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Supported by. UNNExT Capacity Building Workshop on Single Window Planning and Implementation Module 4 – SW architecture-based Implementation Framework (SWIF). Authored by Dr. Somnuk Keretho UNNExT Advisory Committee Director, Institute for IT Innovation Kasetsart University [email protected] - PowerPoint PPT Presentation
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UNNExT Capacity Building Workshop on Single Window Planning and Implementation
Module 4 – SW architecture-based Implementation
Framework (SWIF)
Authored byDr. Somnuk Keretho
UNNExT Advisory CommitteeDirector, Institute for IT Innovation
Kasetsart [email protected]
14-15 December 2011Palais des Nations, Geneva
Supported by
After a strategic vision/goals, and the overall roadmap (including more
detailed goals/targets) have been discussed, we need to have
an appropriate methodology to systematically guide the
implementation of these vision & goals/targets into
reality.
SWIF – an architecture-based implementation framework is proposed here for systematically addressing
key components and issues that need to be analyzed, planned and implemented
such that the vision/goals can be realized.
Page 3UNNExT Workshop on SW Planning and Implementation, 14-15 December 2011, Geneva
The Objectives of this module
To propose a holistic architecture-based concept, called SW Implementation Framework (SWIF), for guiding the planning and implementation of SW projects, including Architecture principles – Decomposition, Viewpoints,
and Blueprints (diagrams and/or clear descriptions) Decomposition of SW challenges into smaller and
easier manageable components (10 key components are proposed.)
SW Development Cycles
The framework and its development cycles discussed in this module provide the essential concepts and key components to be addressed in the SW project analysis, planning and implementation phases (which will be explained the following modules).
Page 4UNNExT Workshop on SW Planning and Implementation, 14-15 December 2011, Geneva
* Referring to World Bank’s Index (www.doingbusiness.org)
Vision
Reality
Complicated Trade Procedures
Because there are so many challenges to be tackledto transform this Vision into Reality.
Laws and Regulations
Many Document Requirements
Inadequacy in Technology Infrastructure
Many StakeholdersConflict of Interest
ComplianceGovernanceMany different ICT systems
People and Business In-Readiness
Difficulty in trade data exchange
Barriers in Interoperability
Regional Connectivity
Connectivity withinthe country
System Development
Change Management
achieving trade transaction
cost and time reduction
goals
e.g. of APEC member
economies
25% better, faster,
cheaper trading
across border* within 5 years
(2011-2015)
Standards
Lack of Understanding
Why a holistic and systematic framework is needed?
Page 5UNNExT Workshop on SW Planning and Implementation, 14-15 December 2011, Geneva
What is SWIF? SWIF is a systematic architecture-based framework*
for guiding the Single Window Planning and Implementation into reality.
SWIF adapts the concept of enterprise architecture and development methodology** to describe approaches on how to– systematically derive the SW strategic architecture, – formulate its master plan, and – guide the implementation of SW projects.
** Adapted from An Enterprise Architecture Framework, called TOGAF-9.
* Authored by Eveline van Stijn, Thayanan Phuaphanthong, Somnuk Keretho, Markus Pikart, Wout Hofman, and Yao-Hua Tan, “Single Window Implementation Framework (SWIF),“ Free University Amsterdam, Kasetsart University Bangkok, UNECE
and published as an EU-supported ITAIDE D5.0:4b deliverable.
Page 6UNNExT Workshop on SW Planning and Implementation, 14-15 December 2011, Geneva
Key Concepts and Guidelines within SWIF
1. Visions & Goals Alignment – formulating SW visions and goals, where possible with quantitative indicators, but by aligning also with national and/or regional policy directions.
2. Decomposition - systematically decomposing and structuring SW implementation challenges into smaller and easier manageable components (10 components are proposed here).
3. Iterative Development Cycle – “as-is” or current conditions of those 10 components should be analyzed, and then “to-be” or future architectures (again of those 10 components) need to be developed and agreed (normally many iterations needed before we can really agree).
4. Viewpoints – showing the same thing but with a different level of details based on the interest of target audiences (normally with diagrams).
5. Stepwise activities for analysis, planning and overseeing the SW projects (by walking through those 10 components iteratively).
1. SW Visions & Goalsmust be aligned with national and/or
regional economic policy directions, and quantitative indicators should be identified
where possible.
National SW vision, goals and planning should be integrated as a part of related national/regional development agenda,
e.g. aligning with national trade facilitation and logistics initiatives. Vision: Enhancing national trade competitiveness by improving import/export procedures and documentation handlings Quantitative Goals: 25% better, faster, and cheaper in trading across borders* within 5 years**
Page 7** An example from APEC Vision & Goals for 2011-2015.
UNNExT Workshop on SW Planning and Implementation, 14-15 December 2011, Geneva
Page 8UNNExT Workshop on SW Planning and Implementation, 14-15 December 2011, Geneva
National Logistics Development Master Plan (2007 -2011)
endorsed by the Thai Cabinet on Feb 2007
High-level Master Plan to develop data exchange platform
among different government agencies and business related to
import/export procedures
National Single Window (e-Logistics)To reduce the trade logistics costfrom 19% (2007) to
16% (2011)(comparing to GDP)
Towards A World-class National Logistics Environmentto become a Trade Hub for Indochina Vision
Objectives1.Reducing logistics cost (Cost Efficiency), increase business
Responsiveness, Reliability and Security2.Create Value-Added on logistics industry and related business
StrategicAgenda
Improve Logistics efficiency in industry
Improve efficiency
in transport
and logistics
BuildLogisticsService
Providers Business
EnhanceTrade
Facilitation
BuildHuman
Resources in
Logistics
54321
Thai Case Example
Page 9UNNExT Workshop on SW Planning and Implementation, 14-15 December 2011, Geneva
Thailand Vision: from multiple windows to Single Window (Regulatory SW)
(since Paperless Customs has already been developed.)
National Single
Window
Carriers & LSP
ExporterAnd
Importer 36
GovernmentAgencies
~350 data items andno travel needed
Single entry processD
ata
Har
mon
izat
ion
To reduce time used
on document
procedures
~ 24 days *(World Bank 2006)
Less than 10 Days
Impa
ct to
ec
onom
y One day delay costs 1% reduction in export value (World Bank, 2006) Direct and indirect costs incurred in documentary process account for 1-15
% of finished goods (OECD, 2003)
Thai Case Example
2. Decomposition
Page 10UNNExT Workshop on SW Planning and Implementation, 14-15 December 2011, Geneva
Systematically decomposing and structuring
SW implementation challenges into smaller and easier manageable
components (10 components are proposed here).
Page 11UNNExT Workshop on SW Planning and Implementation, 14-15 December 2011, Geneva
Complexity of Single Window can be handled by decomposing
its challenges into smaller and more manageable sub-components.
* Referring to World Bank’s Index (www.doingbusiness.org)
Vision
Reality
Complicated Trade Procedures
There are a lot of challenges to be tackled.
Laws and Regulations
Many Document Requirements
Inadequacy in Technology Infrastructure
Many Stakeholders Conflict of Interest Compliance
GovernanceMany different ICT systems
People and Business In-Readiness
Difficulty in trade data exchange
Barriers in Interoperability
Regional Connectivity
Connectivity withinthe country
System Development
Change Management
achieving trade transaction
cost and time reduction
goals
e.g. APEC-Thailand,Chinese Taipei:
25% better, faster,
cheaper trading
across border* within 5 years
1. Stakeholders’ needs and requirements
3. Stakeholders Collaboration2. Single Window Visionand Political Will
4. BusinessProcessAnalysis
5. DataHarmonization
andDocuments
6. ServiceFunctions
(ApplicationsArchitecture)
7. Technical Standards
and Interoperability
9. Business Models,Financial Issuesand Governance
8. Legal Infrastructure
10. IT Infrastructure
and IT Solutions
From the “As-Is”conditions (architectures) of all these components
Migrating to the target “To-Be” architectures
of all these 10 components
timeline
Decomposing the SW challenges into ten key components
3. Iterative Development Cycles
The “as-is” or current conditions of these 10 components must be analyzed, and then
the target or “to-be” architectures (again of these 10 components)
need to be developed and agreed.
Normally many iterations of the above activities are needed before we can politically, organizationally and financially agree on the “to-be” architectures
before we make any commitments to implement.
Page 13UNNExT Workshop on SW Planning and Implementation, 14-15 December 2011, Geneva
SW Development CycleKey Compenents that need to be analyzed, planned, coordinated
and/or implemented.
Note that the above development cycles are normally conducted in several iterations.For example, the whole cycle can be revisited during the feasibility analysis phase,
and again the whole cycle during the planning phase, and during the implementation phase, etc.
0. Preliminary
3.Stakeholder
Collaboration
4.BusinessProcess
5.Data
Harmonization
7.Interoperability and Standards
9. Finance and Governance
10. IT Infrastructureand Solutions
2. SWVision
6.ApplicationArchitecture
8. Legal
Infrastructure
1.Stakeholders’RequirementsManagement
Page 14UNNExT Workshop on SW Planning and Implementation, 14-15 December 2011, Geneva
Understand the “As-Is” and propose the “To-Be”
of these 10 Key Components 1. Stakeholders’ Needs and Requirements2. SW Vision and Political Will
3. Stakeholders Collaboration Platform4. Business Process Analysis and Improvement5. Data Harmonization and Document Architecture6. Service Functions/Applications Architecture7. Technical Standards and Interoperability8. Legal Infrastructure9. Business Models, Financial Issues & Governance10. IT Infrastructure & Technical Architecture
Page 15UNNExT Workshop on SW Planning and Implementation, 14-15 December 2011, Geneva
“As-Is” Documents related to Exportation of Rice
(from purchase order until the cargo container leaving the sea port)
21. Master Sea Cargo Manifest(17)22. House Sea Cargo Manifest (37)
23. Export Declaration (75,39)24. Good Transition Control List (22,3)25. Application for Permission to Export Rice (KP. 2)26. Sales Report (KP 3) (21)27. Application for the Collection of the Permit for the Export of
Rice (A. 3)28. Permit for the Export of Rice (A. 4) (32)29. Application for Certificate of Standards of Product (MS. 13/1)
(44)30. Certificate of Analysis (17)
31. Certificate of Product Standards (MS. 24/1) (45)32. Certificate of Fumigation (21)
33. Application for Phytosanitary Certificate (PQ. 7) (29)34. Phytosanitary Certificate (34)
35. Application for Certificate of Origin36. Certificate of Origin (38)
1. Proforma Invoice (35)2. Purchase Order (39)3. Commercial Invoice (50)
4. Application for Letter of Credit (24)5. Letter of Credit (32)
6. Packing List (25)7. Cargo Insurance Application Form (20)8. Cover Note (23)9. Insurance Policy (24)10. Booking Request Form – Border Crossing (24)11. Booking Confirmation – Border Crossing (31)
12. Booking Request Form – Inland Transport (16)13. Booking Confirmation – Inland Transport (18)14. Bill of Lading (40)15. Empty Container Movement Request (TKT 305) (19)16. Request for Port Entry (TKT 308.2) (27)17. Equipment Interchange Report (EIR) (24)
18. Container Loading List (18)19. Container List Message (32)
20. Outward Container List (34)* Number in parenthesis is the no. of data elements
36 Documents involving 15 parties, and more than 700 data elements to be filled in
Thai Case Example
Only few of these documents are in electronic format
Page 16UNNExT Workshop on SW Planning and Implementation, 14-15 December 2011, Geneva
”As-Is” Business Process - Exporting Jasmine Rice from Thailand -
1. Buy - Conclude sales contract and trade terms2. Obtain export permit3. Arrange transport4. Arrange the inspection and fumigation 5. Obtain cargo insurance6. Provide customs declaration 7. Collect empty container(s) from yard
8. Stuff container(s)9. Transfer to port of departure10. Clear goods through customs 11. Handle container at terminal and stow on vessel12. Prepare documents required by importer13. Verify the accuracy/authenticity of exported cargo14. Pay - Claim payment of goods
1 2 3 4 5 6 7 8 9 10 11 12 13 14
Day
Process
20
10
0
5
15
3 days
2 days
3 days
4 days
1 day
1
3
56 7 8 9
12
14
22 days
42 days
101 day
131 day
16
11
Time-Procedure Chart
16 days required for procedures & documents handling
4. Viewpoints Viewpoints are diagrams (sometimes
called blueprints) along with verbal/written descriptions for explaining the same topic but with different levels of
details based on the interest of the target
audience
An architect uses different diagrams to explain about the same building, e.g.
one diagram showing the interior design to communicate with normal users,
one diagram showing concrete structures to be used by civil engineers, one diagram showing wiring for electrical technicians, etc.
Likewise, several detailed levels of diagrams and descriptions should be used to communicate about SW components but each suitable for different
target audiences (e.g. viewpoints/diagrams suitable for high-level policy makers,
policy managers, business operators, and technical IT staffs)
Page 18UNNExT Workshop on SW Planning and Implementation, 14-15 December 2011, Geneva
Exporter
Paperless Customs Declaration and Clearance
Customs DeptServer
New Generation of EDI(ebXML MS/XML Messages/Digital Singnatures)
- Declaration- Invoice- Packing List
Web-Based Application(Certificate of Origin)
Dept of Foreign Trade
Browser (Request for C/O)
Web-Based Application(Health Certificate)
Dept of Livestock Development
Browser (Request for Health Cert.)except Shrimp (Request from Dept of Fisheries)
Web-Based Application(Health Certificate)
Dept of FisheriesPaper Handling and/or Web-Based Application
(Bill of Lading)Carriers or other logistics service providers
Many Paper Documents
“As-Is“Application Architecture in 2007
About 80% of required documents
arephysical
papers not electronic
papers yet.
SeparateICT islands
Thai Case Example
Page 19UNNExT Workshop on SW Planning and Implementation, 14-15 December 2011, Geneva
A Conceptual Architecture ofthe “To-Be” National Single Window
Goal - Single Window/e-DocumentsOne time submission for each data element but multiple usage for different purposes on different ICT platforms
Exporter
Paperless Customs Declaration and Clearance
Customs Dept
Web-Services (ebXML) Application(Certificate of Origin)
Dept of Foreign Trade
Web-Services (ebXML) Application(Health Certificate)
Dept of Livestock Development
Web-Services (ebXML) Application(Health Certificate)
Dept of FisheriesWeb-Services Applications
(e.g. Bill of Lading, and other documents)Carriers or other logistics service providers
NationalSingle Window
Now, technical interoperability standard (e.g. based on ebXML MS) is needed, andcommon definitions of data elements, and
semantic data structures (common data models) among different documents required by
different organizations are required also.
Thai Case Example
36 RegulatoryAgencies
Page 20UNNExT Workshop on SW Planning and Implementation, 14-15 December 2011, Geneva
“To-Be” Thailand SW Architecture
Importer/Exporter
Carrier
Ship Agent, Airlines Agent
Custom Broker/Freight Forwarder
Bank and Insurance
Other LogisticsService Providers
Private Sector&Transport Agencies
Other Business Parties
VAS
VAS
VAS
VAS
Value-AddedService
Providers
Value-AddedServices for Single Window Entry andBusiness ProcessManagement
56
National Single Window(NSW)By CustomsDepartment
e-Document Exchange Hub
for Cross-boarder Trade and Transport
1
ICT National Infrastructure and related IT Laws responsible by Ministry of ICT4
Governance Mechanism – policy decision, service charge regulation, service level agreement etc.2
Pro
cess
Re-
desi
gn &
Dat
a H
arm
oniz
atio
n
3
Customs Dept
Dept. of Foreign Trade
Dept. ofDisease Control
Dept. of Fisheries
Port AuthorityOf Thailand
Port/Airport
36 Governmentand facilitating
Agencies
Other agencies
ebMS
ebMS
ebMS
ebMS
ebMS
ebMS
Pro
cess
Re-
desi
gn &
Dat
a H
arm
oniz
atio
n
A Case Example
VAS
Gat
eway
VAS
Gat
eway
VAS
Gat
eway
7 7
Page 21UNNExT Workshop on SW Planning and Implementation, 14-15 December 2011, Geneva
”As-Is” Regulatory Business Processand Documentations for Exporting Jasmine Rice
Thai Case Example
Problems :- Duplicated Information & multiple physical visits to different locations- High Cost and Time for sending and receiving documents - Possible Data Inconsistency
5 regulatory agencies
and17 differentdocumentsare required
(not counting those required
by other businessentities, e.g.
banks,transporters,
logisticsproviders)
Page 22UNNExT Workshop on SW Planning and Implementation, 14-15 December 2011, Geneva
”To-Be” Data Harmonizationto harmonize for the common-meaning data elements among
different documents
Thai Case Exampleexporting rice
Regulatory-required Documents to be prepared by the rice exporter
As-is (no. of data elements)
To obtain a permit for the export of rice (A. 4)•Application for permission to export rice (KP. 2)•Sales report (KP. 3)
• Application for the collection of the permit for the export of rice (A. 3)• Draft A. 4• Commercial invoice
150
To obtain a certificate of standards of product (MS. 24/1)• Application for certificate of standards of product (MS. 13/1)• Commercial invoice• Permit for the export of rice (A. 4)• Certificate of analysis
32
To declare to-be exported goods• Export declaration 114
To inform Customs the movement of goods to port• Goods transition list 27
To obtain phytosanitary certificate (PQ. 9)• Application for phytosanitary certificate (PQ. 7)• Bill of lading• Certificate of fumigation
29
To obtain certificate of origin• Application for certificate of origin• Draft certificate of origin• Commercial invoice• Certificate of standards of product (MS. 24/1)• Bill of lading• Letter of credit
67
To report actual quantity exported 10
429
Dat
a H
arm
oniz
atio
n
180180
commondata
elementsamong
these 17 documents
Page 23UNNExT Workshop on SW Planning and Implementation, 14-15 December 2011, Geneva
Example – Exchanged Documents
Permit for the export of rice by Department of Foreign
Trade
Rice Quality CertificateBy The Thai Chamber of
Commerce
Thai Case Example
Page 24UNNExT Workshop on SW Planning and Implementation, 14-15 December 2011, Geneva
Example – Defining data element names and definitions for
2 documents by comparing with International Standards
Permit for the export of rice
Rice Quality Certificate
Data Element Name
Definition
weight (kg.) Net Weight (kg.) Net Weight (item) [TDED 6020] The measure of the net weight (mass) of this cross-border trade line item, excluding all packaging.
Unit Price Price Unit Price (item) [TDED 5110] Price per unit of quantity on which an article item amount is calculated.
Name of transport Ship’s name Name of Transport [TDED 8212] Name of a specific means of transport such as the vessel name
2 documents about exportation of rice
Page 25UNNExT Workshop on SW Planning and Implementation, 14-15 December 2011, Geneva
”To-Be” Data Harmonization and”To-Be” Business Process (Improvement)
Thai Case Example
As-Is• 429 data elements to be filled
in different physical documents • Multiple submissions of identical
data• Multiple visits to government
agencies (to submit and collect documents as well as to report actual quantity of goods exported)
To-Be•180 data elements to be
filled in electronically
• No repetitive submission of identical data
• No physical visit• Electronic data cross-checking
between controlling agencies• Electronic data sharing between
controlling agencies
Page 26UNNExT Workshop on SW Planning and Implementation, 14-15 December 2011, Geneva
Laws and Regulation Electronic Transaction Act* (2001, 2008)
(legalizing electronic documents and transactions) Royal Decrees on e-Government Implementation (2006) Decrees and Guides on Secured e-Transaction (2010)
(based on ISO 27001) Regulations on Paper Digitization (2010), etc
Each government department still needs some regulations for officials and business users to use e-document submissions and paperless systems, e.g. as officially mandated by the Director General.
Thai Case Example
* Reference: UNCITRAL Model Law on Electronic Commerce,1996 UNCITRAL Model Law on Electronic Signatures, 2001
5. Stepwise Activities/Phases
for planning and overseeing the SW projects by walking through those 10 components iteratively
in each phase(to be discussed further in the following
modules).
1. Preliminary/Inception Phase – Developing a concept paper for preliminary and initial discussion
2. Elaboration Phase – Conducting detailed feasibility study3. Planning Phase – Formulating a High-level SW master plan4. Execution Phase – Executing and overseeing the project plan5. Lessons-learned/Feedback Phase – Collecting lessons learned
Page 28UNNExT Workshop on SW Planning and Implementation, 14-15 December 2011, Geneva
Summary SW Implementation Framework (SWIF) is recommended
as a holistic and systematic framework for guiding the planning and implementation of SW projects, including Decomposition of SW challenges into 10 key components SW Development Cycles
Step-wise SW project management phases include inception phase, detailed feasibility phase, planning phase, implementation oversight phase, and feedback phase. In each phase, the 10 key components and associated
activities/deliverables in the recommended SW development cycles should be revisited and refined iteratively until the “to-be” architectures of those key components are commonly agreed and committed.