5 Domestic market access issues (applicable to some countries)
Common agreement between regional governments on ePhyto development in participating countries is required to align domestic and international market access issues.
ESG to initiate joint agreements with key industry bodies in participating countries about ePhyto development and associated market access issues.
6 Flexibility Some stakeholders may show resistance to adopt the new system.
Country coordinators to organize workshops with key industry bodies and inform them about the cost/benefits associated with the new system.
7 Relationship Positive relationships between contracting countries and ESG are important to progress the project.
Research previous setbacks associated with participating country on other projects and develop remedial measures and contingency plans before the start of pilot projects.
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2.10 Agreed Tolerances
Tolerance area Description
Time +6 months over the scheduled completion time of a project.
Budget +10% above the amount of planned budget.
Risk Project to develop ePhyto in a participating country may be abandoned if it has more than two constraints.
Quality ePhytos developed in participating countries should complement specifications detailed in ISPM 12 Attachment 1
Scope The ESG working group will focus only on direct ePhyto matters of contracting parties. It will not address any other out of scope phytosanitary matters (e.g. import/export risk analysis) in its work program.
Benefits All participating countries should be benefitted from the work program.
Agreement All participating countries should be in agreement to move on to ePhyto for all internal and external market access matters within a reasonable time period after relevant ePhyto systems are developed.
2.11 Change Impact Assessment Summary
Type of impact Recommendations for managing, minimising or eliminating impacts
Loss of trained staff Personal information of staff working on the project will be collected and stored.Training of additional staff should be done regularly throughout the project
Budget Before the start of the project the budget will be carefully scrutinised.Contingency plans may be drawn to source funding from various funding bodies before joint projects are started with participating countries.
Change in direction This could happen after the implementation of project due to unexpected events. IPPC should discuss pilot projects with participating countries with ESG and CPM bureau and seek their approval before the start of projects
IPPC to develop country specific contingency plans in consultation with relevant Project Managers and country representatives.
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Type of impact Recommendations for managing, minimising or eliminating impacts
Technical problems All technical problems associated with participating countries should be brought to the attention of IPPC, CPM bureau and ESG so that common solutions could be sought.
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3. Initial Draft Schedule
The schedule is a ‘living’ document and will continue to be updated/changed throughout the life of the project. The schedule is built into the respective work plans for RPPOs (Appendix A) or NPPOs with or without an existing ePhyto system (Appendix B)
4. Project FundingProject Cost Management
BAU costsYear of
development 2015/2016 2016/2017 2017/2018 Total
Infra structure development of participating countries
Travelling costs to attend meetings by participants
Costs associated with Technical IT developers in participating countries
Costs associated with ePhyto development in participating countries (e.g. workshops, seminars etc.)
Costs (travelling etc.) associated with participating countries
ePhyto training material developed for participating countries
Costs associated with IPPC IT consultant’s travel to participating countries
Other support costs and overheads of participating countries
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5. Governance
5.1 Roles and Responsibilities
Role Assignee/s Responsibilities
Business Owner ESG Coordination of project
Reporting to IPPC
Project Sponsor STDF, IPPC, pilot countries, and various funding bodies
Provide funding for ePhyto development in pilot countries
Project Director ESG Chair Management of the project and reporting to IPPC and ESG
Project Officer IPPC Development of IPPC global work plan, IPPC global information material and co-ordinate ePhyto development and training in participating countries.
Project advisor ePhyto Steering Group
(ESG Chair)
Provide overall guidance and direction to the project.
Business change owner Pilot countries Ownership of projects will be assigned from ESG to Pilot countries after ePhyto development is successfully completed.
Project teams Country representative, Project Manager, Technical Manager and various technical groups of participating countries
Assigned to designated pilot countries for ePhyto development
Consultants/Contractors IPPC information technology developer, various technical developers and consultants
Resolve technical issues and capacity building matters associated with ePhyto projects in pilot countries
Reference Group/s Countries where ePhyto development has happened.
(e.g. Australia, New Zealand)
Communicate with Reference Groups to resolve ePhyto technical issues associated with various Pilot countries during development.
Working Group/s Various Some Pilot countries may appoint working groups to resolve domestic market access issues and align them with ePhyto development
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5.2 Communications Plan (Reporting Process) –
Reported by To whom Reporting requirements
Frequency Format
Business Owner
(ESG)
IPPC and other stakeholders
Overall progress of ePhyto development in Pilot countries
Monthly teleconference;
Verbal (Teleconference)
Written (Periodical newsletter)
Project Sponsor
(STDF; IPPC; Pilot countries)
ESG to IPPC
STDF to CPM Bureau
IPPC to CPM
Pilot countries to ESG
Overall progress of ePhyto development; utilisation and management of funding
To be decided as specified
Verbal; written
Program Director (ESG Chair & Steering Group Member)
ESG Status report of ePhyto development in Pilot countries
Monthly teleconference
Verbal; written
Senior Project Scientist Program Director (ESG Chair & Steering Group Member)
Work plan; capacity development, coordination and management of projects with various Pilot countries
Weekly meetings Verbal; written
Program
(ePhyto Steering Group)
CPM Bureau ePhyto hub development, ePhyto development in Pilot countries; Utilisation of STDF and other funding
Designated meetings.
Information to be provided upon request
Verbal; written
Business change owner
(Pilot countries)
ESG Chair ePhyto development in respective Pilot countries
Information to be provided upon request
Verbal; written
Project team of various pilot countries
(Country representative; Project Manager; Technical Manager and various staff)
ESG Chair ePhyto development in respective Pilot countries
Upon request from the Chair of ESG.
Monthly teleconference to ESG
Verbal; written; presentations
Consultants/Contractors
(Various)
Project Manager and Technical Manager
ePhyto technical development and capacity development matters
As and when requested by Project Manager
Verbal; written; presentations
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Reported by To whom Reporting requirements
Frequency Format
Reference Group/s
(e.g. Australia, New Zealand)
Country representatives; Project Manager and Technical Manager
ePhyto technical issues and lessons learnt during ePhyto development
As and when requested by various parties
Verbal; written
Working Groups in pilot countries
Country representatives; Project Manager and Technical Manager
Domestic market access issues
As and when requested by various parties
Verbal; written
5.3 Organisational Structure
The organisational structure associated with ePhyto development for global countries are in the Appendices L & M. This structure has two separate connectivity maps to illustrate facilitation and implementation of ePhyto development with Pilot countries as listed below.
a). Connectivity Map of Global Electronic Trade Facilitation
b). Connectivity Map of Global Electronic Trade Implementation
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6. Stakeholder Management
Key Stakeholders
There are four components to choose from:
R – Responsible for decisions and delivery; A – Accountable for decisions and delivery; C – Consulted in decisions; I – Informed of decisions
Stakeholder/ Group
Members Role Involvement CommentsR A C I
ESG Designated Members
Overall decision making process associated with the development and management of ePhyto project with participating countries
+ + + +Membership could change
Country representatives
Appointed by ESG Responsible for coordination and management of ePhyto development with Pilot Countries and reporting to the ESG Working Group.
+ + +Appointed by ESG based on comments received for the “Readiness Document” and the “Assessment Document”
Project Manager and Technical Manager
Appointed by the ESG Chair in consultation with ESG
Responsible for direct coordination and management of ePhyto development in Pilot Countries and reporting progress to the ESG Working Group.
+ + + +Appointed by the Country representative and NPPO of participating country in consultation with the ESG Chair and ESG
Commission on Phytosanitary Measures (CPM)
Designated members
CPM’s mission is cooperation between nations in protecting the cultivated and natural plant resources of the world from the spread and introduction of pests of plants, while minimizing interference with the international movement of goods and people.
+ +The governing body of the IPPC.
CPM Bureau Designated members
CPM Bureau, which provides advice and administration, will implement decisions made at annual CPM meetings.
+ + + +Management and administration arm of CPM
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Stakeholder/ Group
Members Role Involvement CommentsR A C I
IPPC Appointed members
This is an international plant health agreement, established in 1952, that aims to protect cultivated and wild plants by preventing the introduction and spread of pests.
+ +Responsible for standard Setting on various phytosanitary measures (e.g. ISPM 12 Attachment 1 for ePhyto development)
IPPC Secretariat Appointed member
The IPPC Secretariat is responsible for coordinating the IPPC work program, which involves: develop International Standards for
Phytosanitary Measures (Standard setting); provide information required by the IPPC,
and facilitating information exchange between contracting parties (Information exchange)
provide technical assistance especially for capacity building to facilitate the implementation of the IPPC work program.
+ +Coordinate funding and overall ePhyto development
The Standards and Trade Development Facility (STDF)
Appointed members
This is a global partnership and trust fund established by the Food and Agriculture Organization of the United Nations (FAO), the World Bank, the World Health Organization (WHO), the World Organisation for Animal Health (OIE) and the World Trade Organization (WTO).
+The WTO hosts the STDF Secretariat and manages the trust fund.
ePhyto Steering Group
Designated members
The IPPC ePhyto Steering Group was established by the 8th session of the CPM to commence work on key components to assist countries with their implementation of ePhyto
+ + + +Membership could change
Contracting parties Appointed parties
Employed by Project Manager/Technical Manager for ePhyto technical development in designated countries.
+ + +Information technology specialists
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7. Risk and Issues Management
7.1 Risk Management Register
The Risk
What is the effect on the objective?
Risk Sources
How can this happen?
Risk Consequences
What damage or loss could occur?
Current controlsand their
effectiveness
(I) Ineffective(M) Moderate(A) Adequate
CURRENT RISK LEVEL
Acceptable/Unacceptable
Likelihood Measure of Consequence
Risk Level
Lack of sufficient budget Funds required for ePhyto development may exceed the allocated budget
Delay or termination of ePhyto development in Pilot countries
Moderate Possible Evaluation of costs associated with various milestones
Medium Unacceptable
Lack of capacity development
Lack of staff with technical knowledge to further progress the development of ePhyto in Pilot countries
ePhyto not developed as per ISPM 12, Attachment 1
Adequate Likely Supervision Medium Acceptable
Misuse of funds allocated for ePhyto development Corruption
Loss of technical quality
Termination of ePhyto development
Moderate
Possible Supervision by ESG Chair and ESG Working Group with financial regulation and progress evaluation
Medium Unacceptable
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The Risk
What is the effect on the objective?
Risk Sources
How can this happen?
Risk Consequences
What damage or loss could occur?
Current controlsand their
effectiveness
(I) Ineffective(M) Moderate(A) Adequate
CURRENT RISK LEVEL
Acceptable/Unacceptable
LikelihoodMeasure of
Consequence Risk Level
Political instability in pilot countries
Change in government
Termination or delay of ePhyto project
Moderate for some participant countries
Possible for some countries
Close supervision
Medium Unacceptable
SecurityTerrorism Delay of project
Ineffective for some pilot countries
Highly possible for some countries
Supervision of terrorism in the region
Medium for some countries
Unacceptable
Environmental Not possible Nil Not required Zero Zero Zero Acceptable
Cultural / socialUnwillingness to adopt ePhyto system by some clients
High cost and loss of trade opportunities in participating countries
Adequate
Possible with some clients
Workshops, surveys and supervision
Low Acceptable
Lack of industry support
Cost associated with the use of ePhyto becomes higher than paper based certificates
Further development of ePhyto not progressed in pilot countries
Ineffective
Possible Feedback from industry meetings and ESG
Medium Unacceptable
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7.2 Issues Management
The Issues Log for entering various issues encountered during ePhyto development in Pilot countries is given below. The management of issues via Action implementation and escalation procedures of issues to responsible work area are the overall responsibility of relevant Project Manager assigned to participating country under advice to country representative, ESG and IPPC. The relevant country representative, Project Manager and Technical Manager are also responsible for informing any other critical issues to ESG for further advice and guidance.
Any changes to the Program / Project will be managed by reporting it to the relevant governance body/committee and seeking further advice.
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8. Quality Management
8.1 Project Monitoring and Control
The Monitoring and Controlling process oversees all the tasks and metrics necessary to ensure that the approved and authorized project is within scope, on time, and on budget so that the project proceeds with minimal risk. This process involves comparing actual performance with planned performance and taking corrective action to yield the desired outcome when significant differences exist. Monitoring and Controlling process is continuously performed throughout the life of the project. The key tasks associated with this phase are as follows.
A. Scope Verification and Change Control: The Project Manager performs scope verification and control to identify and manage all elements (people, requirements and technology) inside and outside of the project that increase or decrease the project scope beyond the required or defined need of the original, agreed upon Project Scope.
B. Schedule Control: The Project Scheduler performs schedule control which involves influencing the factors that create schedule changes to ensure that changes are beneficial, determining that the schedule has changed and managing the actual changes when and as they occur.
C. Cost Control: The Financial Analyst of participating countries performs the cost control process of influencing the factors that create changes to the cost baseline to ensure that changes are beneficial, determining that the cost baseline has changed and managing the actual changes when and as they occur. ESG is responsible for overall management of this aspect for pilot countries.
D. Quality Control: ESG as the Quality Manager may perform quality control with relevant parties (e.g. country representative and Project Manager of pilot countries) which involve monitoring specific project results to determine if they comply with relevant quality standards and identifying ways to eliminate causes of unsatisfactory results. The country representative will report to ESG about project quality.
E. Performance Reporting: The Project Manager may utilise performance reporting as a necessary process for collecting and distributing performance information. This includes status reporting, progress measurement, and forecasting.
F. Risk Control: The Project Manager and Technical Manager for each country acting as Risk Managers will invoke the risk control process to track identified risks, monitoring residual risks, identifying new risks, executing risk response plans, and evaluating their effectiveness throughout the project life cycle. This process will be supervised by the Global Project Officer
G. Contract Administration: The Project Manager (country representative) of the relevant country as the Contract Manager may utilise contract administration process of ensuring the contractor’s performance meets contractual requirements.
H. Complete Monitoring and Controlling Phase Review: The ESG will undertake this task for pilot countries and report to IPPC.
8.2 Information Management (IM) of project
DAY 2 AGENDA 9.1 FOR 07 JUNE
IM is the collection and management of information from one or more sources before processing and distribution of that information to one or more stakeholders. During sharing of information, its quality, compliance (privacy) and security (confidentiality) will not be compromised. The Senior Project Scientist will be responsible for this task.
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9. Decision and Action Register
The Decision and Action Register is utilised to maintain a register of all decisions and actions that impact on the project. An action register is a central place where the project manager can record all of the different decisions and actions associated with the project, its owners, due dates and other important information. It will help to track down on people working on various tasks, when and where, or when items are due to better manage various time consuming aspects of the project. An action register is different from the project schedule, as it contains more details and is likely to be updated more frequently than the schedule.
The register will need to be updated on a regular basis and incorporate action items from meetings, dates and history for discussion. Information captured in the decisions and actions register include the following:
Date issue raised
Description of issue
(action/decision)
Date for required
completion
Owner Level of progress
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10. Organisational Change Assessment and Management
10.1 Change Assessment
A Change Assessment is required for all change that will impact the project, its people, services, and clients. The Change Assessment will assist in determining the level of control required to manage the change including project management and governance requirements.
The Change Assessment is the first step in the Change Management component of the Project Management Business Process.
What is the process?
At this stage the business area should have already been in contact with RPPO ePhyto working group to register their change initiative.
RPPO will arrange a meeting to carry out an initial Change Assessment to determine the level and impact the change will have on the business. This meeting will be facilitated by ESG and will involve the business area and any subject matter experts; ultimately establishing whether the change will be managed as a business as usual (BAU) activity or as a project. It will also ascertain the level of governance required to monitor the change.
The Change Assessment document will be completed and managed by the RPPO. However, the business area will be provided with a copy of the template prior to the meeting so that they are aware of the information required.
Once ESG has carried out the Change Assessment with the business area, the first draft will be provided to the business area for review and comments before being finalised.
ESG will then provide advice on the next steps for the change depending on the results of the assessment.
This initial Change Assessment will be revisited when the conditions of the change initiative vary from the initial assessment; this may result in the levels of control being changed.
During this stage of the Business Process the primary points of contact for the business area should be the change initiative’s sponsor who can provide advice on how the change should be managed and which documentation needs to be completed following the Change Assessment.
What tools and resources are available?
The Change Assessment template (Appendix C) provides the structure of this process which will give some background on what information is needed prior to taking part in a Change Assessment.
10.2 Change Management
What is Business Readiness Assessment?
The Business Readiness Assessment is conducted to confirm that preparations for implementation are complete and identify any implementation risk or issues requiring management prior to implementation.
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What is the Business Readiness Assessment Process?
ESG will arrange a time to complete the Business Readiness Assessment (Appendix I) with the Project Manager. The Business Change Owner, business areas with responsibility to develop and deliver implementation activities, and affected business areas may be involved in the assessment. Any implementation issues or risks are recognised and mitigations are identified prior to implementation. Program/Project Managers are responsible for ensuring they are addressed.
When would Business Readiness Assessment be used?
The Readiness Document was sent to all APPPC countries seeking their input before ePhyto work plans are developed in pilot countries. This document has helped to prioritise the global countries via the “Assessment Document” for ePhyto development based on their development needs (e.g. infra structure, technical needs etc.) and capacity building requirements.
Who are the outputs going to be handed over to and how?
ESG will inform the successful completion of this project to IPPC. This will be done after ePhyto certification system has been tested after development by respective countries. ESG will subsequently hand over the ownership of the ePhyto system to participating NPPO for future development and management.
New roles and responsibilities for staff positions
The roles and responsibilities of staff members assigned to this project are detailed under the Reporting Requirements section. Further changes to roles and responsibilities of staff members as the project evolve will be advised by the Business Owner (ESG).
Who will be responsible for any ongoing costs (e.g. Software licences)?
The ongoing costs associated with the relevant ePhyto projects during its development will be discussed and agreed between the Business Owner and the relevant NPPO before commencement. The responsibilities of these costs will be further specified in respective work plans of participating countries. The NPPO of the participating country is solely responsible for all ongoing costs associated with its ePhyto certification framework after it is handed over by the Business Owner (ESG) after completion.
Delivery time frame of outstanding outputs
The Agreed Tolerances for delivery of outputs are listed in this document. The delivery time frame of outputs will be discussed between the Business Owner (ESG), relevant NPPO, Country Representative, Project Manager, and Technical Manager before the start of project. These details will be detailed in the work plans of participating countries.
Who has responsibility for any changes to ensure the transition is managed properly?
The Chair of ESG and the Senior Project Scientist are responsible for changes to the ePhyto projects in agreement with NPPO, Country Representative, Project Manager, and Technical Manager of participating countries.
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What are the training requirements?
The training requirements for ePhyto development will be country specific. The details of all training requirements, costs, and durations will be notified in work plans of participating countries.
What ongoing output maintenance arrangements have been made/are required once the project is completed?
The continuous maintenance of ePhyto framework will be required after its development. The costs associated with the management of global hub, staff training and technical problem fixing will be ongoing. The RPPO ePhyto working group chair will discuss these matters with relevant NPPOs of participating countries before the commencement of ePhyto projects. These arrangements will be listed under the Section 11 (Project Closure and Finalisation) of this document and in work plans of participating countries.
Will there be any contracts that require ongoing management, if so, by whom will they be managed?
The management and payment of contracts (if there are any) will be undertaken by the Business Owner (ESG) for contacts coming under the purview of its work plan. The relevant NPPO will pay for all the contracts that are undertaken by the participating country (listed under country work plan) during ePhyto development. However, these contacts listed in country work plans will be jointly managed by ESG and participating NPPO.
The management and payment of any contracts that are finalised after the ePhyto framework is developed rest with the NPPO of the participating country.
At what point will the project be closed?
The project will be closed after the outputs listed in this document are reached within the specified time frame.
How will the ESG & IPPC establish that the project has been successfully completed?
This will be determined after the review of individual work plans of participating countries.
What form of evaluation of the project will be undertaken?
The ePhyto framework will be evaluated to check whether all the milestones specified in the project work plan have been delivered. The ePhyto framework should have the capacity and capability to successfully exchange phytosanitary certificates compatible with ISPM 12 Attachment 1 after development.
Who is responsible for monitoring progress and reporting towards outcome realisation once the work of the project team is finished?
The NPPO and the Country Representative are solely responsible for monitoring progress and reporting towards outcome realisation after the project is handed over to the relevant NPPO by the Business Owner (ESG) after its completion.
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11. Project Closure and Finalisation
The Project Manager will prepare Closure report, Post Implementation Review and Business Impact Review before closure of a project.
11.1 Closure Report
This step is the formal closure point for all programs and projects. This step is undertaken for completed projects or those which were closed at some point throughout the process because of a management decision. If a project is part of a wider change program, it may also be closed at the end of a tranche. In all cases, a Closure Report must be completed and the Project Closure must be endorsed by the relevant Governance committee (e.g. RPPO and ePhyto working group). This step builds a base of completed projects, and just as importantly why some activities were commenced but then not completed.
What is the process?
The Project Manager writes the Closure document. The Project Team, Business and Sponsor contribute to ensure all outstanding issues and
lessons learnt are captured. The Governance committee (e.g. RPPO ePhyto working group) is responsible for signing-off the
Project Closure Report. The Project Manager ensures that all activities for delivering program benefits and project
outputs are finalised. The identified Business Change Manager (NPPO’s representative) agrees to the responsibility
of realising the intended benefits of the project. The ESG use the closure report to guide continual capability improvement.
What tools and resources are available?
The Project Closure template (refer Appendix J) provides the structure of this document. The lessons learnt component will primarily be based on the collation of those lessons
included in the Status Reports that have been presented to the Governance committee (e.g. RPPO ePhyto working group) throughout the lifecycle of the project.
11.2 Post Implementation Review
The Post Implementation Review assesses the realised benefits compared to those identified during the Initiate stage. It also summarises any changes the Business has encountered because of the implementation of the project. This feedback contributes to the continual improvement of project delivery.
What is the process?
A register of all projects will initiate this review in accordance with established timeframes.
The review is undertaken by an independent person to those actually involved in the project.
The evaluator will interview the Sponsor, Project Manager, Project team members, Governance committee members (e.g. RPPO ePhyto working group) and other areas of the business involved in the project.
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RPPO reports key findings to the IPPC
What tools and resources are available?
The Post Implementation Review template (Appendix K) provides the structure of this document. ESG is available to provide technical advice about completing documentation and detailing lessons learnt.
11.3 Business Impact Review
This step evaluates the success of the implementation from a business change perspective. The key area of focus is on whether staff and clients were prepared for the change and were provided with the right information and support products – communications, training, updated work instructions, etc.
What is the process?
ESG liaises with the Business Change Owner (NPPO), business areas with responsibility to develop and deliver change implementation activities, and affected business areas to conduct the Business Impact Review
ESG conducts the review and documents the outcomes. ESG reports the outcomes to the IPPC. ESG incorporates the outcomes into the change management improvement log and
updates the improvement action plan This information is used for continual improvement of the Project Management business
