AACE Guidelines on Single Window Implementation 2013

7/29/2019 AACE Guidelines on Single Window Implementation 2013

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Tis guide has been drawn up under the supervision of Ibrahima Nour Eddine DIAGNE,Chairman of the African Alliance for e-Commerce (AACE).

Authors: AACE Task ForceAbdoullahi FAOUZI --- GUCE/Cameroon

Narcisse Aime Parfait MAYOULOU --- GUMAR/Republic of CongoJonathan OFORI --- GCNE/Ghana

Khadija Hmamou HADIZA --- CNCE/MoroccoAmadou Mbaye DIOP --- GAINDE 2000/Senegal

Contributors

Nogaye DIAGNE DIOP --- AACE

Mohamed DIOUF --- GAINDE 2000Daniel SARR --- GAINDE 2000

Mor alla DIOP --- GAINDE 2000Souaibou DIEDHIOU --- GAINDE 2000

Papa Abdou DIOP --- GAINDE 2000Assane SARR --- GAINDE 2000

Nabil BOUBRAHIMI --- Consultant/Morocco

Reviewer

Colonel Augustin NDIONE --- Consultant

TranslatorPapa Abdou DIOP --- GAINDE 2000


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Authors o this Guide wish to extend gratitude to the Arican rade Policy Centre

(APC) o the UN Economic Commission or Arica (UNECA) or its nancialsupport to the production and diusion o this Guide. APC has demonstrated a

steady support to the Arican Alliance or Electronic Commerce since its creation.

Te works have been enriched with the contribution o AACE ask Force

led by Mohamed BENAYAD, 2nd AACE Deputy Chairman and Chairman o

the Projects (CNCE/Morocco), with the note-worthy input o its members: Ms

Khadija Hmamou HADIZA (CNCE/Morocco), Abdoullahi FAOUZI (GUCE/

Cameroon), Narcisse Aime Parait MAYOULOU (GUMAR/ Republic o Congo),

Jonathan OFORI (GCNE/Ghana), Amadou Mbaye DIOP (GAINDE 2/

Senegal).

Our most sincere thanks to the dierent contributors o GAINDE 2 -Mouhamed DIOUF, Daniel SARR, Mor alla DIOP, Souaibou DIEDHIOU,

Papa Abdou DIOP, Assane SARR - who have helped nalize this document.

Comments rom the dierent reviewers are highly appreciated.

Te Alliance wishes to thank Ms Mareme DIAW, Augustin NDIONE

(Consultant/Senegal), Nabil BOUBRAHIMI (Consultant/Moroccoc) or

the quality assessment, Ms Nogaye Diagne DIOP (AACE Secretariat) or the

publishing o the Guide, and all those who have, by near or by ar, contributed to

the production o this Guide.

Acknowledgements


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AACE - Guide for Single Window implementation in Africa

TABLE OF CONTENTS

08 Preface

09 Foreword

10 Summary

12 AbbreviaonsandGlossary

13 Secon01#Context14 1. EconomicContext

14 2. StatutoryandInstuonalContext

15 3. TechnologicalContext

16 4. Objecves

17 Secon02#Denions,TypologyandReviewof

GoodPracces

18 1. Denions18 2. TypologyofSingleWindows:ModelsandArchitectures

18 2.1. SWModels

19 2.1.1. SingleWindowforClearanceFormalies

19 2.1.2. SingleWindowforLogiscsCoordinaon

19 2.1.3. SingleWindowforB2BTransacons

20 2.2. SWArchitectures

21 Secon03#PrerequisiteStrategicOrientaons22 1. InstuonalandOrganisaonalPrerequisites

22 1.1. SteeringoftheSWimplementaon

22 1.2. ManagementoftheSWOperaon

23 2. LegalandStatutoryPrerequisites

24 3. TechnologicalPrerequisites

24 4. InternaonalStandardsandNorms

24 5. DenionoftheBusinessModel

25 6. ThedierentSWBusinessModels


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25 6.1. TheNon-chargeModel

25 6.2. ThePPPModel

26 6.3. TheProt-makingModel

27 Secon04#PraccalImplementaonSteps

28 1. MobilisaonofStakeholders29 2. CommitmentofPublicAuthories

29 3. MobilisaonandProperUseofFinancialResources

29 4. EstablishmentoftheProjectTeam

30 5. EstablishmentofSteeringandProjectOwnershipBodies

31 6. Businessprocessesanalysisandreengineering

32 7. DenionoftheImplementaonStrategy

33 8. DevelopmentofSpecicaons

33 9. ProjectImplementaonandDeployment

33 9.1. ProjectScheduling

34 9.2. ChangeManagementStrategy34 9.3. ManagementofSpeciciesofPublicAgencies

35 9.4. ManagementofTransiontoLiveRunOperaon

37 Secon05#PerformanceEvaluaonandConsolidaon38 1. EvaluaonMechanisms

38 2. AvailabilityManagement

38 3. PerformanceManagement

38 4. Assistance,MonitoringandConsolidaonSystem

41 Annexes43 BestPraccesWorld-wide

46 InternaonalStandards

46 Technology

TABLE OF CONTENTS


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In spite o an intense crisis aecting most o the major drivers o global economy

and, weakening some paradigms hitherto viewed as essential development basics,Arica has paradoxically recorded a sizeable and increasing growth rate over

time.

In view o such reality acknowledged by all international bodies, Arica is

a continent ull o promises and endowed with real potentials that need to be

appropriately exploited in order to be among the emerging economies. All eorts

must be deployed towards preserving and stepping up this dynamic o growth as

long as possible.

However, it is imperious to undertake, in a radical way, some structuring and

innovative measures to denitely position Arica as a real hub o global economy.

Tats why some note-worthy initiatives like the ones undertaken by the AricanAlliance or E-Commerce (AACE) are to be quoted and supported with vigour

and constancy. AACE understands that:

rade has become a real development tool, owing to its cross-cutting impact

on all areas o economic activities ;

Regional integration through dynamic inter-Arican commercial exchanges is

an imperative ;

Te implementation o high value-added solutions thanks to Inormation and

Communication echnologies backed by an ecient knowledge transer is

one o the pillars o development;

Te irreversible option or good governance applies to any modern State as

a mode o management o public aairs with the involvement o the civil

society in all decision-making processes within an organized and dynamic

Public/Private Partnership;

A renewed opening up to the outside world, strengthened by the active quest

or new partners is a surety in attracting oreign investors and, an assurance o

the evolution and sustainability o existing development policies, etc.

UNECA and APC wholeheartedly share these certainties that they advocate

and keep promoting throughout the continent.

For these reasons, UNECA and APC rearm their commitment to

accompany and support AACE in all its actions and, expect to initiate an

exemplary ramework or intense and large-scale collaboration to the legitimate

benet o all categories o stakeholders o Arican trade.

UNECA/ATPC

Preface


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Foreword

One o the Alliances key

objectives is to oster collaborationamong national Single Windows

operated in Arica with the

view to avouring the sharing o

experiences, progressively setting

up an Arican capacity in terms

o Single Windows and, carrying

out pilot projects to acilitate

cross-border movement o goods.

All these actions are very likely to

culminate in the establishment o

a Regional Single Window that

will ederate all Single Windows

operational at national level.

Tis Guide or the

implementation o Single

Windows in Arica is a technical

and intellectual contribution o

Arica to the concept o Single

Windows or trade. It does not

exclusively ocus on the Arican

environment. It is made available

to all organizations in dierentregions o the world as a tool

to help build a SW vision and

undertake the implementation

thereo.

Based on its simplicity, value

approach and, the richness o

the experiences, this guide shows

itsel as an ecient, pragmatic

and, evolution-prone tool

intended or all governmental

decision-makers willing to

implement a Single Window

destined to economic operators.

For this purpose, I hereby invite

all AACE member states to spare

no eort in the promotion o this

document in all relevant national,

regional and, international bodies

where they are represented.

In view o the quality o the work

done, I would like to express myheartelt satisaction and thanks

to those who have contributed to

its preparation.

On behal o the Arican Alliance

or Electronic Commerce, I

would like to thank and express

my most sincere gratitude to

UNECA and APC authorities

or appropriating AACE vision

and ambitions and or their

unailing support.

Ibrahima Nour Eddine DIAGNE

ChairmanoftheAfrican

AllianceforElectronic

Commerce


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10 AACE - Guide for Single Window implementation in Africa

By producing this Guide with the nancial

support o APC/UNECA, the Alliance gives aconcrete expression o its commitment to designing

and developing a reerence ramework or the

establishment o Single Windows intended or

economic operators o all regions o the world,

the ultimate objective being to strengthen the

competitiveness o Arican enterprises, step up the

level o inter-Arican trade and oster an accelerated

integration into global markets.

Tis approach seeks to support Arican and non-

Arican countries willing to establish or upgradea Single Window built on the basic principles

o simplication, acilitation, celerity, security,

transparency and protability in the management

and processing o oreign trade-related operations.

Tis Guide is mainly structured around ve (5)

complementary sections.

Le prsent guide sarticule principalement autour de

5 parties complmentaires :

The rst secon entitled Context takes stocko the economic, statutory, institutional and,

technological rameworks regarding Single Window

implementation. It also deals with the objective o the

Guide which is to enable Governments, donors and,

stakeholders to have a practical idea on the conditions

necessary or the establishment and operation o a

Single Window likely to meet its intrinsic vocation

which is to reduce trade-related costs and time.

The second secon tackles the denitions,

typology and review o good practices in terms oSingle Windows. It represents an opportunity to

propose another denition complementing the

one ormulated under Recommendation 33 o

UNCEFAC. Te AACE denition is ormulated as

ollows: Te Single Window or trade is a national

or regional system mainly built on a computer

platorm initiated by a Government or an ad hoc

entity to acilitate the perormance o import,

export or transit-related ormalities, by oering a

single point o submission o standardized data and

documents in a bid to ull ocial requirements andacilitate logistics.

Te three models o Single Windows are also

addressed: Single Window or clearance ormalities(2.1.1), Single Window or logistics coordination

(2.1.2), and Single Window or B2B transactions

(2.1.3).

The third secon deals with the prerequisite

strategic options on the institutional, organizational,

legal, statutory and technological ronts and also,

the dierent business models, with public/private

partnership being the most common option. On the

legal ront, two models have been noted:

Single Window without electronic signature:

in this case, the SW is a platorm ensuring the

automation o processes and exchanges o data

with no need to change the legal ramework as an

imperative rom project onset;

Single Window with electronic signature: in

this case, the SW accommodates paperless

procedures with electronic documents replacing

paper-based documents, hence the need to have

a legal ramework governing this new document

ormat.

Thelasttwosecons deal respectively with the

dierent implementation practices and perormance

evaluation and, the consolidation o Single Windows.

Reaching the widest possible consensus around

a SW project with the mobilization o all parties

represents a critical stage. Te assessment model o

the level o stakeholders commitment or the success

o the project enables to address all the possible cases.

Beyond such a consensus, the contribution o public

authorities at the highest level o the Governmentis undamental. It is also essential to develop a set

o tools and indicators to acilitate the monitoring

o the SW perormance and propose areas o

improvement.

In a nutshell, this analysis seeks to lay down:

A legal ramework;

A methodological approach;

echnological guidelines and detailed

technical orientations;

Summary


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11

A minimal institutional ramework;

Well-thought business models.

In spite o the meticulousness o its approach and the

oten peremptory opinions developed on some issues

deemed strategic, this Guide is aimed at being a

ramework open to orientations and assistance in the

establishment o Single Windows or trade. Owing to

the dynamic nature o the analysis developed herein,

the multiplicity and diversity o the experiences that

have inspired its production and, the international

impact o the standards and norms based on whichit has been developed, the Guide is a precious tool

or decision-makers particularly those in Arica

willing to establish a Single Window in the optimal

conditions o success.

With its evolving character, the Guide remains

open to any constructive critique, observation and,

enrichment in short to any contribution likely to

optimize it, both in its orm and content.

SUMMARY


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AACE AfricanAllianceforElectronicCommerce

ATPC AfricanTradePolicyCenterBI BusinessIntelligence

BOT BuildOperateTransfer

DMZ DemilitarizedZone

DNS DomainNameSystem

EAI EnterpriseApplicaonIntegraon

FC FibreChannel

FTP FileTransfertProcol

ICT InformaonandCommunicaonTechnology

IP InternetProtocol

IS InformaonSystem

ISCSI InternetSmallComputerSystemInterface

LTO LinearTapeOpen

MSMQ MicrosoMessageQueuing

NSW NaonalSingleWindow

NICT NewInformaonandCommunicaonTechnologies

WCO WorldCustomsOrganizaon

PKI PublicKeyInfrastructure

PPP PublicPrivatePartnership

RSW RegionalSingleWindow

SAN StorageAreaNetwork

Sentranet

SPONSOR Fromtheoriginsoftheterm,asponsorisaphysicalpersonorcorporatebodythat

providesmaterialornancialsupport.Aspartofaproject,thesponsorbrings

funding,supervisestheworksofexpertsand,validatesthedecisions,arbitraons

andopons.

SW SingleWindow

WAEMU WestAfricanEconomicandMonetaryUnion

UNCEFACT UNCentreforTradeFacilitaonandElectronicBusiness

VPN VirtualPrivateNetwork

VTL VirtualTapeLibrary

XML ExtensibleMarkupLanguage

AbbreviationsandGlossary


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1

Secon01#Context


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1#

1.EconomicContext

International trade is the driving orce o global

economy. Its growth ollows the trends o economic

indicators. Behind this almost linear alignment

conceals a proound transormation that gives a moreand more predominant role to emerging economies.

Te costs reduction logic essentially osters the

emergence o new hubs o international commerce.

However, countries o the South are experiencing

an upward demand and are characterized by a vivid

capacity o technological appropriation and eective

innovation.

Concretely, a prosperous commerce builds on the

main actors below:

Te Market: Finding outlets;

echnology and labour orce: Producing quality

at low cost;

Logistics and ormalities: Ensuring swit and

reliable shipment at low cost.

Te concept o Single Window or trade nds its

importance in the search or optimized logistics

and trade-related ormalities. It is signicant thatthe development o this modality is now the main

concern o economies that bank on an exponential

growth o trade.

2.StatutoryandInstitutional

Context

Tere is no universal statutory and institutional

ramework proper, which governs Single Window

operation. Measures are undertaken at national, at

times bilateral or regional level. In act, the prime

vocation o a Single Window or trade is to oer a

platorm or trade acilitation and high-perormance

logistics within national rontiers.

However, the international character o trade has

brought out some unctional requirements that

go beyond the national context. o address these

requirements, Single Windows have rst appropriated

the pre-existing standardization instruments and

tools, mainly UNCEFAC and WCO papers oninternational logistics and customs operations during

the last our decades. But, the specic needs peculiar

to Single Windows or trade have aroused a rising

interest. Tese include the notion o technological

interoperability amongst platorms and the

recognition by the country o destination o online

ormalities perormed in the country o origin.

Currently, there isnt any universal approach as ar

as practices are concerned. Tis is explained on the

one hand, by the electronic Single Window map

that does not match the international trade fow

map and, on the other hand, by the non-existence

o a ormal institutional ramework to structure and

standardize Single Window practices. Te ambition

to set up such an institutional ramework is present

notably in Asia (see box 1) and in Arica (see boxes

2 and 3) but, there are some diculties relative to

the diverse nature o Single Windows and their

operation mode.

It is worth noting that some essential issues such as

the recognition o digital signature and the standard

ormats or the exchanges o documents and data,

are denitely addressed and the related technical

and operational recommendations are regularly

published.

In short, we can arm that at the international level,

the statutory and institutional environment is in the

making. Tere is a sound reerence basis likely to

enable countries to set up a avourable environment

o Single Window by appropriating emerging

practices.

Box 1

The Pan-Asian E-Commerce (PAA) was founded in July

2000. PAA is composed of twelve members and aims

to promote and provide secure, trusted, reliable and

value-adding IT infrastructure and facilities to enhance

seamless trade globally.

http://www.paa.net/PaaPortal/PaaContent/About.htm


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1

01#

CONTEXT

3.TechnologicalContext

Te combined use o telecommunications and

Inormation echnologies over the last decades o the

2th century has acilitated the creation o interesting

components conducive or the production o multi-unction tools. Tis combination acilitates the

denition o the concept o IC (Inormation and

Communication echnologies).

Te advent o micro-computing, network

inrastructure (Intranet/Extranet, Internet),

virtualization, storage and, archiving solutions have

ostered the interconnection, mutualisation and,

consolidation o inormation systems.

Te notions o Inormation and Communication

echnologies (IC) encompass the techniques used

in the processing and transmission o inormation,

Internet and, telecommunications.

In many countries, elecom operators have invested

in innovative technologies to propose services toenterprises with higher capacity at lower price and

exponential level o perormance and security.

Te last ew years were marked by the emergence

o a new concept dubbed cloud computing. For

many users, this concept implies a thorough change

o business model. Instead o acquiring at very

high prices some hardware (servers, sotware, etc.)

not used to the ull o their potentials, these users

now outsource or entrust to other companies their

I services that are accessible through high-debitelecom links via a web interace.

Box 2

The African Alliance for Electronic Commerce (AACE)

is meant to be a framework of exchanges and sharing

about trade facilitation. It groups 12 member countries

and seeks to promote the SW concept, in compliancewith recommendations of international institutions. One

of the Alliances key projects is the establishment of a

Regional Single Window that will interconnect all national

platforms (NSW) with the view to smoothening trade and

enabling African countries to be more competitive on the

global market.

http://www.aace-africa.net/

Box 3

The Regional Single Window (RSW) of WAEMU

The concept of Regional Single Window has not been

defined properly by the different international bodies.

It can be defined as a Single Window federating national

Single Windows operational in a given region to facilitate

cross-border and international transactions and, pool the

relevant resources and skills. The Regional Single Window

should not be considered to be an entity but rather a data

exchange facility and a framework for the adoption and,

implementation of international standards in the matter.

The WAEMU Regional Single Window Project sprang up

from the meeting of the Council of Trade Ministers held

in Dakar, Senegal in 2006 and which recognized that the

establishment of SW Systems can efficiently contribute to

the removal of obstacles hindering trade.

The RSW will be built on a simple organizational model.

National Single Windows will exchange data among them via

the Regional platform. Then, each NSW is responsible for the

exchanges with its local users. Thus, it will not be possible

for a customs administration or economic operator to

directly connect to the RSW, except otherwise authorizedby the national Single Window. Moreover, the Regional SW

can be developed and hosted ad hoc, or simply derive

from one of its members that has the technical capacity

to offer services to the others.

The following diagram describes the organisation of the

WAEMU RSW:

Benin Burkina-Faso

CotedIvoire

GuineaBissau

MaliNiger

Rep. ofSenegal

Rep. ofTogo REGIONAL

SINGLE WINDOW


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1#

4.Objectives

Tere are many publications and recommendations

on Single Windows including the renowned

Recommendation 331 published by UNCEFAC

and which has served as a ramework or severalgovernments in their SW implementation projects.

Ater more than a decade o SW development,

particularly in Arica and in Asia, there is a new

knowledge base that makes it possible to better

understand the actors o success and ailure.

Produced under the aegis o AACE and with the

support o APC which has backed the publishing

thereo, this Guide is aimed at serving as an ecient

and universal instrument or the implementation o

Single Windows or trade. It is essentially built onArican experiences but also drew on all SW practices

world-wide.

Te Guide seeks to acilitate the construction

o a vision by Governments and stakeholders by

laying down elements o scope denition or the

implementation. Te recommendations ormulated

herein are not applicable in all contexts and all at

once. Te objective targeted through the production

o this Guide is to enable Governments, donors

and stakeholders to have a practical idea on the

conditions necessary or the implementation and

operation o a Single Window that ulls its intrinsic

vocation which is to reduce trade-related costs and

processing time.

Tis guide is rather practical than dogmatic. Its

implementation oten bumps into complex elements

that require contextual adaptations that such a Guide

cannot anticipate.

Te classic Project Management approaches, rom

the identication phase to the evaluation, are not

addressed in this Guide.

1 Recommendation 33: Guide published by theUN Centre or rade Facilitation and Electronic Business(UNCEFAC), ECE/RADE/352, July 25-Geneva


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1

Secon02#Definitions, Typology andReview of Good Practices


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2#

1.Definitions

It would be tting to go back to the primary denition

o Recommendation 33 and other subsequent

denitions and, to see what needs to be completed or

better articulated in the context o reality in 213.

According to the Recommendation 33 published

in 25: Te Single Window is a acility that

allows parties involved in trade and transport to

lodge standardized inormation and documents

with a single entry point to ull all import, export

and transit-related regulatory requirements .

Tis denition which has become canonical, is a

strong one in light o its opening and propensity

to accommodate whatever is related to the issue. In

213, it is useul to reconsider this denition based

on the reality on the ground. oday, a denition o

the concept o Single Window or trade must include

the ollowing precisions:

What is a Single Window?

What does a Single Window cover?

Who implements the SW and whom is it

intended to?

By seeking to bring out a practical answer to thesequestions and by attempting to better present

the concept, the Alliance proposes the ollowing

ormulation to dene a Single Window:

Tis denition conserves the main lines o the one

ormulated under Recommendation 33, adding

however that a SW is a system built around a

computer platorm and indicating that the initiator is

the governmental authority or an ad hoc authority in

a national or regional context. In addition to ocial

ormalities, this denition integrates acilitation o

logistics.

Tis ormulation is the basic denition recommended

by AACE. It will be proposed and discussed with all

international bodies to be considered among the

reerence denitions o the SW concept.

2.TypologyofSingleWindows:

Models and Architectures

Ater the stage o denition o the SW model comes

the concrete implementation phase. oday, there are

several types o Single Windows accommodating

dierent unctions that are distinct, similar or

complementary. It is not rare to see in one country

several entities that dene themselves as Single

Windows, operate in a coherent ramework notably

when this derives rom a strategic approach. But

more oten, SW initiatives are operated in a non-coordinated manner against the backdrop o hidden

rivalry among administrative bodies with results that

are unproductive or the country.

On the other hand, operation architectures are oten

dependent on power relations and can be heavy,

costly and, non ecient.

2.1.SWModels

Tis Guide deals with the issue related to the typology

o Single Windows by laying emphasis on the needor each country to always ensure consistency and

coordination o SW operations.

Based on observation and the analysis o Single

Windows existing world-wide, there are three (3)

categories o Single Windows:

Single Windows or clearance ormalities;

Single Windows or logistics coordination;

Single Windows or B2B transactions.

Tese three categories seem distinct but they

can integrate perectly to one another. Teir

implementation can be handled either by the

same authority or by dierent entities. In any case,

coordination o the operations is essential. In case o

a sole authority, it is highly recommended to establish

a gradual approach with a maturation time likely to

oster the in-depth appropriation o all components

o the system.

The Single Window for trade is a national or regional

system mainly built on a computer platform initiated

by a Government or an ad hoc entity to facilitate the

performance of import, export or transit-related

formalities, by offering a single point of submission

of standardized data and documents in a bid to fulfil

official requirements and facilitate logistics.AACE 2013


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1

02#

DEFINITIONS, TYPOLOGY AND REVIEW OF GOOD PRACTICES

2.1.1.SingleWindowforClearance

Formalies

See Table 01

2.1.2.SingleWindowforLogiscs

Coordinaon

See Table 02

2.1.3.SingleWindowforB2BTransacons

See Table 03

Key stakeholders:CustomsPrivateprofessionalsGovernmentagencies

Table 01 Single Window for Clearance Formalities

Description: The Single Window for clearance formalities is the form that matches most the definition of Recommendation 33and AACE. Its implementation is also the most complex, as it requires the trust and collaboration of several entities that are notunder the same authority, that do not carry out the same business and, that most often have divergent interests. This SingleWindow interconnects around a single or integrated platform, all parties involved in pre-clearance, clearance and post-clearanceformalities.

Scope:ImportExportTransitOther regimes

Main functions:Request for authorisations or permitsRouting of permits/authorisations tocustomsElectronic payment of customs duties andtaxesOnline monitoring of the processing

Areas where applicable: allfrontiersPortsAirportsLand borders (road, river andrailway)Others (postal, economic zone)

Results:

Conditions of success:High level governmental leadershipConsensual approachStrong involvement of customsAppropriation by users

Risks to handle:Leadership rivalryHigh costs of the servicesLow impact on the processing time (notion of involvement orcommitment)Ineffective change managementDuality of manual and electronic systems

Drastic reduction of processing time Marked reduction of formalities indirect costs

Table 02 Single Window for Logistics Coordination

Description: This type of Single Window concerns logistics mainly in port operations. It focuses on the swiftness and reliabilityof logistics from the announcement of vessels arrivals to the physical delivery of the goods to the consignees. Several Europeanports have embarked on the Single Window dynamic through the use of such a system also known as Cargo Community Systemor Port Community-based System. Its impact on logistics is all the stronger as the volumes are huge, the infrastructure availableand stakeholders endowed with appropriate facilities. Thus, this tool is rather intended for big ports even though some of itscomponents can have a positive impact on ports of a lesser size.

Scope:Logistics(transport,offloading,storage, deliveryetc.)

Main functions:

Data exchanges amongst various partiesinvolved in logisticsFacilitation of transactionsElectronic payment of logistics feesElectronic monitoring of the processing

Areas where applicable:Port stakeholdersAirport stakeholdersLogistics professionalsCustoms

Key stakeholders:Port stakeholdersAirport stakeholdersLogistics professionalsCustoms

Results:

Conditions of success:Consensual approachFavourable predisposition of logistics stakeholdersUpgrade of the environment to maximize the potential

Appropriation by users

Risks to handle:High costs of servicesLow impact on the processing time (notion of involvement orcommitment)

Ineffective change managementDuality of manual and electronic systems

Improved performance of logistics in termsof processing time and reliability

Drastic reduction of indirect costs etc.


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2#

Table 03 Single Window for B2B Transactions

Description: This is the less common form of Single Window. It has actually gained acceptance owing to the business aspect inthe logistics chain. This business aspect relates to the letter of credit and the order of logistics services. The Single Window forB2B transactions is more often used as a complement to the two previous models, than in standalone mode. Actually, it is difficultto envisage operating it in a context deprived of any platform of service federating trade stakeholders. Therefore, its about a

platform facilitating the conduct of commercial transactions related to international trade. Some of these transactions 2 can havea mandatory character in some countries 3 while the bulk of them are free.

Scope:ImportExport

Main functions:Opening of letter of credit or documentaryremittanceService offerPurchase of logistics servicesOther B2B services

Areas where

applicable:Without restriction

Key stakeholders:BanksInsurance companiesClearing agentsLogistics stakeholdersEconomic operators

Results:

Conditions of success:Existence of a SW

Strong motivation of B2B partiesTechnical, legal, and professional predispositions ofstakeholdersetc.

Risks to handle:High costs of services

Low impact on the processing time (notion of involvement orcommitment)Ineffective change managementDuality of manual and electronic systems

Strengthened efficiency, swiftness and reliability of the logistics chain

2.2.SWArchitecture

Due to the rapid evolution o technologies during the

last decade and the exponential rise in the possibilities

o exchange and storage, it is not recommended to

build a SW architecture based on constraints o the

existing environment or pre-existing solution. It is

highly recommended to have an open architectural

vision geared to the uture. Te main questions to

ask are the ollowing:

How can we ensure interconnection with customs

and entities having autonomous systems?

How can we exchange with partners not having

computer systems?

o what extent can we consider automated

exchanges to have good results?

How can we compensate or the absence, the poorquality or the high costs o elecom links?

How can we ensure continuity o the service?

Tere are no universally relevant responses or any o

these questions. In each country, the technological

and legal contexts, the nancial means and the

relations o power determine the most adapted type

o architecture.

2 Te term commercial transaction reers topayable services or which the client has the reedom tochoose the service provider, the latitude to negotiate and,decide on the orm o the service.

3 Te resort to clearing agents and the subscriptionto a local insurance policy at imports are mandatorytransactions in some countries, notably in Arica.


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Secon03#Prerequisite StrategicOrientations


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1. Institutional and

OrganisationalPrerequisites

Reaching a consensus is an essential condition or

the success o a project. Such a consensus might be

dicult to reach given the multiplicity o stakeholders

reporting to dierent Authorities or Ministries.

1.1.SteeringoftheSW

implementationIn the implementation o a SW project, the ollowing

situations are generally encountered in terms oleadership: See Table 04.

Experiences have shown that the level o involvement

o these authorities is very important and is oten

a decisive actor in the success o the project

implementation.

A Single Window requires close and intelligent

cooperation amongst all public and private

authorities and administrative bodies participating

in the improvement o the clearance chain in a bid

to oster acilitation in the business circles.

1.2.ManagementoftheSW

OperationOn the organisational and operational ront, a

Single Window requires the existence o an entity

in charge o operating the platorm and the services

oered. Tis responsibility must be vested in an

autonomous management body that is assigned

clear-cut missions.

TheestablishmentofaSingleWindowrequiresthevalidaonofmajorstrategicchoices.These

choicesarekeyelementsconduciveforthesuccessoftheproject.

Table 04

N

1 High Government level Office of the Head of Stateor Prime Minister

hoc bodies

When a SW Project is steered under the leadership of thePresident of the Republic or the Prime Minister, adherence of

public administrative bodies is almost guaranteed.

STEERING LEVEL SW LEADER COMMENTS

2 Ministerial level Ministry of Finance The Ministry of F inance to which customs repor t, is thedepartment most likely to ensure the steering of a SW Project.

Ministry of Commerce The vision of a high-performance trade without constraints ismore often built at the Ministry in charge of Commerce.

Ministry of Transports When the Single Window is oriented to port logistics, this Ministrycan be on the forefront in the implementation.

3 Public Administration orad hoc Entity

Customs, Port,

Department in charge oftrade, other ad hoc bodies

When an administrative body is on the forefront, there is a highrisk of low adherence by other administrative entities.

Steering of the SW implementation

Te management o a Single Window by an

autonomous entity makes it possible to better ocus

on the activities proper and the operation o the

platorm, both operationally and technologically.

Te most appropriate time to create or appoint

the management entity varies rom one context to

another and is dependent on the capacity o the SW

implementation champion.

Te ollowing table presents the advantages and

drawbacks o each approach:

See Table 05.


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03#

PREREQUISITE STRATEGIC ORIENTATIONS

2.LegalandStatutory

Prerequisites

Te legal and statutory ramework encompasses

all the laws, decrees, rulings, conventions and

memorandums likely to govern the procedures to be

applied as part o trade-related operations.

Depending on the induced operational changes,

requirements o the statutory ramework can bemore or less high. Basically, the Single Window can

operate based on two dierent legal models:

Model 1: Single Window operations without

electronic signature (the SW being a platorm or

automated processes and data exchanges);

Model 2: Single Window operations with

electronic signature (the SW accommodates

paperless procedures).

In the case o Model 1, it is not necessary to change

the legal ramework at the beginning o the project.

For example, most o the customs management

systems have been established in many countries

without any need to change the law. What is

necessary in this case is that stakeholders should

agree to receive requests lodged electronically and

process them online. Customs can be connected

to the SW platorm and receive the authorizations/

permits without signature.

However, in the case o Model 2, the electronicdocuments replace the paper-based document.

It is thereore necessary to have a legal ramework

governing this new document ormat. It is also

necessary to have in place the right inrastructure

likely to accommodate electronic signature and

archiving. Tese laws might exist as they are not

specic to Single Windows only, but pertain to all

electronic transactions.

In the case o a Single Window integrating paperless

ormalities, it might be necessary to enact thelaws listed below to sustain the new operational

procedures. Tese laws are:

Law on the protection o personal data;

Law on electronic transactions;

Law on cybercrime;

Law on cryptography.

Besides, the act o one country belonging to a given

Economic Community can also cause restrictionsthat have to be considered as constraints or the

application o some rules.

As to the international documents, their validity

beyond the national rontiers can be challenged

because o the non-recognition o electronic

documents or the electronic signature in the country

o destination.

Lastly, the strong involvement at the highest level o

the Government, as mentioned above, is essential to

enact laws, rules and memorandums that will govern

the new SW procedures.

Table 05

Case I: Establishment of the

entity at the onset of the

project phase

The resources are associated early to theproject implementation activities.Progressive integration of stakeholders.

Poor planning of activities likely tocause a floating of these resources. Inaddition, the profiles of the staff mightnot be well defined.

Advantages Drawbacks

Case II: Establishment of

the entity during project

implementation

The SW operator starts defining the modes ofoperation.The resources are operationally involved inthe planning of activities.

An early recruitment of themanagement team members cangenerate additional costs withoutoperation.

Case III: Establishment of

the entity at the end of the

project and at the beginning

of the operation

Assurance to have the right profiles andlimitation of start-up costs.

Operation teams do not have a properunderstanding of SW operations.The training of operating officers andassistance team is longer.

Advantages and drawbacks of each approach

Approach


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3.TechnologicalPrerequisites

Tere is no preset standard technology-wise. Actually,

the big editors o customs management sotware and

Single Window systems have each a technological

orientation hinged on the technical strategy o thecompany.

However, it is worth noting the need or an

interoperability4 o the applications but also or the

standardization o the inormation to be exchanged.

When dierent administrative bodies issue permits

and authorizations, the latter must integrate

security components that are essential in an online

environment.

A well-carried out easibility study will make it

possible to identiy the strengths and weaknesses

o the countrys technological environment. Te

dierent SW experiences show that there is oten

a major gap between the needs initially identied

in terms o inrastructure and the requirements o

implementation on the ground.

Te establishment o technological prerequisites must

be the subject o a thorough nancial evaluation. In

act, the technological upgrade absorbs a sizeablepart o the project budget but acilitates a proper

assessment o the level o automation o each o the

administrative bodies concerned.

Ideally, administrative agencies and stakeholders

might have a minimal level o automated acilities

in order to receive and process online the requests

or authorizations submitted by economic operators.

However, this could not in any case be a brake to the

Project.

Te Single Window might integrate the principle

o accommodating all the unctions necessary or

these administrative agencies as well as the technical

hardware with the view to a global perormance o

the system and a better technical integration among

stakeholders.

Like the legal and statutory prerequisites, when the

SW integrates paperless procedures, the ollowing

technological components are signicant:

Electronic signature;

Electronic archiving o documents;

Integration o some key standards and norms

(UNCEFAC, WCO Data Model).

In a paperless trade context, we talk about

electronically native document. An electronic

document must integrate the ollowing attributes:

Sustainability;

Integrity;

Security;

raceability;

Legibility;

Imputability or authentication o the author.

4.InternationalStandardsand

Norms

It is important to note that the integration o

standards is a strong recommendation but does not

represent an essential technological prerequisite

5.DefinitionoftheBusiness

Model

A SW Project basically seeks to bring a major

innovation in the trade environment that must be

transormed into an economic value. Te SW covers

a complex ecosystem bringing on board public and

private agencies with economic logics that are oten

dierent. It is worth articulating at the beginning

o the project, on the option o business model, the

acceptance o which by all parties, might represent astrong ederating stand that makes it possible to march

towards the attainment o the objectives assigned to

the Project. Tis decision will then determine the

choices as to the unding o the project, the strategy

or the management o operation-related charges

and then, the transormation o the created value

into income in order to ensure the sustainability o

the SW operation.

In other words, its about clearly dening the

ollowing aspects:

4 Capacity to exchange data or inormationbetween two heterogeneous applications.


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03#

PREREQUISITE STRATEGIC ORIENTATIONS

Te value created by the project: Te SW

must help meet the expressed needs or bring

about innovations to step up the oreign trade

environment. In any case, its about generating

value or stakeholders and users o trade-related

ormalities;

Sources o unding or the project: Tese include

donors, the private sector, the Government or the

ruit o PPP;

Te projects implementation budget: Tis

must be the subject o a proper estimate, which

will help avoid an inadequacy o resources or the

proper execution o the project and the starting o

the operation thereo;

Prices applied to benet rom the services:Tese shall be set in a way to cover all operation

charges and, guarantee the upgradability o the

system.

6.ThedifferentSWBusiness

Models

Te business models or Single Windows are

heavily dependent on the initial conditions in the

host environment (political, economic, social and

technological conditions) but also on a properidentication and management o the prerequisites

at project onset.

A thorough estimate o the SW implementation

costs is imperative. Tis will be based on an

inclusive approach targeting all stakeholders or

an accurate identication o the needs in terms o

inrastructure, hardware, human resources, training,

communication, etc.

Te aim is to have a model likely to ensure

equilibrium in the unding o the three sequences o

the project: implementation, operation and upgrade

o the Single Window.

On the whole, three business models have been

identied:

Non-charge model;

Balance models (PPP);

Prot-making model.

6.1. The Non-charge ModelTis model is applied in cases where the unding

or the implementation, operation and evolution

o the Single Window is entirely provided by the

Government or secured rom donors.

What motivates a Government to provide unding

or the dierent stages o a SW Project is the resolve

to improve the business environment through the

acilitation o trade-related ormalities and the proper

management o the Single Window (e.g.: Finland,Republic of Korea, Sweden, U.S.A., Macedonia,

Azerbaijan, Philippines, Tunisia5).

Te major risk in a strong involvement o a

Government in the unding o all stages o a SW

Project lies in the possible absence o adequate

resources to ensure its upgradability particularly in

developing countries and Least Developed Countries

(LDCs). Tis situation can adversely impact the

perormances o the Single Window and hence, the

option to associate the private sector and donors canbe envisaged.

Very oten, donors support the implementation

o the Single Window and, the Government takes

over to provide unding or its operation. However,

donors can come on board ultimately to support the

SW upgradability needs.

6.2.ThePPPModelTis model concerns mainly the Single Windows

implemented as part o a PPP that brings on board

the Government and the private sector. Tis PPPmodel is limited to the management and steering o

the project. Te logic o stepping up the competitive

oreign trade environment is at the heart o this

mutually benecial partnership (e.g.: Ghana, Hong

Kong, Japan, Malaysia, Mauritius, Senegal, Singapore,

Cameroon, Morocco, Congo, etc.).

Generally, SW services established under PPP

are payable. But the taris are oten negotiated or

approved (Senegal), the objective being to ensure

equilibrium in the operation. In some cases, the use

o the SW is optional (Germany, Hong Kong, Japan,

Malaysia, Sweden, U.S.A., Republic of Korea), whereas

in other countries, it is mandatory(Finland, Ghana,

Guatemala, Mauritius, Republic of Korea, Senegal).

Te PPP model presents the advantage o being

complementary to the other types o unding

available as it gives the latitude to call on to the

Government or donors, i need be, depending on the

opportunities or the context.

5 aken rom Part 1 : UN/CEFAC SingleWindow Repository 29


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6.3.TheProfit-makingModelWhen the private sector provides unding or the

dierent stages o the SW Project (e.g.: Germany,

Guatemala), it integrates its prime motivation which

is the quest or prot, hence the option to oer

payable services.

Tus, the prot-making logic can result in high costs

o the services oered through the SW. o avoid this,

the Government must ensure the quality/cost balance

in the SW operation by providing grants i need be,

but also by mobilizing donors to provide unding or

SW investment and upgrade programme.

Te SW business models are synthesised as ollows:

See Table 06.

Table 06 SW Business Models

Non-charge model Donors Government

FUNDING OF THE

IMPLEMENTATION

Profit-making model Private sector Ad hoc entity

PPP model Donors/Government Ad hoc entity

BUSINESS MODELS FUNDING FOR THE

OPERATION

Donors/Government

FUNDING FOR UPGRADES

Ad hoc entity

Ad hoc entity

Government Government Government


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Secon04#Practical ImplementationSteps


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1.MobilisationofStakeholders

Stakeholders, those in the public sphere in

particular, generally nd it dicult to accept any

evolution o operational procedures, even i the

said evolution is likely to step up the eciencyo their daily operations. On the whole, private

stakeholders (Banks, Insurance companies) are not

resistant as they do identiy quickly the operational

and economic benet o such an evolution like the

implementation o a Single Window. Te diculty

lies in public stakeholders and, it is recommended

to properly unveil the stakes o the SW project to

all parties in a bid to reach consensus and proper

appropriation.

o this end, it is important to conduct an objective

analysis o the level o stakeholders commitment allalong the project with the view to dening a strategy

or the mobilization o all.

See Table 07

In a bid to have all guarantees o success o a SWproject, it is essential to athom, on a permanent

basis, the level o commitment o stakeholders. Tis

level must ideally remain all along the project, in

the green section o the table above, i we want to

gather all the conditions o success. Actually, a Single

Window is usually perceived by stakeholders as

simply prompting a loss o infuence and control in

the daily operations, to the benet o other entities.

In a bid to step up the level o mobilization, it is

important to communicate regularly on the project

by highlighting the tangible and quantiable gainsand, the uture roles devolved on each party in the

new system.

In addition, integrating stakeholders in the project

cycle is a good practice that helps anticipate and

mitigate the risks and problems that might spring up

and, maintain a high level o commitment.

However, i this approach appears to be inadequate

ater many attempts, the resort to the Governmental

authority or arbitration might be necessary.

Table 07 Model of evaluation of the level of stakeholders commitment for the success of the project

4- Total commitment Optimal Optimal

PROJECT

SPONSORS

2- Understanding of the project

with low mobilisation

Fair Insufficient

1- Awareness of the project

stakeswithout due interest

InsufficientCritical

LEVEL OF COMMITMENT PROJECT

TEAM

Optimal

STAKEHOLDERS

FOCAL POINT

Fair

Insufficient

Satisfactory Satisfactory Satisfactory

Optimal

END

USERS

Satisfactory

Fair

Satisfactory

Critical Critical Critical Insufficient

3- Adherence to the project with

a constructive attitude

0- Rejection of the project

1- Awareness of the project stakes without due

interest: Understanding of the project and its impacts

but without a manifested refusal to be involved.

0- Rejection of the project: Refusal to adhere to the

Single Window and to collaborate with the Project

Team.

4- Total commitment: Wholehearted appropriation of the project and

proactive participation in the works.

3- Adherence to the project with a constructive attitude: Faith in the

project and availability to contribute to the works.

2- Understanding of the project with low mobilisation: Proper

understanding of the project, but not coupled with a strong involvement.

Caption:


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2

04#

PRACTICAL IMPLEMENTATION STEPS

2.CommitmentofPublic

Authorities

Te commitment o decision-makers at the highest

level o the Government is a key actor o success in a

Single Window Project. In act, it is suitable that the

main sponsor o the project be a senior ocial o the

public administration.

In a bid to ensure a proper appropriation o the

project and a wholehearted commitment o public

authorities, it is essential to demonstrate the Single

Windows added value. Te ollowing benets can

enrich the arguments:

Improvement o interactions amongst the agencies

involved;Strengthened reliability o the inormation

diused by the administrative bodies;

Celerity in public service delivery ;

Reduction o human and nancial costs related to

trade procedures;

Redirection o human resources thanks to the

reduction o costs or redeployment towards

activities with a higher added value;

Reduction o corruption thanks to transparencyon transactions ;

Secured revenue collection i a payment system is

integrated ;

Overall improvement o the business environment,

its impact or the country in international

rankings and, the political gains resulting rom

these rankings.

Actually, the contribution o public authorities at

the highest level is crucial. During the deploymentphase, it can be decisive to:

Make available the most qualied human

resources to integrate the Project eam;

Mitigate and, even eliminate the resistance to

change maniested by some stakeholders ;

Ensure a large-scale communication during the

deployment phase ;

Handle the pressure relative to the teething

problems inherent in the deployment o any

Single Window system.

3.MobilisationandProperUse

ofFinancialResources

Te establishment o a Single Window requires

rom initiating countries a precise indication on

the nancial resources necessary to und the project

and, this should be perormed ahead o the project

implementation. It is important to conduct a

easibility study that will help have a clear idea on the

possible solutions, assess them to come up with the

most suitable solution and, estimate the resources to

be mobilized and the expected spin-os.

Moreover, the nancial resources are mobilized rom

key parties included donors, the Government and/

or the private sector notably under a Public/PrivatePartnership.

It is important to conduct a easibility study coupled

with a Business Plan, the advantage o which is to

ormalize the companys evolution prospects. It

also represents an ecient tool or the search and

mobilization o the unding rom institutional or

private donors.

Te Business Plan must be o a rened quality with

thoroughly assessed gures which coners credibility

to the document and oers a ramework o trustbetween donors and the SW project itsel.

On the whole, securing the nancial resources is

ensured through a proper management o the Cost/

ime/Deliverable triptych in a way to minimize the

gaps between projections and achievements. Tis is

all the more important as the stakes relative to SW

implementation are high and require substantial

nancial means.

Te requisite unds may be mobilized rom

institutional donors (World Bank, AFDB etc.) and

rom the Governments (Tunisia) or as part o a PPP

(Ghana, Senegal, etc.).

4. Establishmentofthe

ProjectTeam

Te skills and experiences o Project eam members are

essential or the design and successul implementation

o a Single Window. It is recommended to have team


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4#

members exclusively dedicated to the projectwith

a proper command o the stakes. Furthermore, the

decision-making chain, hierarchy and, responsibility

o each member and modalities o communication

must be clearly dened.

In act, the main challenge o a SW project is

more organizational than technical. Aside rom

the technical dimension o the project, the Project

eam must thereore have a proper command

o the business processes o all parties involved,

participate in the drating o the unctional scope

statement, perorm the acceptance tests and, assure

the training o end-users. On this business aspect, it

is recommended to develop close relations with each

o the stakeholders by identiying ocal points thatare experts in their domain.

Yet, one o the essential roles o the Project team is

to ensure that the Project Management eam ully

comprehends the business processes and, incite

the latter on a permanent basis, to respect the

Single Window implementation schedule with the

expected quality and planned budget while meeting

users expectations. In the absence o a ocal point

o the Project eam, the chances o successul

implementation might solely depend on the capacitiesand willpower o the Project Management.

In carrying out their mission, it is important to make

sure that the identied resources have the required

skills and aptitudes to lead the project to successul

completion. I necessary, capacity-building can

be useul as part o training sessions (project

management, business process reengineering,

unctional studies, etc.), or immersion in a country

with a similar context that has a note-worthy

experience in SW implementation.

For more assurance, the recruitment o a Consultant

to accompany the Project eam in the methodological

and business aspects can step up the chances o

success. However, the Project eam should not rely

only on the Consultants work and let its involvement

dwindle. o this end, it is important:

At the individual level: regularly measure the

contribution o each member o the Project eam

and assess their level o commitment;At the global level: the Project Sponsors assess,

based on specic criteria dened beorehand, the

perormance o the Project eam and its capacity

to attain the set objectives.

5.EstablishmentofSteering

andProjectOwnershipBodies

AProject Champion must be clearly identied ater

consensus o all parties involved.

Te Project must be structured around bodies that

ensure the steering and control o deliverables during

the implementation phase:

A Steering Committee that is a decision-

making and arbitration body;

A Project Committee in charge o carrying

out the project activities.

Te Steering Committee is the body validating

the decisions related to the project and monitoring

the milestones. Its meetings are sanctioned by

minutes recording the orientations to be carried

out by the Project Committee. It is essentially

composed o top managements o the Projects

key stakeholders;

Te Project Committee is the body executing

the project implementation. It proposes to the

Steering Committee an action plan and ensuresthe execution thereo once the plan is validated.

Under the leadership o a Project Director, the

Project Committee convenes at a close requency

in order to address all issues in time to avoid

any deviation rom the initially-dened project

scope.

Other committees/commissions might be put in

place, but will only operate on specic technical

aspects: echnical Committee (management o thetechnical aspects o the solution) or the Administrative

1.

2.

Depending on their involvement in the project and

their motivation, a good practice is to recruit at the

end of the deployment phase, the members of the

Project Team who will form the backbone of the

entity that will be in charge of operating the Single

Window.


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4#

7.Definitionofthe

ImplementationStrategy

Tis stage consists in dening the implementation

mode. Tere are three implementation modes

generally practiced throughout the world:

Development o the solution and internal

operation capacity;

Option or a solution provider and internal

operation capacity;

Choice o a service provider in the orm o

ranchise or BO contract.

Each ormula has advantages and drawbacks, the

extent o which varies rom one context to another.Te ollowing matrix addresses the issue and enables

decision-makers to nd the best ormula suitable to

their country: See Table 08.

Te table below sums up the dierent options

analysed in the perspective o the National

Champion appointed to steer the Single Window

implementation: See Table 09.

Table 08

OWN SOLUTION AND

INTERNAL OPERATION

Independence and capacity

to upgrade the solutiondepending on the needs.

High cost, long timeframe

and excessive maturationtime. It takes at least 4 to 5years to have a stable andoperational solution.

ADVANTAGES

EXTERNAL SOLUTION AND

INTERNAL OPERATION

This is the most commonapproach, as it makes itpossible to save time andfacilitates a gain as to thematurity of a solution provenefficient elsewhere.

Technological dependencyon the service provider forupgrades.

ACQUISITION OF SERVICESUNDER FRANCHISE OR BOT

The funding does not poseany problem, and there isno risk related to the projectmanagement.

Services are often lowand costly as the providerseeks to cover the risksand generally refrains fromengaging in specifications.

DRAWBACKS

A well-trained team and

a judicious choice of thetechnologies.Prescribe comfortableschedules in order to avoiddelay in production.

CONDITIONS OF SUCCESS

Ensure that the chosensolution operates satisfactorilyin the same conditionselsewhere.Require knowledge transfer ifpossible.

Produce clear specificationsand ensure that the serviceprovider comply with them withmeasurable results.Refrain from focussing only anobligation of wherewithal

FORMULAS

Table 09

OWN SOLUTION AND

INTERNAL OPERATION

Risky Very risky

STRONG CAPACITY

EXTERNAL SOLUTION AND

INTERNAL OPERATION

Favourable Favourable

ACQUISITION OF SERVICESUNDER FRANCHISE OR BOT

Limited interest Limited interest

AVERAGE CAPACITY

Not to envisage

LOW CAPACITY

Risky

Favourable

CHARACTERISTICS OF THE NATIONAL CHAMPION IN CHARGE OF THE IMPLEMENTATION


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04#


8.Developmentof

Specifications

Specications or scope o statement can be dened

as ollow: Scope statement is a document

detailing the needs, requirements and constraints

to be taken into account when implementing a

Project., source Wikipedia.

It would be risky to only ocus on technical

specications as a Single Window is more than a

mere automation project. Tere are dierent aspects

that need to be addressed:

echnical aspects;

Organisational aspects;

Operational aspects (including the ranchisingmodel).

Tereore, it is essential to drat the specications

or each component while taking into account the

interrelations in the dierent aspects.

Te content o the specications oten adapts to the

political, legal and, economic context. Te ollowing

box lists a set o questions that will help put together

a sound scope statement.

9.ProjectImplementationand

Deployment

In terms o methodology, the implementation

o a Single Window ollows a classical scheme o

inormation system integration project management.

Te Project eam must however agree upstream on a

method and tools likely to help monitor the state o

progress, the budget, the points o attention and the

risks. It is important to dene a clear communication

strategy targeting all stakeholders and acilitating the

mitigation o possible resistance to change at each

stage o the project implementation.

However, the specic constraints to take into

account are the availability o the resources (human,nancial and, technical resources, etc.), the nature

o the needs and the interest in change which might

vary depending on the public or private agencies

involved. o ensure the success o a Single Window,

a special emphasis should be laid on the ollowing

elements:

Te sequencing o the deployment;

Te change management strategy;

Te management o specicities o public

agencies;

Te modalities o deployment and transition tooperation.

9.1.ProjectSchedulingIn a SW Project, it is essential to have an ambitious

vision but also, start with intermediate objectives

that can be attained reasonably with tangible results

that will raise the projects level o attractiveness.

In addition, starting the project with a wide scope

might raise the risks o ailure as in the one hand,users will not have time to absorb the change, and on

the other hand, the Project eam might be under-

manned to suitably accompany each party. o avoid

this, it is important to prepare the deployment by

nding a happy medium between the ollowing two

actors:

Te phasing o deployment with reasonable

intervals or a better appropriation ;

Te rescheduling o the scope in simple and

coherent unctional releases that will be deployedat each phase.

What type of architecture? Centralised or decentralised?

What do we need in terms of infrastructure and

hardware?

What is the existing infrastructure?

What are the existing automation facilities? If not, what

can the existing infrastructure support?

What is the existing legal framework? Is it enough?

Are there any improvement projects?

What is the time set to develop the project?

What are the most critical processes?What are the bottlenecks?

Who are those adhering to this project?

What are the targets?

What is the level of technological maturity of

stakeholders?

What are the processes to be adjusted or rewritten?

What is the level of risk in change management?

How can we bring on board the maximum of

stakeholders?


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4#

However, even i the adopted deployment pace is

progressive, it is necessary that the inrastructure due

to support the Single Window be sized adequately

right rom onset in the target conguration, which

will help avoid costly readjustments during project

implementation.

9.2.ChangeManagementStrategyTe change management system, as part o a

SW implementation, must integrate the essential

components below that need to be well addressed

rom the beginning o the project and carried out

progressively:

Involving stakeholders rom the beginning o

the project with the creation o user groups

comprising the respective ocal points that willcome on board right rom the analysis phase;

Communication strategy with transmitters,

messages and, inormation channels with a

requency adapted to the specicity o each

party;

raining o trainers that integrates the ocal points

o the dierent agencies to oster appropriation o

the Single Window and or them to serve as relaysto their colleagues;

Functional and technical assistance;

Coaching o users on the ground.

Te expectations and preoccupations o parties

must be handled in a proactive manner to acilitate

their adherence. In act, the changes resulting in

the implementation o a Single Window can be

perceived as a source o insecurity regarding the

working methods, the acquired gains and even,career opportunities.

In a bid to raise the chances o success, change

management eorts must be undertaken as illustrated

in the graph above, right rom the project onset

and all over the implementation, rather than being

limited to the pilot and deployment phases.

9.3.ManagementofSpecificitiesof

Public AgenciesTe extent o the eorts to be deployed to integrate

specic constraints o a given public agency must not

be underestimated. In act, the integration o every

new agency in the Single Window workfow can beconsidered as a ull-fedged project since it requires:

Preliminary phase/

Feasibility study

Analysis and

design

Developments

and tests

Training and

pilot phase

Generalised

deployment (live run)

Support

Levelof

insecurity

Reconsideraonoftheexisngandlowcommunicaonontheprojectstakes

Strongpolicalwillanddeclaredsupportbyproject

sponsors

Discoveryofthe1standinstableversionoftheSWandworriesontheimpacts,aswellasthelossofinuenceand

control

CommunicaoneortatthehighestleveloftheGov.andnalisaonofthereorganisaonforSW

operaon

AwarenessofSWbenetsand

strengheningofthelevelofappropriaon

Graph 1: Evolution of the level of users insecurity depending on the project phases


33/44

04#


Analysis o the existing acilities and reengineering

o specic processes ;

Integration with existing systems and possibly

their modication ;

An adapted change management strategy.

In some developing countries, the low means are

such that additional eorts are necessary to address

the needs in order to deliver the processing expected

through a Single Window system.

9.4.ManagementofTransitionto

LiveRunOperationTe most important part in a SW Project starts

during the deployment which is one o the key riskperiod when any critical incident might jeopardize all

the eorts carried out earlier. Te recommendations

described below might reduce the risks inherent in

this stage:

Start the deployment phase in a scope under

control ;

Space out the releases to acilitate a progressive

appropriation ;

Stimulate perormances o stakeholders by

stepping up their capacities;

Progressively continue the deployment up to the

overall coverage o the scope.

At the end o the deployment, the Project eam shall

handover to the entity in charge o the SW operation.

Tis entity will be in charge o the management o

daily operations o the deployed scope at steady

speed. With perormance monitoring indicators, this

entity will oversee the running o the Single Window

by carrying out change management and technicalassistance actions and, identiying the necessary

upgrades to be integrated into the application.


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Secon05#Performance Evaluation andConsolidation


35/44


5#

1. Evaluation Mechanisms

Like or any Inormation System, there are essentially

two orms o evaluation: the rst one is perormed

during the project implementation and the second

one, ater the operation per se:

Evaluation o the methodology used in

implementing the SW: Its about the nal

evaluation o the project; it seeks to measure the

eciency and eectiveness o the system. It isgenerally materialized through :

Te assessment o the level o commitment

o authorities that generally results in the

issuance o law, orders and application decrees

on the use o the Single Window as a unique

platorm o exchange and validation o the

requests;

Te verication o change management and

sensitizing eciency: workshops, seminars,

signing o perormance pacts, training and

user coaching.

Evaluation o the results obtained and the

efects produced by the SW: Tis must be done

on a permanent basis in order to measure the SW

perormance and propose areas o consolidation.

Tis evaluation is conducted based on indicators

that make it possible to monitor:

Te reduction o time : the processing time in

terms o timeline (24/7) and duration ;

Te reduction o costs : savings rom reduced

movements, reduction o printouts ;

Te improvement o transparency in

stakeholders.

2.AvailabilityManagement

Te SW perormance must be sustained by a good

availability management policy meant to ensure that

the level o services matches or even goes beyond the

needs agreed under protability logic.

0

0

0

0

0

Like or any Inormation System, the basic parameter

that must be dened to restore services ater a period

o unavailability is the Mean ime to Restore Service

(MRS). Tis parameter can be assessed depending

o the assistance means and tools at the disposal o

the technical support team.

Other variants can be dened as part o the technical

operation with the view to addressing any deault.

3.PerformanceManagement

o maintain the level o commitment o stakeholders

o the Inormation System, it is necessary to put in

place a certain number o dynamic levers:

Dene precisely key indicators as units o measure

aimed at assessing the perormance;

Optimally use statistics standards that are easily

interpretable and communicated, to quantiy the

observations;

Exploit the dierent sources o inormation such

as the SW production data, the data relative to

stakeholders and, indicators prior to the advent

o the SW;

Dene the periodicity o the reports and, lay

emphasis during each production on the needs

or improvement;

Identiy the main recipients o the reports: trade

unions, authorities, managers, stakeholders, andother high-level decision makers;

Draw up a scoreboard to constantly monitor the

gaps rom the indicators and, alert the stakeholders

that are below the dened perormance

threshold.

4.Assistance,Monitoringand

ConsolidationSystem

Assistance Centre: Its about a Service Centre

TostepuptheoverallperformanceofaSWandmakeitvalueadded,itisessenaltosetupamechanism

tomeasureandcontroltheimprovementoftheservices.Arangeoftoolsandindicatorshavetobeset

upinordertofacilitatethemonitoringoftheSWperformanceandidenfyimprovementareastowards

boosngitsconsolidaon.


36/44

05#

PERFORMANCE EVALUATION AND CONSOLIDATION

set up as the unique Point o Contact or the

management o requests, incidents, hitches and

events;

Perormance monitoring tools: A set o tools at

the disposal o the Service Centre or the eectivemonitoring o the perormance;

BI support tools or decision making: Its

about decision support tools based on Business

Intelligence and using analytical databases

(OLAP).


37/44

41

AnnexesBest Practices World-wide

International Standards

Technology


38/44

4ANNEXES

Best Practices World-wide

The TradeNetSystemof Singapore

The experience of Singapore is considered asa pioneer in terms of Single Window platform.Built on an EDI solution, the system wasestablished in 1989 before being integrated, inOctober 2007, in a wider web platform dubbedTradexchange.

The TradeNet System came to replace thecumbersome paper-based formalities thatoperators had to handle in their requests. Itoperates as a Customs Single Window andensures the coordination of inspection servicesperformed by multiple bodies.

The change brought about by TradeNet hasenabled the country to replace operationsof multiple organisms, each of which havinga set of rules and prescriptions concerningdocumentation processing, with a single systembuilt on rules common to all stakeholders.

TradeNet has followed a phased implementation.At the beginning, the system only dealt withrequests concerning items that were notsubmitted to inspection and customs duties.Subsequently, the system was extended toinspected items (weapons and explosives,

food products and medication), taxablegoods (strong alcohols, tobacco, vehicles andpetroleum products) and certificates of origin.

Access to TradeNet is possible by telephone orvia Internet. The needs in hardware and softwareare minimal owing to the fact that enterpriseswilling to access the system by phone onlyneed to have a computer, a land line, a modem,a client software and a printer.

Access via Internet requires a computer, a landline, a modem and a browser. In this system, theenterprise can appoint an officer or declarant

to lodge the request on its behalf, or ask theTradeNet Service Centre to do so.

TheU-Tradesystem of Rep. of

Korea

South Korea boasts a long experience in termsof paperless procedures aimed at improvingtrade-related formalities. Thus, a SingleWindow System has been set up in this country,interconnecting the customs managementsystem and the systems of 56 public agencies.This system made it possible to halve the waiting

time for procedures at the border concerninggoods submitted to clearance confirmation forthe protection of public health, social securityand environment.

TheDTTNsystem of Hong Kong

The Digital Trade and Transportation Network(DTTN) System operational in Hong Kong isa paperless platform dedicated to exportsand which processes 17 million transactions

per year, federating thousands of users ofall sorts: buyers and importers (over 53,000enterprises), clearing agents, transporters (air,sea, road, river), port terminals, administrativeagencies, banks and financial institutions, andinsurance companies. DTTN has also automated

inspections on imported and exported goods,thus operating as a virtual Customs SingleWindow owing to the fact that it also facilitatesthe coordination of actions of different bodies

in charge of the inspection of goods.

TheTradeNetsystem of Mauritius

BEST SINGLE WINDOW PRACTICES IN AFRICA

The TradeNet Single Window of Mauritius makesit possible to lodge customs declarations,process and send them electronically. This

system has been designed by the MauritiusNetwork Services Ltd., in partnership with

Singapore Network Services (which operatesnow in the name of Crimson Logic).The systemis a network application built on EDI architecture

and which facilitates the electronic exchangesof documents amongst various stakeholders

BEST SINGLE WINDOW PRACTICES IN ASIA


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The TradeNetsystem of Mauritius

(suite)

MEILLEURES PRATIQUES DE GUICHET UNIQUE EN AFRIQUE (SUITE)

involved in the movement of goods. Theseinclude customs, clearing agents, shippingagents, the landing company, the Ministry of

Commerce, free port operators, and importersand exporters.Plans in the future includean interconnection with the banking system,in order to facilitate the online payment ofcustoms duties and taxes thanks to the MauritiusAutomated Clearing and Settlement System(MCASS) of Bank of Mauritius. TradeNet hasalso enabled customs to launch a large-scaleautomation project thanks to the establishment

of a customs management system (CMS) thataccommodates functions for the processingand validation of declarations and clearance

formalities.

The TTNsystem of Tunisie

Tunisia Tradenet (TTN) is a web-basedautomated system accessible from a PC, againstthe payment of a subscription. It provides for a

single trade documentary platform connectingthe main stakeholders of foreign trade. TTNis a tool that facilitates exchanges of trade-related and administrative documents, andthe e-payment of documentary credits andcustoms duties.Tunisia TradeNet is also a tradetransactions tool facilitating the processing ofpurchase, shipment and delivery orders, invoices

and transfer orders. As part of the internationalfinancial transactions, TTN facilitates theexchange of delivery invoices between Tunisian

and European banks. Moreover, this tool is a hubfor the offer and the demand and is fitted withfunctions for the settlement of transactions.

The ORBUSsystem of Sngal

The ORBUS Single Window interconnects allpublic and private entities involved in trade-related formalities, to facilitate the collection

and electronic transmission of clearancedocuments in Senegal. It is integrated withthe customs automation system, operatingupstream and downstream of the latter, with thee-manifest management and the goods releasemanagement modules.

ORBUS puts at the disposal of users aweb interface whereby they can lodge arequest, based on the invoice data and otheraccompanying documents (certificate of origin,deed of transport, importation document, etc.),with all public agencies and private entities

connected to the system.Once a request is created, the system proposesthe requisite permits thanks to an embeddedengine that identifies the permits neededfor each type of request. By validating theproposed permits, the user (importer/exporteror their clearing agent) sends the request toall stakeholders involved in the import/exporttransactions for the processing thereof.

The ORBUS System transmits to all entitiesconcerned the documents they need to properlyprocess the request and issue the relevant

permits or authorizations. Upon collection

of the permits, the electronic documentsare consolidated in a file and transmittedonline to the customs management system

dubbed GAINDE INTEGRAL for the purposes ofdeclaration processing.

Paperless trade formalities have become realityin Senegal since 20th February 2012, with theprogressive establishment of the followingplatforms:

Platform of exchange of internationaldocuments and data;Platform of logistics services int

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AACE Guidelines on Single Window Implementation 2013

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