The ASEAN Single Window (ASW) is a key component of the Association of Southeast Asian Nations’ (ASEAN’s) plan to realize the ASEAN Economic Community and to enhance trade facilitation. The ASW, when operational, will enhance trade facilitation and facilitate the movement of goods in the region by providing a relevant architecture for the electronic exchange of cargo clearance documents among ASEAN member states (AMSs).

1. Business Strategies for ASEAN’s
Single Window in Southeast Asia
Craig Jones, DBA

2. Overview
• Issue for ASEAN’s Single Window
• Business Strategies
• Data Related to Professional Practice
• Implications for Social Change
• Recommendations for Action
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3. Issue for ASEAN’s Single Window
MNC senior executives, program directors, and project managers lack
sufficient strategies to effectively implement ASEAN partnership
contracts.
• Business impact:
– Catalyze more effective business management methodologies to expedite ASW’s
implementation via change management and integration
• Social impacts:
– Improve ASEAN’s regional economy through increased trade
– Mitigate socioeconomic disparity in the region
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4. Legacy Trade Facilitation vs. Digital Enterprise
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Freight
Forwarder
Air Cargo
Agents
Shipping
Agents
Traders
Freight
Forwarder
Air Cargo
Agents
Shipping
Agents
Traders
Customs
Chamber of
Commerce Controlling
Agency
Government
Agencies
Trading
Community
Civil
Aviation
Authority
Port
Authority
Customs
Chamber of
Commerce Controlling
Agency
Government
Agencies
Trading
Community
Civil
Aviation
Authority
Port
Authority
Before After
National
Single
Window
Legacy trade facilitation processes Proposed digital enterprise process

5. ASEAN Single Window (ASW)/
National Single Window (NSW) Data Sources
• Senior-level executives working for MNCs with direct business experience
related to single window implementation in Southeast Asia
• ASW/NSW video conferences and symposia presented by multinational
businesspeople in Southeast Asia
• Professional documents
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6. Business Strategy 1
Effective Single Window Business Models That Support the ASW Project
1. Current Single Window Business Models
National Single Window Business Models:
• PPP Model (w/ Government Linked Corporations)
– Singapore/Malaysia (CrimsonLogic/Dagang Net)
– Brunei (Partnering w/ CrimsonLogic)
– Indonesia (PT Electronic Data Interchange)
– Vietnam (Partnering w/ Japan-Nippon Automated Cargo/Port Consolidated System)
• PPP Model (w/ Private Sector)
– Laos (Bureau Veritas – build-operate-trade)
– Philippines
• No-Charge Model (State-Sponsored)
– Thailand (run by Thai Customs)
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7. Business Strategy 1
Effective Single Window Business Models That Support the ASW Project
ASEAN Single Window Business Model
• Subsidies facilitate regional services that support regional business growth/NSW
projects
• Project Management Office services must be subcontracted for regional
oversight
• Regional domain must be subcontracted for data integrity
• Gateway services have been subcontracted using AXWAY B2Bi software
• Maintain SQL database of ASW/NSW standard codes for data harmonization
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8. Business Strategy 1
Effective Single Window Business Models That Support the ASW Project
2. How Single Window Business Models Leverage Best Business
Practices for the NSW/ASW Project – Data Harmonization
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9. Business Strategy 1
Effective Single Window Business Models That Support the ASW Project
• BPA (Business Process Analysis)/BPM (Business Process
Management)
• The BPM process focuses on empowering a regional platform that
authorized personnel from each NSW network can use to exchange
cargo border documents, facilitate digitized government custom
permits, and coordinate cargo delivery/business-to-business
transactions
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10. Business Strategy 1
Effective Single Window Business Models That Support the ASW Project
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11. Business Strategy 1
Effective Single Window Business Models That Support the ASW Project
3. Return on Investment for Stakeholders
Traditional Procurement vs PPP Cash Flow Streams
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12. Business Strategy 1
Effective Single Window Business Models That Support the ASW Project
4. Organizations’ Ability to Meet ASW Goals Based on SWOT
Analysis
• Strengths:
̶ Collaboration between private and public sector
̶ Develop the network architecture (common baseline)
̶ Establish data interoperability/data harmonization
o (interoperability subcontracted with AXWAY B2Bi software)
o (harmonization founded on ASEAN & WCO data models)
– Institute project champions
– Introduce efficient supply management
– End of hard-copy submissions
– Establish data convergence of commercial documents, freight documents, and other B2G
cross-border documentation
– Establish track and trace capability
– Regional services & PMO services
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13. Business Strategy 1
Effective Single Window Business Models That Support the ASW Project
Network Architecture:
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14. Business Strategy 1
Effective Single Window Business Models That Support the ASW Project
• Weaknesses:
̶ Risk management vs. risk transfer
̶ Information security
̶ NSW timelines vs. ASW timelines
̶ Funding
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15. Business Strategy 1
Effective Single Window Business Models That Support the ASW Project
• Opportunities:
̶ Enhance ICT network infrastructure where minimal capabilities currently
exist (additional business opportunities)
̶ Enhance regional reputation for international/interoperable supply chain
̶ Establish PMO capabilities to assist successful regional project and
national project interoperability (architecture integrity equals business
opportunities)
̶ Via regional trade, increase economic stability in Southeast Asia
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16. Business Strategy 1
Effective Single Window Business Models That Support the ASW Project
• Threats: Risk Allocation
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17. Business Strategy 1
Effective Single Window Business Models That Support the ASW Project
• Threats: Timelines
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3 – 12 Months 12 – 18 Months 18 – 30 Months
• Identify possible PPP
opportunities
• Establish project
management team
• Examine viability of PPP
oDefine objectives
oProduce outline of output
based on definition of
required services
oTest market and
bankability
• Produce business case
• Advertise the opportunity
• Hold industry briefing day
• Issue prequalification
questionnaire
• Gain approvals
• Issue Invitation to negotiate
• Evaluate proposals
• Negotiate contract
• Best and final offer
• Select preferred bidder
• Gain approvals
• Place contract
• Implement contract
• Manage contract
• Conduct post project
evaluation
Feasibility Phase Procurement Phase
Contract and Change
Management

18. Business Strategy 1
Effective Single Window Business Models That Support the ASW Project
• Threats: Financial Sustainability (Estimated Costs)
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Design & Development Costs
• US$15 million to 20 million
Cost increases if …
• Single Window (to Customs & 20+ OGAs)
• Single Window & Customs Management
Backend
Time to Implementation
• 2+ years
Operating Costs
• US$2 million per year
• Operate, Support & Maintenance
of the Single Window assets
• Drive Adoption & Training
• Minimum 40 to 50 staff members
• Continual support for Network,
Systems, Security, Training
• Servicing to Trading Community,
Customs, OGAs

19. Business Strategy 2
Effective Public–Private Partnership (PPP) Models That Support ASW Project
1. Managerial Roles and Responsibilities for the Private and Public
• Whoever manages or operates the NSW in a country must manage the
interoperable ASW gateway server
• Whoever manages or operates the NSW in a country will oversee data security
• PPP model dependent: Private sector may oversee design and development,
finance, operations, maintenance, daily management functions, and training
• Managing milestones, budgets, scope, risk, and quality control: Private sector
must conduct weekly project update reviews to the public sector for visibility
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20. Business Strategy 2
Effective Public–Private Partnership (PPP) Models That Support ASW Project
2. How Organizations Determine which PPP
Implementation/Management Model is Best for the NSW/ASW
Project (e.g., Design-Build-Operate-Maintain (DBOM), Operate-
Maintain-Manage (OMM), Build-Operate-Transfer (BOT))
Research found that there is no preferred PPP model and the solution is
situation dependent based on conditions and requirements
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21. Business Strategy 2
Effective Public–Private Partnership (PPP) Models That Support ASW Project
3. Treating NSW/ASW Risk and Complexity to Acquire Competitive
Business Advantage
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• Contract mechanism determines risk transfer
• Payment to PPP contractor dependent on performance
Risk Transfer
Availability Criteria Performance Standards
Payment Mechanism
Incentives for performance and tool to effect Risk
Transfer
Risk Taken By Party Best Placed to Manage It
Optimal Risk Transfer Will Enhance Value for Money

22. Business Strategy 2
Effective Public–Private Partnership (PPP) Models That Support ASW Project
4. PPP Success Criteria
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• Reduce time and cost for import and export trade process
̶ In 2010 the ASEAN average days to import and export for trading
across borders were 21.7.
̶ In 2015, it was down to 17.6 days.
̶ ASW target by 2018 is to average 12 to 13 days’ average close to the
average of OECD countries.
• Aligning public and private objectives
• Successfully institute change management
• Establish performance and service-level agreements
• Customer acceptance

23. Business Strategy 2
Effective Public–Private Partnership (PPP) Models That Support ASW Project
5. How To Garner Public Support From Future Clients
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• ASW/NSW symposiums
• ASW concept simulation
• ASW outreach material
• ASW web portal
• Roundtables and workshops
• Customer-based surveys

24. Business Strategy 3
Effective Project Management Methods That Support the ASW Project
1. Project Management Methodologies Implemented in NSW
Projects
• Agile approach (widely used in software development)
• Critical path
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25. Business Strategy 3
Effective Project Management Methods That Support the ASW Project
2. Critical Constraints for the NSW/ASW Project
• Funding
• Timelines
• Scope creep
• Risk allocation/risk management (PPPs)
• Public support (future customers)
• Continuity of personnel (revolving door)
• Low success rate of ICT projects (no historical results/first of a kind)
• Data standardization and harmonization
• Compatibility with international standards
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“A chain is no stronger than its weakest link"

26. Business Strategy 3
Effective Project Management Methods That Support the ASW Project
3. Overcoming NSW/ASW Critical Constraint Issues That May
Trigger Retardation or Deviations in Project Scope, Schedule, or
Budget
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Communication

27. Business Strategy 3
Effective Project Management Methods That Support the ASW Project
4. Certifications Necessary for Project Managers Who Require More
Business Acumen Than Traditionally Required to Facilitate Project
Success (e.g., Business Process Certification, Business Management
Certification, Complex Project Certification)
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• Six Sigma
• Business process analysis
• Cost benefit analysis
• Portfolio management
• Program management
• Project management
• Information technology network management
• Knowledge management

28. Business Strategy 4
Correlation Between Single Window Business Model, PPP Models, and
Project Management Methods on Project Success
1. Critical Success Factor for Implementing a Business Strategy
Such as the Single Window Project
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The single most important factor influencing project success is
the project's link to the organization's business strategy and the
project manager's understanding of how the project supports
the business strategy.

29. Business Strategy 4
Correlation Between Single Window Business Model, PPP Models, and
Project Management Methods on Project Success
2. Technology Used in NSW/ASW Projects to Dominate Information
Management
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• Data transfer is executed via bilateral connections (no hub-spoke configuration)
• Bilateral connections support the direct exchange of valid certificates for secure
connections (a digital handshake). Validation done by network login procedures
• Regional services validate data integrity (packet loss/monitoring process for
abnormalities) without capturing the data so NSWs maintain responsibility for data
security
• Regional services are also responsible for database continuity of country codes, etc.
and push updates to the NSW servers for synchronization
• AXWAY awarded the contract to provide the common AXWAY B2Bi software used
as the gateway for private corporate networks to connect to a NSW network to
facilitate interoperability and NSW to NSW interoperability for regional collaboration

30. Business Strategy 4
Correlation Between Single Window Business Model, PPP Models, and
Project Management Methods on Project Success
3. How to Mitigate Unnecessary Risks and Single Points of
Network Failure
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• Establish risk profiles and identifying high risk groups
• Monitor effectiveness of risk management process through KPIs (about 1% of
consignments are targeted)
• The KPI technique mitigates risks while processing over 9.3 million
consignments per year

31. Data Related to Professional Practice
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The UN/CEFACT conducted the initial study of National Single Windows and Regional Single
Windows in 2006 (based on a concept).
This study builds upon the 2006 study by providing insight based on 2016 data as public and
private sectors attempt to implement the ASEAN Single Window across an entire geographic
region (based on execution).
Endstate:
• Identify constraining business strategies necessary to implement ASW contracts and
complete ASW region-wide projects
• Business models
• PPPs
• Project management methodologies
• Correlation of these strategies

32. Implications for Social Change
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• Greater prosperity does not cure social malaises, but when nations prosper
economically and the general populace shares the prosperity, a healthier, more
secure mind-set has historically emerged.
• Opportunities include
- Trade liberalization
- Demand for skilled labor
- Better paying jobs
- Attracting more business to the region
- Establish trust across the collaboration continuum for the public and private sector
- Increased tax revenue provides potentially increased investment in health care,
education, and public services
- Peace promotes regional prosperity

33. Recommendations for Action
• Establish a PMO contract at the regional level
• Establish a regional domain contract to provide a constant technical and managerial
presence with respect to the ASW architecture, ASW gateways, and Regional Services
• Capture value by establishing NSW connectivity for AEOs
• Protocol should follow WCO and ASEAN trade and security parameters for wide
spread compatibility for regional and global business (data harmonization)
• Create value-added services that offer a competitive advantage based on business logic
within the organization to facilitate B2G and G2B transactions
• Share lessons learned with other regional economic communities and trade
partnerships (e.g., Trans Pacific Partnership and the Regional Comprehensive
Economic Partnership)
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34. Recommendations for Action
For more insight read the complete doctoral study at
http://pqdtopen.proquest.com/pubnum/10248949.html
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