This document summarizes a presentation on measuring the performance of a single window system. It discusses the continuous improvement cycle for trade facilitation and single windows, which involves assessment, improvement planning, implementation, and adoption of changes. It also describes a World Bank project that assesses single window systems using a three-step peer review process involving self-assessment, peer review visits, and sharing lessons learned. The peer review methodology involves data collection, verification, corroboration, and reporting to identify strengths and opportunities for improvement. Implementing a systematic approach is important due to the many challenges involved in transforming a single window vision into reality.

1. Measuring the Performance
of a Single Window
Dr. Somnuk Keretho
Director, INOVA
Kasetsart University, Bangkok
Workshop on the impact of single windows on the passage of
goods across ports and on the trade facilitation in general
Douala, Cameroun, 08-11 September 2014.

2. 2
Agenda
1. General Concept: TF/SW Continuous Improvement Cycle
2. AACE/WB Project: Building an Effective Single Window
for International Trade – Country Progress Assessment
and Benchmarking for SW Development
 Objectives
 Overall Peer Review Activities in 3 Steps
 Peer Review Week
3. A systematic framework for moving to an effective SW
4. Peer Review Country Report Template
5. Conclusion/Recommendations

3. 3
1. TF/SW Improvement Cycle
1.Assessment
(Understanding
the as-is process, e.g.
strength, weaknesses,
Improvement opportunities)
2. Improvement Plan
(analyzing and prioritizing
the improvement
measures, e.g. proposing
“to-be” process)
3. Implementation of
the new “to-be” process
4. Change Adoption
of the new
environment

4. 4
1. TF Assessment Tools
UNNExT Business Process Analysis Guide (BPA)
- a snapshot study of a process
 WCO Time-Release Study (TRS)
- a statistical quantitative data collection of
time to release
Time/Cost-Distance Chart (TCD)
– Quantitative data collection about time & cost of
haulers carrying cargos
 Peer Review Methodology
 etc.

5. 5
BPA Guide
A Business Process Analysis
1. Buy - Conclude sales contract and trade terms
2. Obtain export permit
3. Arrange transport
4. Arrange the inspection and fumigation
5. Obtain cargo insurance
6. Provide customs declaration
7. Collect empty container(s) from yard
8. Stuff container(s)
9. Transfer to port of departure
10. Clear goods through customs
11. Handle container at terminal and stow on vessel
12. Prepare documents required by importer
13. Verify the accuracy/authenticity of exported cargo
14. 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
5
6 7 8 9
12
14
2
2 days
4
2 days 10
1 day
13
1 day
16
11
Time-Procedure Chart
5

6. 6
Activity Diagram
Exporter (or Representative) Department of Fisheries
(DoF)
Authorized Private
Inspector
2.1) Have
product sampled
and examined
Exporter or
Representative
Department
of Fisheries (DoF)
Authorized Private
Inspector
Collect
sample
Examine
sample
Record the result
of examination
Test Report
Deliver
sample
Collect
Test Report
Additional
examination required
Additional examination
not required Schedule the
sampling date
Record result
of examination
Examine
sample
Collect
Test Report
Test Report
Have product
ready for sampling
Notify the date for
sample collection
Submit Request
for Sampling
Record sampling
result
Request for
Sampling
Collect
sample
6

7. 7
7
Shipping company
Shipping agent
Port Authority,
etc.
Customs,
Bank,
Customs
broker
Port Authority
Container Yard
Warehouse,
Forwarder,
etc.
Importer,
Customs broker
Container Yard
OGAs, etc.
What is TRS?
Arrival of
cargo
Unloading
/Storage
Submission of
Declaration
Customs
release
permission
Removal
of cargo 7

8. 8
Transport to border
Wait at border
crossing/change
transport mode
Transport
to sea port
Wait at
sea port
Sea transport
500 km 1000 km 2000 km1500 km
Day 4
Day 3
Day 2
Day 1
$400
$300
$200
$100
Point of
Origin
Destination
Time/Cost Distance Chart

9. 9
Integrated Methodology: BPA+TCD+TRS
Trade-related
procedures
before cargo
movement
Cargo
origin
Border
crossing
point
Border
crossing
point
Cargo
destination
Trade-
related
procedures
after cargo
arrival
TRS TRS
TCD
BPA of Trade Procedures
Business Process Analysis (BPA) for diagnosis of TF
bottlenecks along entire supply chain
Time-Cost Distance Method (TCD) &
Time Release Study (TRS)
to Improve/verify BPA time and cost estimates

10. 10
2. AACE/World Bank Project
Project: Building an Effective Single Window for International
Trade – Country Progress Assessment and Benchmarking
for SW Development
Objectives: To assess and peerly review the context,
undertakings and achievements of each participating country’s
Single Window, and also to share experience and
propose recommendations for the enhancement.
Overall Methodology and Steps:
Step 1: Country self-assessment
Step 2: Peer Review Week
Step 3: Path of improvement, an international SW conference
and national conference in each country for sharing lessons learn,
communicating and gaining understanding and buy-in from the community for further improvement

11. 11
Step 1: Self Assessment
Each participating country, conduct the self
assessment of each own SW platforms using
– A common self-assessment questionnaire –
assessing on “the country’s context”,
“what we have or provide to ”
“what have beed utilized (usage),
and
“what are the impactic/benefits etc.”
– Consolidating own data, and giving self-
assessment presentation/report
(in Saly,Senegal – 21-23 May 2014)

12. 12
Step 2 – Peer Review Week
For what (Objectives): To assess the current SW
environment, and identify strengths and opportunities for
improvement
– by reviewing the country’s self-assessment information,
e.g. from the country’s SW self-assessment presentation
and the SW self-assessment questionnaire data,
– by systematically verifying, validating and corroborating information
from different sources, e.g. presentations, interviews, onsite visit,
walkthough demonstrations and document reviews
By Whom: To be conducted by
– Independent/external expert
– Representative(s) from the Peer review’s country
– Representative(s) from the SW under peer review.

13. 13
Step 2 - Peer Review/Assessment Methodology
ASSESSMENT PROCESS
Planning
Data Collection
Data Verfification & Validation
Corroboration of Data/Evidences
Reporting
INITIAL INPUT OUTPUT
SW REFERENCE MODEL
AACE SW 3 Models (Formalities, CCS, B2B)
UNCEFACT Int’ Supply Chain Process Model
SW Self-Assessment Form/Issues, e.g
context, undertakings/having, usage and impacts
ROLES AND RESPONSIBILITIES
Sponsor/Management of the SW
Assessment Team Members (ATM)
Presenters/Interviewees
Objectives
Scope of SW
Constraints
Self-assessment
presentation
Self-assessment
filled form
Additional info
Assessment data
Identification and
corroboration of
data/evidences
Strengths and
weaknesses/
improvement
opportunities

14. 14
Step 2 - Peer Review Team
or called Assessment Team Member (ATM)
An example
1. Dr.Somnuk Keretho – International/Independent Consultant, World Bank
2. Mr. Jonathan Ofori – Peer Review Team Member,
from the Peer Country (Ghana)
3. Mr. Vicky Kunniah – Peer Review Team Member,
from SW under the review (Mauriti
Peer Review Team articipate actively for the entire week of peer review activities.

15. 15
Step 2 - Other roles & responsibilities
Roles Responsibilities Names
Sponsor/Management of
SW under assessment
Policy support/taking
ownership of the outcome of
this project
Presenters of the SW Self-assessment
presentations of the SW
(e.g. its context, current
services, usage data,
impacts/benefits)
Demonstrators of the SW Demonstrating the usages
of the SW services
Interviewees
(Business users of the SW)
Providing information about
the services & benefits,
observation and suggestions
for improvement
Interviewees
(Government/Authority users of the
SW)
Providing information about
the services & benefits,
observation and suggestions
for improvement

16. 16
Step 2 - Peer Review Activities

17. 17
Step 2 - Schedule Concept
 Day 1: - Opening & Briefing
- Presentation of SW
- Demo of overall SW services
- Documents & questionnaire review
 Day 2-4: - Onsite visits, interviews, scenario walkthrough,
document reviews with business users,
government stakeholders, and key personnels.
- Daily schedule for scripting of observations/findings
by the ATMs will be allocated.
 Day 5: - Consolidation of findings by the ATMs
- Preparing of the draft preliminary findings ppt
- Presenting the draft preliminary findings, and
obtaining an feedbacks and refinements
- Wrapping up and briefly discussing ways forward

18. 18
Step 2 - Peer Review Guiding Principles
 The consultants, the AACE and the reviewing country will attend the first
on-site review. This review will serve as a test base for the methodology
and provide lessons for the reviews to follow.
 Each subsequent review will be attended by one of the consultants and
the reviewing country.
 The review methodology and templates will serve as the standardiser for
the different reviewers, to counteract any individual bias that may
inadvertently exist.
 Outputs and information obtained during the review will classified as:
– Red (Sensitive): To be shared only with the country being reviewed
– Green (Open): May be shared with the other countries and
stakeholders.

19. 19
Step 2: Peer Review Charter
The consultants and reviewing countries will act in
good faith regarding information shared and
observations made during the review.
Information received and discussed will be held in
strictest confidence and not be shared with anyone
outside the project team.

20. 20
3.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
GovernanceMany 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

21. 21
Vision
Realization
Complicated
Trade Procedures
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 within
the country
System Development
Change
Management
achieving
trade transaction
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
Recommendation 2:
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,
cheaper
trading
across
border*
within
5 years
(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.

22. 22
Recommendation 2:
Ten Critical Success Components
must be analyzed to understand the “as-is” and its bottlenecks, propose the “to-be”, reconcile and agree.
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
Strategic
IT Systems
Implementation
Operations

23. 23
The First Three (3) Critical Challenges
cited in several SW case studies*
 Creating Political Will, e.g.
 Establishing it as the national commitment (by developing national
strategic plan, and obtaining endorsement by the highest political
institution, e.g. the Prime Minister, the Cabinet, the President, ….).
 Establishing it as a regional commitment, e.g. MOU signing among
the Head of States to develop the National SW and the Regional SW.
 Institutionalizing the Policy, i.e. transforming the policy
mandates into normal routine management, e.g.
 Institutionalize the National High-level Committee, and
Project Management Group for steering and overseeing the SW
implementation, by the Cabinet’s mandates and by laws (with the
support from several working groups, governments, business sectors and academia)
 Securing the necessary budgets to finance the project.
 Establishing an effective inter-agency collaboration platform
* As cited by case studies of Singapore’s TradeNet, Korea’s uTradeHub, Malaysia NSW, Japan’s NACCS, and Thailand NSW
in the UNNExT Policy Brief No. 02, 03, 04, 06 and 08 respectively, and
also in the UNECE Single Window Repository.

24. Recommendation 3:
SW Vision & Goals Alignment
National SW Vision, measureable Goals and
its Planning should be aligned and integrated as a part
of the related national/regional development agenda
(quantitative goals with a time frame should be defined and mandated)
Page  24
Thailand Case – Trade Facilitation & SW agenda is holistically integrated within the National Logistics Development Plan
NSW Vision &
Goals
are aligned with
National
and
Regional
Agenda

25. 25
Recommendation 4:
Systematically managing NSW projects with
Collaborative Project Management Methodology (5 phases)
Agreed
Conceptual
Design
Detailed Architecture &
Implementation Plans
Secured
Resources &
Implementation
Adoption,
Measure &
Next
Improvement
High-level
Architecture
Blueprints
Political Will
Creation
Institutionalized
Collaboration
In each phase, all 10 critical
components shall be revisited
and refined (as-is  to-be).

26. 26
4. Peer Review Country Report Template
1. National Institutional and Legal Framework
1. National policy direction and mandate
2. National Governance Model & Stakeholder Collaboration
3. Legal Framework
2. Business Model
1. Corporate Governance Structure
2. Corporate Strategy and Financial Model
3. Performance and Process Monitoring
4. Human Resources
5. Client Relationship
3. International Trade Procedures, Processes and Sevrices provided by SW
4. System Architecture & Technical Issues
5. Impacts
6. Strengths, Weaknesses and Improvement Opportunities

27. 27
Conclusion/Recommendation#1
1. A simplified Evolutionary Long-term Roadmap for SW Development
is proposed such that policymakers/managers can use this model to
a) assess their current status in the country by comparing with different stages and
their preferred functions in this model, and
b) determine the next stage for their phased SW development.
For example, not just regulatory SW that
should be developed, but the countries
with major sea/air ports
should also develop PCS platforms.

28. 28
Recommendation #2
2. A systematic approach based on Enterprise Architecture concept
is proposed such that policymakers/managers can manage the
complexity of project initiation, SW feasibility study, strategic and
detailed planning and overseeing the SW implementation, e.g.
 Decompositing complicated challenges into smaller sub-components.
 Ten (10) critical components are proposed.
 And each of these ten (10) critical components must be
systematically analyzed to understand the “as-is” conditions and
its bottlenecks, propose better “to-be” conditions (architectures),
collaboratively refine and agree before escalating them into actual
implementation.
 For example, the ”as-is” business processes & bottlenecks must be
analyzed, then propose “to-be” business process, refine and agree among
key stakeholders before IT systems implementation.

29. 29
Recommendation #3
3. SW Vision & Goals Alignment:
National SW Vision, measureable Goals and its planning should be
clearly articulated, aligned and integrated as a part of the related
national (and regional) economic development agenda.
a) quantitative goals with a time frame should be defined and
mandated by the highest-possible policy decision makers, e.g.
by the Cabinets or Leaders of the State.
b) Institutionalizing the policy agenda, i.e. transforming those policy
mandates into normal routine management, e.g.
 Institutionalize the National High-level Committee, and Project Management Group
for steering and overseeing the SW implementation, by the Cabinet’s mandates and
by laws (with the support from several working groups, governments, business
sectors and academia)

30. 30
Recommendation #4
4. An effective Collaborative Project Management Approach is needed
to systematically manage and drive the SW vision into reality.
 5-phase collaborative project management approach is proposed.
(Inception, Elaboration, Planning, Execution/Implementation, Change Adoption)
 In each phase, the ten (10) critical components will be analyzed
(as-is & bottlenecks analyzed, and the to-be are proposed), refined and agreed
iteratively from the strategic level, to management and implementation levels with
different depths.

31. 31
Reference
UNNExT Single Window Planning and Implementation Guide, 2012.
http://unnext.unescap.org (available also in Russian)

32. Thank You
Dr. Somnuk Keretho
Director, INOVA Institute
Kasetsart University, Bangkok
Workshop on the impact of single windows on the passage of
goods across ports and on the trade facilitation in general
Douala, Cameroun, 08-11 September 2014.