enterprise architecture for single window planning and ... · swif is a systematic architecture...

Enterprise Architecture for

Single Window Planning and Implementation

Dr. Somnuk Keretho UNNExT Advisory Committee

Director, Institute for IT Innovation Kasetsart University

[email protected]

mailto:[email protected]

Somnuk Keretho, PhD

Objectives of this presentation

To propose a holistic and systematic approach based on enterprise architecture concept, called SWIF, for guiding the analysis, planning and implementation of SW projects, i.e.

Architecture principles – vision articulation, alignment, decomposition, viewpoints and blueprints

Decomposition of SW challenges into smaller and easier manageable components

Collaborative Project Management

For large-scale e-government projects of many countries, EA frameworks are recommended in many literatures and in practices,

e.g. TOGAF, Korea e-Government EA, and US Federal EA.

Referring also to “UNNExT SW Planning and Implementation Guide,” UNESCAP, UNECE 2012.

Somnuk Keretho, PhD

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 an approach on how to – systematically derive the SW strategic architecture, – formulate its implementation 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.

Somnuk Keretho, PhD

Why a systematic approach is needed?

* Referring to World Bank’s Trading Across Border Indicators (www.doingbusiness.org)

Vision

Realization Complicated

Trade Procedures

Because there are so many complicated challenges to be managed such that the SW Vision could be transformed into reality.

Laws and Regulations Many Document Requirements

Inadequacy in Technology Infrastructure

Many Stakeholders Conflict of Interest

Compliance Governance Many different ICT systems

People and Business In-Readiness

Difficulty in trade data exchange

Barriers in interoperability

Regional Connectivity

Connectivity within the country

System Development

Change Management

achieving trade transaction

cost and time reduction, and compliance

goals

e.g.

25% better, faster,

cheaper trading across border* within 5 years

(2013-2018)**

Standards

Lack of Understanding

Political Will

**Within an economy or a regional economic cooperation, measurable goals should be mandated by its Leaders.

Security Data Privacy

Somnuk Keretho, PhD

Vision

Realization

Complicated Trade Procedures

Laws and Regulations

Many Document Requirements


Many Stakeholders Conflict of Interest Compliance

Governance Many different ICT systems



Barriers in Interoperability



System Development

Change Management


cost and time reduction, and

compliance goals

1. Stakeholders’ needs and requirements

From the “As-Is” conditions (architectures)

of all these components

Migrating to the target “To-Be” architectures

of all these 10 components

timeline

Applying Enterprise Architecture Concept* for strategic planning, detailed design, implementation & operations

10 critical components must be considered for

SW planning and implementation

e.g.

25% better, faster,


(2013-2018)**

Complexity of Single Window can be handled by decomposing its challenges into smaller and more manageable sub-components.

Somnuk Keretho, PhD

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).

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. Collaborative Project Management for analysis, planning and overseeing the SW projects (by walking through those 10 components iteratively).

SW Visions & Goals must be aligned with national and/or

regional economic policy directions, and measurable goals should be defined.

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**

** An example from APEC Vision & Goals for 2015-2020. Somnuk Keretho, PhD

Somnuk Keretho, PhD

National Logistics Development Master Plan of Thailand (2007 -2011)

National Single Window Plan

Towards A World-class National Logistics Environment to become a Trade Hub for Indochina Vision

Objectives 1.Reducing logistics cost, increase business

Responsiveness, Reliability and Security 2.Create Value-Added business

Strategic Agenda

Improve Logistics efficiency in industry

Improve

efficiency in

transport and

logistics

Build

Logistics Service

Providers Business

Build

Human Resource

s in Logistics

5 3 2 1

A Thai Case Example

Trade Facilitation Implement

ation

4

Somnuk Keretho, PhD

Thailand Vision/Goals 2011: from multiple windows to Single Window (Regulatory SW)

(since Paperless Customs has already been developed.)

36 Government Agencies

~350 data items and no travel needed

Single entry process

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)

A Thai Case Example

1 Billion US$ transaction cost reduction

2006

2011

Goals: better import/export transaction time (60%) and cost (25%)

Decomposition

Systematically decomposing and structuring

SW implementation challenges into smaller and easier manageable components

(10 components are proposed here).

Somnuk Keretho, PhD

Somnuk Keretho, PhD

Vision

Realization

Complicated Trade Procedures

Laws and Regulations

Many Document Requirements


Many Stakeholders Conflict of Interest Compliance

Governance Many different ICT systems



Barriers in Interoperability



System Development

Change Management


cost and time reduction, and

compliance goals

1. Stakeholders’ needs and requirements

From the “As-Is” conditions (architectures)

of all these components

Migrating to the target “To-Be” architectures

of all these 10 components

timeline

Applying Enterprise Architecture Concept* for strategic planning, detailed design, implementation & operations

10 critical components must be considered for

SW planning and implementation

e.g.

25% better, faster,


(2013-2018)**

For large-scale e-government projects, EA frameworks are recommended in many literatures and in practices, e.g. TOGAF, and US FEA. Refer to UNNExT SW Planning and Implementation Guide, 2012.

Complexity of Single Window can be handled by decomposing its challenges into smaller and more manageable sub-components.

Somnuk Keretho, PhD

Ten Critical Success Components Each component must be analyzed to understand the “as-is” and its bottlenecks,

define and agree on the “to-be” conditions.

1. SW Vision Articulation and Political Will Creation

2. Stakeholder Collaborative Platform Establishment

3. Governance & Finance Model

4. Business process analysis and improvement

5. Data Harmonization and document simplification

6. Application architecture design

7. Technology architecture design including standards & technical interoperability

8. Legal Infrastructure

9. IT infrastructure & solutions design

10. Change adoption, operations, and sustainability

Management & Technical Level

Strategic Level

IT Systems Implementation

Operations

Iterative Development Cycle

Collaborative Project Management step-by-step phases for analysis, planning,

implementing and overseeing the SW projects.

Somnuk Keretho, PhD

Managing the project in five phases – while in each phase, the as-is conditions of those ten

components shall be analyzed, and the new to-be conditions be defined.

Somnuk Keretho, PhD

Collaborative Project Management - 5 Phases

1. Inception/Preliminary Phase – Developing a concept paper for preliminary and initial discussion

2. Elaboration Phase – Conducting a detailed feasibility study and architecture design

3. Planning Phase – Formulating a high-level SW master plan & and detailed implementation plans

4. Execution/Implementation Phase – Securing the funding, executing and overseeing the SW project implementation

5. Change Adoption/Lessons-learned Phase – Change adoption, impact assessment, collecting lessons learned and suggesting opportunities for further SW improvement in the next cycle.

Somnuk Keretho, PhD

Collaborative Project Management - 5 Phases

Agreed Conceptual

Design Detailed

Implementation Plans and Governance

Secured Resources

and Implementation

Adoption, Measurement &

Further Improvement suggestion

Detailed Architecture

Design

Political Will Creation

Institutionalized

Collaboration In each phase, all 10 critical

components shall be revisited and refined (as-is to-be).

Somnuk Keretho, PhD

Each project management phase needs to walk through these 10 critical components (in an iterative sytle)

The 10 components (in a Development Cycle as shown on the left) should be revisited during the inception phase, elaboration phase,

the planning phase, and the implementation phase, but of course, with different levels of depths and perspectives.

These same ten critical components can be illustrated in a strategic/management/operational pyramid.

For example, the purpose of the Inception Phase is to conduct the initial feasibility study, therefore the “As-Is” conditions of all those 10 components need to be understood such that the new “To-Be” architectures can be proposed and analyzed for feasibility and decision to pursue further. But then at the elaboration phase, all those 10 components need to be analyzed and designed again but with a lot more depth and coverage for budgeting and developing detailed implementation plan.

10 components are analyzed iteratively.

Somnuk Keretho, PhD

“As-Is” Architecture of Thailand NSW Environment

Bus

ines

s St

akeh

olde

rs

*GHA: Ground Handling Agent **TMO: Terminal Operator

G2G information exchange of permits and certificates

vas

Value-Added Service (VAS) – for paperless Customs

Declaration and E-Manifest Submission

Shipping Line

Airline

GHA/ TMO*

Importer

Exporter

Freight Forwarder

Customs Broker

vas

vas

vas

G2G

NSW

Cargo Regulatory

SW*

Maritime Regulatory

SW**

Air Regulatory

SW**

B2G information exchange G

atew

ay P

rovi

ders

(T

rade

siam

, N

etba

y,

CAT

EDI)

Shipping Line

Airline

Importers and

Exporters

35 websites (windows)

for submitting e-application

Forms.

For Customs duty online payment Bank

Bank Bank National ITMX

36 government and regulatory agencies

** Only partially regulatory SW services provided. 1. Business Stakeholders

2.VAS 3.Gateways 4.NSW Operator 5.Government Agencies

A Case Example Viewpoints

Somnuk Keretho, PhD

Proposed “To-Be” Architecture to integrate

“trade/transport/regulation/payment” coordinated services within the same SW governance.

A NSW Operator & Governance

Bu

sin

ess

Stak

ehol

ders

*GHA: Ground Handling Agent **TMO: Terminal Operator

Airline/ Vessels

Freight Forwarders

Banks

Customs Brokers

Haulers

Importers Exporters

GHA/TMO*

36 government and regulatory agencies

Bank

Bank Bank National ITMX

B2B & B2G coordination,

cargo visibility,

single window data entry and reuse

G2G coordination

and information exchange

Air Regulatory

SW ***

Train Regulatory

SW

Maritime Regulatory

SW

Trade & Cargo

Regulatory SW

Sea PCS

Air PCS

Land

Transport Regulatory

SW

A proposal for Thailand next generation NSW

A Case Example

The next 5-years development plan can be more clearly developed, validated and mandated with the clear to-be architectures, e.g. to-be” business processes, electronic services, business models and governance structure.

Viewpoints

Somnuk Keretho, PhD

Summary & Recommendations An Enterprise Architecture concept is recommended as

a holistic and systematic framework for guiding the analysis, planning and implementation of SW projects, e.g.

Decomposition of SW challenges into different but inter-related views, e.g. strategic architecture, business architecture, information system architecture, legal issues, and functions, etc.

Step-wise SW project management in 5 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.

Thank You.

Dr. Somnuk Keretho UNNExT Advisory Committee

Director, Institute for IT Innovation Kasetsart University

[email protected]

mailto:[email protected]

Somnuk Keretho, PhD

Speaker - Somnuk Keretho, PhD

Somnuk Keretho is an assistant professor of Computer Engineering Department, and the founding Director of Institute for IT Innovation (INOVA), a research and development institute of Kasetsart University, Thailand, specializing in ICT-enabled innovation, trade facilitation and e-logistics initiatives including National Single Window strategic planning and implementation, enterprise architecture for e-government and e-business, business process analysis and improvement, data harmonization and modeling, ICT-related standards and interoperability, e-transaction related laws, and process-oriented quality software engineering.

He has led several ICT strategic projects at organizational, national and regional levels. For the past nine years, he has assisted Ministry of Information and Communication Technology, National Economic and Social Development Board, Ministry of Transport, Port Authority of Thailand, and Ministry of Agriculture in architecting “Thailand Single-Window e-Logistics” related projects including its National Single Window strategy, implementation plans, interoperability and standards, harmonization and simplification of trade and transport-related documents and procedures, automatic electronic-gate systems development for the Bangkok Port and the Leamchabang Sea Port, and related software development projects. Several of those projects are being aligned with some regional and international collaborations, in which Dr. Somnuk has actively engaged with those related to trade facilitation, single window and paperless trading initiatives through UNESCAP, UNECE, APEC, ASEAN and GMS. He has played several roles in catalyzing the creation of and actively contributing to the United Nations Network of Experts for Paperless Trade in Asia and the Pacific (http://unnext.unescap.org), and providing several technical supports to the APEC Paperless Trading and ASEAN Single Window Initiatives. He is the main author of the UNNExT Business Process Analysis Guide, the UNNExT Data Harmonization Guide and the UNNExT Guide for Single Window Planning and Implementation as jointly published by UNECE and UNESCAP.

http://www.unescap.org/unnext

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