The ePhyto Solution A Guide to implement the ePhyto System

1. The ePhyto SolutionA Guide to implement the ePhyto System Working off Examples Laura Vicaria Lopez, IPPC Secretariat Valencia ESG/PTC Meeting, October 2017, Valencia, Spain

2. Two strong examples of implementation guides: • Single Window Planning and implementation Guide • The eCITES Project Framework: A Guide to implement electronic CITES Permits • Both of these documents outline the process of implementation through stages or framework • In developing our own implementation guide we need to determine what are the relevant stages/framework for the ePhyto Solution

3. Guidance Through Structure The structure of these documents are useful to determine the topics that need to be considered from an ePhyto perspective CITES document for example: • About this Guide • Brief explanation of the ePhyto Solution and its overall purpose • The purpose of this guide, is to break down the recommended steps to implement the ePhyto solution, moving from the current to future state of trade and business model [we need a very clear objective] • Target audience • Outline of this guide • EPhyto Solution introduction • Objectives of the ePhyto solution • The process of development of ephyto ( pilot phases etc) • Tone on trade and trade facilitation • Keeping very similar to the content of the CITES document, Explaining the automation of business processes, movement of single window, paperless trade • Bring in how ePhyto fits into this • Begin to comment on process of implementation

4. A structure of components • Based on the CITES report, they break down the project into several components, and based on these components they break down the implementation process. • Based on eCites example implementation should take place in a phased implementation approach where each phase automates a specific area of business process. • Structure example outlined: • Each section starts with short summary of activities that will be implemented for that component. • These activities will then be grouped into different steps which are implemented as sub projects. • Concluding each section with a set of recommendations for project manages with technical a non-technical aspects. CITES Components: • ePermit- Simplification of Permit issuance - mainly focused on automation between CITES management Authority and exporters and importers • eControl – border agency collaboration for better control. Mainly concerned with automated procedure with other control agencies • eReport – automated reporting, consists of the exchange of between management Authorities and the Cites Secretariat • eExchange- electronic permit exchange with other countries. Consists of the automated exchange of electronic permits between CITES trading countries

5. A Framework Structure Single Window Example Single Window examples chooses an architecture based approach, through a framework structure. Breaking the system structure, into simpler sub components for policy managers and decision makers to manage In generating the framework structure, the Single Window document initiates by identifying the main implementation challenges of the project From these outline 10 core components. Based on these challenges, it is a further breakdown into identifying what are the current conditions that generate these challenges. Based on this identification, a blueprint approach is applied into resolving and successfully tackling these conditions to ensure the implementation of the project.

6. The 10 components that single window outlines are: Stakeholder Requirements Identification and Management Stakeholder Collaborative Platform Establishment Single Window Vision Articulation Business Process Analysis and Simplification Data Harmonization and Documents Simplification Service Functions Design (or called Application Architecture Design) Technical Architecture Establishment including Standards and Interoperability Legal Infrastructure Institution Business and Governance Models Enforcement including Finance, Implementation and Operation Governance IT Infrastructure and Solutions Execution.

7. Following the framework structure there is also the recommendation of a project management process. This is aimed to help policy managers in policy formulation, planning and overseeing of the project. Single Window report breaks this into 5 phases: Single Window Project Management Phase 1: Inception for Developing the Initial Concept Paper Phase 2: Elaboration phase for Conducting the Detailed Feasibility Study Phase 3: Planning for formulating a Single Window high-level master plan Phase 4: Development and deployment oversight Phase 5: Lessons-learned and feedback Lessons learned: Advice from experienced Single Window project managers

8. Why a systematic approach isrecommended? Because there are many challenges to bemanaged such that the e-Phyto Vision could be transformed intoreality. Political WillBarrier Many Document Requirements Target To-be Condition Complicated Procedures Conflict of Interest As-Is Condition e.g. Manual Paper-based Environment Laws andRegulations Many Stakeholders Difficulty in data exchange More compliant, faster, and less cost Electronic Phyto Certificate Environment Lack of Funding Compliance Governance Standards HumanResistance toChange InadequateTechnology Lackof Understanding Change Management Different Infrastructure ICTsystems Barriers ininteroperability SystemDevelopment DataPrivacy Security SomnukKeretho’spresentation on implementing e-certification

9. 4 Phases of ePhyto SystemDevelopment Target To-BeEnvironment From theAs-Is 3.Construction 2.Elaboration 1.Inception 4.Transition People change must be managed such that more users, of both government officers and traders, are familiarized with, and really utilize the established platform in their routine operations. Implementationof Detailed As-Is Analysis and Agreement of better To-Be environment Conduct a feasibility study • ICT infrastructure, application software and systems (initial as-is Analysis & to-be Proposal) • Enactingnecessary • laws/regulations TOR, Blueprint Design and Planning for Implementation • Training key stakeholders to establish the agreed To-Be process & the electronic environment. SomnukKeretho’spresentation on implementing e-certification

10. ePhyto Solution: What are its core components? • Transfer of information from exporter to NPPO • NPPO certification process including: • Documentary verification of conditions; • Validation of commodity compliance (inspection, testing…) • Certificate issuance • Exchange between NPPOs • Transfer of certificates to other stakeholders • Electronic transfer to border agencies • Paper transfer to stakeholders • Receipt of certificate • Documentary verification of conditions; • Validation of commodity compliance (inspection, testing…) • Notification of sending authority (future consideration)

11. Establishing NPPO work plan for implementation Provide guidance on • Benefit assessment and realisation • Stakeholder engagement • Change assessment • Process mapping of certification procedures • Identification of potential areas of change and implications • Risk management • Identification of risks to implementation • Developing the country project team

12. Issues that require addressing Are legislative changes required to support implementation What infrastructure is required Who are the stakeholders and how should they be engaged • Both internal and external What funding is required and how will it be obtained What is the corporate support for implementation Conduct a business readiness assessment and provide to IPPC Secretariat What is the process of communication Who needs training and how will it be provided • Both changes in business operation and technical training How will the costs of the system be assessed and recovered What are the benefits to implementation and how will they be assessed

13. ePhyto Solution: what is its implementation guidance structure?