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Agenda Item 9.2 Document 10 18 April 2018 Blueprint for ePhyto Implementation Guide V 1.5 PICTURE

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Agenda Item 9.2 Document 1018 April 2018

Blueprint for ePhytoImplementation Guide

V 1.5

PICTURE

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Disclaimer

The designations employed and the presentation of material in this information product do not imply the expression of any opinion whatsoever on the part of the Food and Agriculture Organization of the United Nations (FAO) concerning the legal or development status of any country, territory, city or area or of its authorities, or concerning the delimitation of its frontiers or boundaries. The mention of specific companies or products of manufacturers, whether or not these have been patented, does not imply that these have been endorsed or recommended by FAO in preference to others of a similar nature that are not mentioned. The views expressed in this information product are those of the author(s) and do not necessarily reflect the views or policies of FAO

The Organization (i.e., IFC), using their best efforts in the time available, to provide high quality services hereunder and have relied on information provided to them by a wide range of other sources. However, it does not make any representations or warranties regarding the completeness or accuracy of the information included this report, or the results, which would be achieved by following its recommendations.

About the IPPC Secretariat

The Secretariat of the International Plant Protection Convention (IPPC) contributes by fulfilling a work plan set by its contracting parties which focuses on developing International Standards for Phytosanitary Measures (ISPMs) for safeguarding plant resource; providing a means for information exchange related to import and export requirements, pest status and regulated pest lists provided by member countries and supporting developing countries through technical assistance in implement the Convention and the ISPMs.

About the Investment Climate Advisory Services of the World Bank Group

The Investment Climate Advisory Services of the World Bank Group assists governments of developing and transitional countries in enhancing the environment in which businesses operate. We provide customized advice to improve and simplify regulations as well as to attract and retain investments, helping clients create jobs, foster growth, and reduce poverty. We rely on close collaboration with donors, in particular through the multi-donor FIAS platform, and World Bank Group partners—the International Finance Corporation (IFC), the Multilateral Investment Guarantee Agency (MIGA), and the World Bank (IBRD) — to leverage value and deliver tangible results for client governments.

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Table of Contents

I. Background.......................................................................................................................4

Purpose........................................................................................................................4

Purpose of Phytosanitary Certificates..........................................................................4

What is ePhyto?...........................................................................................................4

What is the ePhyto Solution........................................................................................5

Establishing E-Phyto Implementation Team................................................................6

II. Approach..........................................................................................................................6

III. Benefits of ePhyto.............................................................................................................6

IV. Definitions, terms and abbreviations................................................................................7

V. Blueprint for Exchanging ePhyto.......................................................................................8

Context........................................................................................................................8

VI. Strategy for the Blueprint for Exchanging ePhyto.............................................................8

ePhyto Vision...............................................................................................................9

Governance.................................................................................................................9

ePhyto Operational Model / Operator......................................................................11

VII. Conclusion and Options..................................................................................................18

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Agenda Item 9.2 Document 1018 April 2018

Executive Summary

The use of electronic phytosanitary certificates (ePhytos) provides significant benefits both for governments and for international traders. The secure transfer of electronic phytosanitary certificates directly from the national plant protection organization (NPPO) of the exporting country to the NPPO of the importing country ensures that the certificate information has not been altered and provides an important assurance on the integrity of the exporting countries phytosanitary system. Automation of NPPO documentary processes also brings significant efficiencies to the organization by reducing the time spent on manual tasks thereby also improving the effectiveness of the operation by allowing highly skilled staff to refocus activities on addressing phytosanitary risks. The use of ePhytos also allows NPPOs to receive and analyze information well in advance of commodity arrival. Data collection, storage and accessibility for analysis allows NPPOs to better analyze risks over time and readjust activities to address risk priorities while allowing them to discontinue unimportant activities that may have been done on the basis of an absence of information.

In most cases, the transition from paper certificates to electronic certificates will not only impact on the resources, policies and operations of the NPPO, but also on the resources, policies and operations of its clients, partners and stakeholders. Countries implementing electronic certification will need to change their business processes including how information is transferred between traders and the NPPO, the NPPO and partner border agencies such as Customs, Food and Environment and other stakeholders such as banks. The NPPO will also need to review its legislation and authorities; those other national laws and regulations which govern the use and transfer of data electronically and also work with other national agencies to ensure that their authorities also support the use of electronic documents which may be used in the overall trade process.

With paper certification, information may be transferred several times between various agencies and organizations from the application for certification filled out by an exporter to the point of issuing the paper phytosanitary certificate. It may also be transferred several times between the NPPO of the importing country and the various agencies and organizations involved in the clearance of the goods. With the issuance of electronic certificates, the exporter should be able to provide the data associated with the application for certification which may be used in the issuance of the electronic certificate. Similarly the receipt of the electronic phytosanitary certificate in the destination country should allow for streamlined border clearances based upon data transfer.

The changes in the business operations associated with implementing electronic certification require new skills on the part of the client as well as the NPPO’s staff. How will these skills be obtained, what will the change cost and when should the changes be made should be carefully considered well in advance of implementing the change. Many well trained staff conducting paper phytosanitary certification will require new skills and this change should be carefully monitored to ensure that transition is effective and least impact on the resources of the organization or its clients.

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Agenda Item 9.2 Document 1018 April 2018

The changes required in implementing systems for the exchange of ePhytos requires that NPPOs acquire financial resources to support the implementation of the systems and their long term operation including any required upgrades to software and hardware, training of staff, etc. Although, the IPPC Secretariat manages and operates the ePhyto Solution, NPPOs will need to consider whether initial investments are required. This may include: hardware such as laptops, desktops or tablets to access the systems; hardware to store data locally; software to address any interoperability between existing inspection, testing, fee collection, and other systems and the need to support client infrastructure to permit their access to data. Furthermore, once automation is established, countries need to maintain their infrastructure over the long term. Therefore the financial resources to routinely upgrade hardware and software will also be required.

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Agenda Item 9.2 Document 1018 April 2018

Implementing E-Phyto

I. Background

PurposeThe intent of this guide is to provide decision-makers within national plant protection organizations (NPPO) with guidance on some of the factors and considerations in the planning and implementation of electronic phytosanitary certification. NPPOs should develop responses to the questions provided in the guide and in consultation with stakeholders develop an action plan for implementation.

Phytosanitary certification is used to attest that consignments meet phytosanitary import requirements and is applied to most plants, plant products and other regulated articles that are traded internationally. Phytosanitary certification contributes to the protection of plants, including cultivated and uncultivated/unmanaged plants and wild flora (including aquatic plants), habitats and ecosystems in the importing countries. Phytosanitary certification also facilitates international trade in plants, plant products and other regulated articles by providing an internationally agreed document and related procedures. 1

Purpose of Phytosanitary Certificates

Phytosanitary certificates are issued to attest that plants, plant products or other regulated articles meet the phytosanitary import requirements of importing countries and are in conformity with the certifying statement. Phytosanitary certificates may also be issued to support re-export certification to other countries. Phytosanitary certificates should be issued only for these purposes. 2

What is ePhyto?An ePhyto is the electronic equivalent of a paper phytosanitary certificate. An ePhyto is not a digital image. A digital image such as a pdf, JPEG, or other image format provides very little benefits over the paper document as the information remains in a format that cannot be easily analyzed. An ePhyto contains the digital data of the paper certificate in a prescribed format which allows the information to be indexed and searched. In this way, the information provides significant benefits over paper documents allowing national plant protection organizations, other border authorities and traders to be able to store access and analyze information faster and more securely.

Appendix 1 of the International Standard for Phytosanitary Measures (ISPM) 12 Phytosanitary certificates prescribes the requirements for electronic phytosanitary certificates. Some of the requirements are:

- The message structure should be based upon a defined structure in eXtensible Markup Language (XML). XML stores data in plain text format. This provides a

1 ISPM12 (2017) 2 ISPM12 (2017)

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software- and hardware-independent way of storing, transporting, and sharing data. It also makes it easier to expand or upgrade to new operating systems, new applications, or new browsers, without losing data. With XML, data can be read easily by people, computers, voice machines, news feeds, etc.

- The phytosanitary XML message structure is based on the United Nations Centre for Trade Facilitation and Electronic Business (UN/CEFACT) Sanitary and Phytosanitary (SPS) XML schema.

- To ensure that all NPPOs can understand the messages being exchanged, the phytosanitary certification data should follow standardized (harmonized) terms, codes and text for the data elements associated with the XML message. These have been defined on the international phytosanitary portal at: https://www.ippc.int/en/ephyto/ephyto-technical-information/

- Transmission of data over the Internet from the NPPO of the exporting country to the NPPO of the importing country should be performed using Simple Object Access Protocol (SOAP).

ePhytos should only be used if accepted by the NPPO of the importing country. Countries should not obligate the use of ePhytos.

What is the ePhyto SolutionThe ePhyto Solution is an international technological approach to facilitate the exchange of electronic certificates. The CPM 12 requested the IPPC Secretariat to pursue the development of the ePhyto Solution to advance the use of electronic certificates for plants and plant products moving in trade. The widespread use of ePhytos has been limited by the capacities of countries to develop the technological infrastructure to create the electronic message and the resources to conduct required bilateral engagements to work out specific the structure of the messages to be exchanged. A study conducted in 2012 noted that the adoption of electronic certificates by NPPOs could be facilitated by establishing an exchange mechanism referred to as a “hub” that transfers the electronic message from the NPPO of the exporting country to the NPPO of the importing country. The hub has been established and NPPOs send the certificate configured according to the requirements prescribed in Appendix 1 of ISPM 12 and further described in harmonized schema, codes and terms documents3 to the hub in accordance with a specific communication protocol. The message is sent using secure protocols which protect the message from tampering. The hub transfers the message to the importing country.

To further facilitate the use of electronic certificates, the IPPC Secretariat has also developed a simple web based system to create, send and receive the ePhytos by way of the hub. The system is referred to as the generic ePhyto national system (GeNS) and is intended as an alternative to systems developed by the country to create and receive ePhyto messages. As the GeNS only offers a workflow for the creation and receipt of the electronic certificates based upon information supplied by an exporter or agent, the system does not replicate many of the systems that countries may already have developed independently to track

3 The harmonized schema, codes and terms are found at: https://www.ippc.int/en/ephyto/ephyto-technical-information/

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inspection, testing and other phytosanitary activities. Therefore careful consideration must be taken in considering how the GeNS will be used nationally. A series of potential options are provided in Figure 1.

Figure 1: Potential implementations of the GeNS

Governance and Operation of the ePhyto SolutionThe IPPC Secretariat has been charged with the governance of the ePhyto Solution by the Commission on Phytosanitary Measures (CPM). CPM 11 (2016) “supported the implementation of the STDF project to pilot the hub and the generic national system to promote the use of ePhyto by CPs [Contracting Parties] worldwide including developing countries and requested the Secretariat report back to CPM 12 on progress in implementation of the ePhyto project”. The IPPC Secretariat has contracted with the United Nations International Computing Centre (UNICC) to develop and operate the hub and GeNS. For those countries that choose to implement the GeNS, the system operation will be provided by UNICC, with little technical operation required in-country.

Establishing E-Phyto Implementation Team

Project TeamExamples of a project team:

- Senior staff member involved in or leading phytosanitary certification;- Senior staff member involved in reviewing phytosanitary certificates for import;- Senior staff member involved in informatics and technology in the Department or

NPPO;- Staff member issuing phytosanitary certificates;- Service provider representative, if appropriate;- Client representative

Ongoing use of the GeNS

Implement the GeNSContinued manual processing of

workflow elements outside of the scope of the GeNS

Time limited use of GeNS

Implement the GeNS to implement

efficiencies

Develop national system to address other automation

needs

Implement national system and

discontinue GeNS use

National system

Develop integrated solution to address multiple objectives (e.g. efficiency improivements, interoperabilty with NSW, etc.)

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Groups and Agencies to be ConsultedName and identify the function of the organizations and/or group within an organization that have responsibilities or will be consulted in regard to development of the Blueprint.

II. Approach.

The guiding principles used to develop the recommendations in this report are:

1. Development of an sustainable, implementable information technology (IT) solution that suits the national economic and infrastructure environment;

2. Development of procedures that bring efficiency to government and traders;3. Development of a national policy framework that supports the sustainable

implementation of the solution;4. Implement a smooth transition of staff, clients and cooperating agencies to the

automated environment.

The outcomes sought through the ePhyto and the necessary data harmonization and information processes aligned to the guiding principles are to reduce organizational and cross border costs and to improve market access by:

- enabling exporters to submit all information through an automated system;- discontinuing, as much as feasible, the practice of manual submissions of export

information;- implementing improved risk-based clearance procedures for imports;- Increased coordination for the identification, management and response to risk.

III. Benefits of ePhyto

The establishment of electronic certificate exchanges can be an important component in supporting trade facilitation. In particular the implementation of electronic exchanges

Head of NPPO

Operations Supervisor

Phytosanitary certification official

Inspector

Financial Management Project Manager

Project team member

Project team member

Project team member

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supports transparency and fairness in government processes; better governance and modernization of procedures including more efficient and effective border procedures. The establishment of electronic certificates in phytosanitary certification provides a number of direct and indirect benefits to both the government and private sector. These include:

1. Cost reduction elements:- Reduction in the cost of printing and transferring paper certificates between

government and its clients;- Reduction in the costs associated with sorting, retrieving, and archiving paper

documents;- Improved service delivery for clients; - Increased efficiency in the exchange of certificates between NPPOs

2. Transparency and operational efficiency elements:- Increase in the security certificates including the elimination of fraudulent

certificates; - Increased ability to analyze and address documentary issues in advance of

commodity arrival;- Increased ability to effectively plan on addressing commodity risks;- Increased ability to analyze and plan based upon real time and historical data

analysis;- Government wide integration of electronic initiatives.

3. Cost avoidance elements:- Removal of the need to establish specific country by country bilateral for

exchange of certificates;- Reduction in the need to conduct auditing of certificate issuance processes

4. Risk reduction elements:- Assessment of risk at the time the e-Phyto is received (generally in advance of

commodity arrival)- Ability to reassess commodity risk and tailor the operational response - Improved traceability (electronic system)

Although many or more than likely all of the benefits identified here are likely to be achieved upon implementation of the use of ePhytos, NPPOs should review the costs and benefits of implementation. Many of the costs associated with infrastructure improvements, legislative changes, policy development, staff training, stakeholder consultation, outreach and transitioning are generally outweighed by the improvements in organizational efficiencies, risk management effectiveness and border system improvements. Guidance on conducting a cost/benefit analysis is provided in Section XX

IV. Definitions, terms and abbreviations

CPM Commission on Phytosanitary Measures

Document Written, printed, or electronic matter that provides information or evidence

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or that serves as an official record.

ePhyto The electronic equivalent of a paper phytosanitary certificate which contains electronic data in the format established in Appendix 1 of ISPM 12 Phytosanitary Certificates

ePhyto Solution An information technology solution developed by the IPPC which consists of a hub to facilitate the exchange of ePhytos, a generic ePhyto national system (GeNS) to allow the creation, sending through the hub and receipt of ePhytos and a harmonized message format.

Hub A secure centralized service which exchanges ePhytos between NPPOs connected to the service.

Generic ePhyto national system

A web-based system that creates, sends and receives ePhytos by way of the hub and in accordance with the schema, codes and terms prescribed in Appendix 1 of ISPM 12 Phytosanitary Certificates

GeNS Generic ePhyto national system

ISPM International Standard for Phytosanitary Measures

National ePhyto Solution

The system used nationally to create, send and receive ePhytos by way of the hub and in accordance with the schema, codes and terms prescribed in Appendix 1 of ISPM 12 Phytosanitary Certificates

V. Blueprint for Exchanging ePhyto

ContextDescribe the national context and current environment in which ePhyto will be used.

- Volume of trade for the country- Volume of trade in plant and plant products- Number of phytosanitary certificates issued per annum and key commodity classes- Description of plant and plant product trade by volume with destination and by

volume (whether it is increasing or decreasing)- Points of entry - Number of people involved in processing and a brief description of their roles- Average time to undertake import and export processes (and how this was verified)

Identify the specific areas in the Blueprint where there is the opportunity for national customization

The approach in the blueprint will be to assist the implementation of ePhyto in a manner specifically geared to the needs of the <Country>

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The factors that will influence the design of processes and procedures that were considered during the development of this blueprint included

a) Imperatives related to Government funding & timing of the fundingb) Imperatives related to Donor funding and timing of the fundingc) Imperatives from other reforms, projects or initiatives e.g. connection to a national

single windowd) Constraints in terms of the design of the processese) Volume of trade

VI. Strategy for the Blueprint for Exchanging ePhyto

ePhyto Vision.It is good practice in the design of any electronic system to establish a high-level vision at the outset. The vision forms the basis for further elaboration on the components of the overall implementation strategy including communications, technical and operational changes and governance and financial support.

The international vision for ePhyto is:

‘safe, secure and efficient trade in plants and plant products’

Considering the vision described above, countries should develop a national vision for ePhyto. The national vision for ePhyto is a starting point defining

- The target users/beneficiaries- The scope- The key features- The key outcomes

Some key themes normally identified in a vision statement include:

- Link to the national vision for biosecurity and economic development of trade, agriculture and the environment

- Benefits to trade - Benefits to Government - Simplification of procedures- Time reduction - Electronic - Transparency - Efficiency - Cost saving- Connectivity NPPO to NPPO- Connectivity with a national and/or regional single window

NPPOs should carefully consider the linkage between implementation of ePhytos and national trade facilitation efforts. Although paperless documentation in its self is not a

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Agenda Item 9.2 Document 1018 April 2018

component of the Trade Facilitation Agreement (TFA), the implementation of electronic certification can support implementation of agreement through modernization of border activities, linkages to the implementation of single windows and improvements in border risk management. As countries move to implement the TFA, national resources for implementation may be used to support to ePhyto implementation if national policy makers, donors and others can easily visualize the linkages. Developing a clear vision that aligns with national trade facilitation efforts could be an effective strategy in leverage TFA funding.

Examples of national visions for implementation of e-phyto:

1. Implement the International Standard for Phytosanitary Measures 12 in a manner that facilitates the trade of plants and plant products and improves the service delivery for traders through government automation, harmonization, transparency and access to and simplification of procedures;

2. Lower the cost of moving goods across borders for the private sector and government in order to improve national agriculture and reduce pest risks associated with the cross border movement of goods.

3. Exchanging electronic phytosanitary certificates will reduce fraudulent certificates, expedite the clearance of perishable commodities, and enhance compliance with SPS measures.

Illustration of the Components of an ePhyto national strategyOnce the vision has been established the national strategy can be developed. The strategy or model can be considered to consist of 6 key components. These are described in the text bel0w and presented in Figure 2 :

Capacity Building

Function Technical

ModelOperational

ModelGovernance

Model

Financing Model

Legal Issues

Figure 2 - Components of the national strategy

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A number of factors are critical to the successful implementation of electronic certification. These include: political will and senior government and stakeholder support; clarity and effectiveness in project planning, legislation, software and hardware an effective strategy on change management and adequate funding. The components presented here describe the key elements that countries should consider in developing the effective strategy for implementation. The questions presented with the components are intended to guide project planners in developing an implementation plan that supports policy decision making, establishes a work plan for implementation and provides communication and advocacy to support the investments required for effective implementation. In developing the plan, the project team should undertake a concept or feasibility analysis to determine the changes are warranted. In some cases countries may not achieve sufficient benefits to justify the financial outlay. These will be rare since the numbers of benefits that may be achieved are significant and that improvements in trade facilitation and government efficiencies alone may significantly outweigh the marginal costs in infrastructure, administration and change management. The undertaking of a cost-benefit assessment would clarify the extent of positive impacts.

Countries should also at the outset should identify clearly the stakeholders involved and establish a process for consultation. Stakeholders often exceed the general contacts of the NPPO. For example, logistics providers, agents, banks and others use phytosanitary certification. Customs agencies, other collaborating agencies may be affected by significant changes in plant health procedures.

Governance ModelA Governance Model defines the responsibilities for ensuring that the operation of the ePhyto system established nationally meets its service level obligations or objectives and the intended needs of the stakeholders and looks forward to opportunities for enhanced services agreed by stakeholders.

Some of the considerations for the model include:

1. Who is the Business Owner for national ePhyto Solution?The business owner is the person or group within the organization responsible for the implementation of the project. The business owner should define the business needs for the system and drive the financial, legislative and organizational changes required to implement the system. They will also set the standards for the operation of the system and what information including reports is required. In many cases the business owner will be the senior person in the NPPO responsible for financial and personnel management. However, in cases where the national system for producing electronic certificates is part of a larger department or government wide system (e.g. a single window, a food-plant-animal system for certification), the business owner may reside in another agency or department or may be a steering committee or inter-agency group.

The business owner should also define and oversee the financial needs of the project. For example in the case of countries implementing the GeNS, the NPPO may require

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technological improvements of infrastructure. Although the system operates over the web, new or additional hardware may be required to allow the staff issuing or reviewing ePhytos to access the information.

2. Who are the stakeholders?The stakeholders are those organizations, agencies and staff involved with phytosanitary certification. All members of the NPPO carrying out phytosanitary activities are likely to be affected by changes to the way in which the business is carried out. Similarly the clients of the NPPO and those agencies working with the NPPO to facilitate exports and provide clearances for imports are also likely to be implicated in any changes to the business workflow. Stakeholders broadly fit into four categories

A. Users (e.g. brokers, agents, logistics providers, etc.)B. Traders (e.g. exporters, importers, etc.)C. Information consumers (e.g. supporting agencies such as Customs, Environment,

Food Safety, etc.)D. Operators and technicians (NPPO certifying officials, NPPO border staff, service

providers, NPPO administration staff, etc.)

The stakeholders therefore are likely to be:

- Staff- The Customs agency;- Other government border agencies such as: environment, natural resources, food,

etc;- Exporters and importers;- Logistics providers;- Brokers and agents;- Service providers (those providing inspection, testing or other services on behalf of

the NPPO); - ePhyto Hub Operator, GeNS Technicians, ICT technicians and service providers

3. What do the Business Owner and stakeholders expect from the developed solution?The expectations of stakeholders may be very different from those of the NPPO. Traders and users may have performance-related expectations. They may seek improved reliability, performance or service standards; good communication; reasonable timeframes for notification of changes or outages; consultation on changes; access to a helpdesk; process for suggesting system improvements; etc. Information consumers are likely to expect data accuracy, timely access to information (reports), a contact point for changes to reports/ad-hoc requests for information, etc. The NPPO is likely to have specific government performance and efficiency expectations as well as better data and information that can be used to support risk management decisions. The expectations may also change from the time of implementation and in ongoing operation.

The national vision should reflect these expectations. For example, one country’s NPPO indicated that the main reason for implementing electronic certification was to provide their

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trading partners with improved transparency and security. They noted that many importing countries had received fraudulent certificates and were beginning to place increased restrictions on imports. Improved security of certificates would allow legitimate exports to more easily be admitted by importing countries. Other countries are simply seeking to improve work efficiencies or to better collaborate between border agencies. Undertaking a careful cost-benefit assessment would better allow countries to clearly identify expectations and to better communicate the overall vision. Consideration should be given to the cost-benefit assessment work undertaken.

4. What is the timeline?The establishment of the Generic ePhyto National System (GeNS) and hub is expected to be complete and fully operating by the end of 2018. Although training on use of the GeNS is not expected to require significant technical knowledge, the process of reengineering business activities to accommodate electronic certificates may take time. The policy, legal, technical infrastructure changes that may be required to implement the system may require several months before a system can be implemented.

5. Does the Governance entity change from development to operation?As noted in the Section “Governance and operation of the ePhyto Solution”, the IPPC Secretariat is responsible for the governance of the Solution. Countries which have an IT system capable of producing the electronic certificate, the agency responsible for governing the system may be the NPPO, the Department responsible for the NPPO or even a central agency responsible for the IT solutions. In this case, the responsibility for the governance of the overall solution is shared between the IPPC, which is responsible for the hub operation and the national agency connecting to the hub.

In other countries, the system may connect to or be incorporated within other border management systems such as a single window. In this case, the governance nationally may be provided by another border agency or department. Where a system is developed specifically by the NPPO, the system may be operated by a service provider on behalf of the NPPO. In this latter case the NPPO remains the governance body for the system but the operation is provided by third party.

In the case of countries using the GeNS, this system is developed and housed on servers operated by the IPPC’s service provider, the United Nations International Computing Centre (UNICC) and it is operated over the World Wide Web. Although the system is specific for each country using it, the governance of the system is maintained by the IPPC. Although the system will have specific operating parameters, there may be room for some customization on a country-specific basis. It’s important to note that although the governance of theGeNS and hub falls on the IPPC, the governance of national components related to certification will be the responsibility of the NPPO, department or national agency responsible.

In all of these situations the role in governance differs. In some cases, the governing body may be responsible for a system, and its infrastructure, in others responsibility may only be in securing and maintain infrastructure and resources to support operation of the GeNS and

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hub. Regardless when developing the implantation plan the scope of national governance should be carefully considered.

Figure 3 provides an example of the hierarchy for a business model.

6. How often will the ePhyto Operator be required to report to the Governance entity and what must be reported?

As part of the contractual obligations between the UNICC and the IPPC Secretariat, only limited data is accessible to the UNICC. The data relates to the volume of certificates transacted. Specific information in phytosanitary certificates is not read or monitored by the UNICC. The UNICC will provide bi-annual reports on transactions to the IPPC Secretariat. These will then be provided as statistical information to CPM.

NPPOs can extract reports directly from the GeNS in comma separated values format. This allows NPPOs to further analyze the data using a spreadsheet program such as Microsoft Excel, Apple Numbers, Google Sheets, LibreOffice Calc, and others. The purpose of the reports and the information gathered from the reports should be considered carefully. For example, reporting may be used to justify funding the costs associated with the transfer from paper to electronic documents; to communicate improved efficiencies in client and business operations; to determine where to allocate resources against the highest risks; etc. Each of these requires differing information and analysis. It is important therefore to identify the needs well in advance of implementation to ensure that the appropriate information is collected.

Operational ModelThe Operational Model defines the organizational responsibilities for the national ePhyto operation. It may include Service Level Agreements (SLAs) or Service Level Objectives (SLOs) and the concept of operation elaborated in the Functional Model.

1. Who will operate the technical components of the ePhyto system?In many countries the NPPO or the Department or Ministry of Agriculture will operate the electronic certification system. However, many countries may also employ service providers to develop and implement technology systems.

In the case of the GeNS, the system will be operated by the UNICC as a service provider to the IPPC. The NPPO’s staff following training by the UNICC will implement and use the system. Traders will also be able to access the system to request for certification; to provide data on the commodity they are exporting and to modify or determine the status of a request. The NPPO will coordinate and lead training of its traders and their authorized representatives (e.g. Customs brokers).

In some cases where a national or department-wide system is developed and implemented, the NPPO may not operate the system. The NPPO may be one business owner while the system is operated by another department or agency. Defining the responsibilities of the operator in this case will be critical for ensuring a smooth business operation for the NPPO. In the case of a system operated by another organization or service provider, the NPPO

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should ensure that its expectations for timely reporting, scheduled changes, etc. are included in the operational standards. In some countries, the national single window is used to create, issue and receive electronic certificates. Although the NPPO accesses the system to produce certificates or to validate received certificates, any changes to the system must be approved by the Customs administration who is governs and operates the system. Therefore any changes to the schema must be validated by the Customs administration. If the changes affect the information received by Customs or other border agencies there may be reluctance to adopt the changes affecting the country’s ability to continue to use electronic certificates.

Standards for the GeNS operation will be included in IPPC policy and operational documents. NPPOs should review these documents to determine if the standards align with the business activities of the NPPO.

NPPOs should consider the implications of electronic certification for other stakeholders. For example, how will implementing the GeNS affect the procedures of other border agencies that use paper phytosanitary certificates? What procedures will be used by clients that deal with multiple agencies some of which will still require paper certificates? This will be discussed in greater detail in the ePhyto Change Management Guide.

2. What expertise/capacity is expected of the operatorThe UNICC has been selected by the IPPC Secretariat as the service provider for the GeNS based upon a number of operational and policy advantages including:

- Existing expertise in providing informatics services to 40 other United Nations organizations, many of whom have high security and high infrastructure support needs. These requirements allow the ePhyto Solution to benefit from existing infrastructure in addition to expertise;

- An existing umbrella memorandum of understanding (MOU) with the Food and Agriculture Organization of the United Nations (FAO) which allows the IPPC Secretariat which is housed by FAO to enter into specific agreements with the UNICC for the operation of the hub and GeNS;

- Operates on a cost recovery basis providing fairness to the IPPC’s contracting parties;

- Operating under the privileges and immunities of the United Nations which maintain the integrity and security of information provided by the IPPC contracting parties;

- That FAO is a member of the management board of UNICC

The GeNS may be used any time of the day or night Its design is based upon generalized workflows of NPPOs. Help desk services will also be available at all times. However, help desk services will confined to technical issues (e.g. access of the system, difficulties with passwords, errors in transmission, etc.). Help desk services related to phytosanitary issues will need to be addressed by the NPPO in the same manner as is currently addressed for paper certificates. For example, issues with lack of clarity of import requirements; errors in certification; differences of interpretation of import requirements; etc. will need to be

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resolved between the NPPO of the exporting country and the NPPO of the importing country.

The GeNS functionality is limited to the creation, sending and receipt of electronic phytosanitary certificates. Although the system does include within the work flow the certification component, it is not included in any great detail. Therefore, NPPOs will need to consider the link of the GeNS to other existing technology infrastructure. Countries may have already established fee collection systems, import or export data collection systems, inspection tracking, etc. NPPOs should consider how the use of the GeNS or other certification system will affect the use of these other systems and will reconfiguration of business processes be required to address any gaps. For example, is there a need to link the collection of the fee to the issuance of the certificate? The GeNS does not provide a facility for linking fees to certificate issuance or receipt. The NPPO may therefore need to develop other offline processes to achieve the objective.

3. Does the proposed Operator have the legal status (according to national legislation), expertise and capacity to operate the ePhyto?

The GeNS will operate over the web and store data on UNICC servers. The NPPO may have specific legal obligations with respect to data collection and storage. These may be prescribed in the national plant protection legislation or in supporting legislation regarding electronic information. The NPPO will need to carefully consider whether the use of the GeNS complies with national obligations. If there are gaps in the authorities to use electronic certificates or to collect or store data, the NPPO may need to review options and timelines for adjusting legislation.

4. Who is the implementer versus who is the operator?NPPOs using the GeNS are implementers of an ePhyto system. The expertise required by the NPPO to operate the system will focus on technical capacity to use the web-based system. The GeNS permits access to the system based upon roles. Each role may have differing technical and/or phytosanitary knowledge. The roles are described below:

a. The GeNS Administrator (UNICC/IPPC) will grant and configure access for an NPPO Administrator.

b. Once an NPPO Administrator has been assigned, s/he will have the ability add Officers, Inspectors, Assistants, Company Administrators and other NPPO Administrators (only the primary administrator assign and revoke additional administrator roles). This role will require some technical capacity and will be responsible for maintaining the access of other system users. The role will not require specific phytosanitary knowledge.

c. A Company Administrator will add Company users and other Company Administrators. This role will require some technical capacity, but will be centered on maintaining the obligations prescribed by the NPPO regarding the safe and secure use of the system by the company.

d. A Company User will be able to create requests for certification within the system. The Company User can also view phytosanitary certificate information held under

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the company’s account (previous phytosanitary certificates, the status of pending applications, etc.). The Company User can also request withdrawal or cancellation of certificates.

e. The role NPPO Assistant: Administrative assistant role to initiate different workflows. Can view all Phytosanitary certificates under their NPPO.

f. NPPO Inspector: In-field inspectors. Update the certificate requests and initiate other workflows. Submits request for issuance of Phytosanitary certificates. Can view all Phytosanitary certificates under their NPPO

g. NPPO Officer: Only role authorized to issue, withdraw or replace Phytosanitary certificates.

NPPOs need not assign all roles and in some cases, NPPOs may choose to only assign one or two roles. For example, an NPPO may choose to have the NPPO Officer perform the roles of NPPO Officer, NPPO Inspector and NPPO Assistant. In other cases, NPPO’s may choose to administer companies and only authorize specific users within a company to have access to the system. Regardless of the structure, those involved with using the system will require specific training on those aspects related of their roles. The UNICC will provide training to the NPPO. Training will likely be provided as train-the trainer sessions combined with web-based or media related tools. Additional training of the NPPOs clients and stakeholders will be the responsibility of the NPPO.

5. How does the operator address any deficiencies in capacity/expertise?Where governments do not possess sufficient capacities to operate the system, public private partnerships through service contracts or other frameworks may be useful is supporting implementation. Countries often have competent private sector information technology firms that can provide development support, operational support or both. Seeking these to provide capacity may be an effective implementation tool. NPPOs should careful consider the requirements in national legislation with regards to the control and use of data by third parties.

Expertise and capacity for operating the GeNS is provided by the UNICC. As implementers of the GeNS, NPPOs need only the capacity to operate the system. The UNICC will provide training on use of the system to the NPPO. Therefore, provided the NPPO can undertake the business changes necessary to implement the system and further implement sufficient training for its users including its clients, the need for further expertise or capacity should be limited.

When Malaysia implemented its MyPhyto system for improving certification procedures, the Department of Agriculture and Agro-based Business provided training to its clients in various sessions held throughout the implementation region. However, the department counties to maintain several dummy terminals at each of its offices, for clients to come in and receive training on how to input information into the system.

6. What are the expected services and service standards?Users may expect specific service standards including

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- Functional conformance to requirements- Transaction integrity and non-repudiation – the GeNS provides security

standards for transmission but does not require digital signatures and does not guarantee that electronic certificate will be accepted by the receiving party;

- Guarantee against loss of data – the selection of the UNICC to operate the GeNS hub was undertaken based on its capacity to provide uninterrupted reliable service. The UNICC provides redundancy and replication to ensure that data losses are very unlikely;

- Performance (response time) – system performance depends on a number of factors. Although the GeNS has been established to perform in low band widths, performance times will vary based upon national infrastructure, availability to upload data, etc. NPPOs should consider operating conditions in determining the level of service;

- Disaster recovery – UNICC undertakes routine disaster recovery testing and operates with a maximum recovery time of 24 hours.

- Guarantees of privacy of commercial-in-confidence data – It should be recognized that paper certification provides little confidence in securing the commercial data contained in the certificate. In the paper certification environment, the paper certificate is often exchanged between trade entities multiple times in which sensitive information may be exposed. The ePhyto moves directly from NPPO to NPPO. Traders are still able to obtain electronic or paper copies of the certificate and these may still present risks of exposing information but the ePhyto is far less susceptible to exposing information.

- Data protection within boundaries of the law- Help Desk – in most cases, system users (clients and NPPO staff) will expect both

business-related and technology-related help. Business-related enquires for the most part exist with respect to the issuance of paper certificates. In many cases, questions regarding business-related enquires relate to import requirements or NPPO processes and these are handled in specific way by the NPPO (e.g. responded to by the senior officer, assigned to a headquarters officer, etc.). Technical enquires will present a new challenge and need to be considered in the context of capacity. It may be that these types of enquiries are best dealt with by technical staff or through a service level agreement with a third party.

- Guaranteed response times for support and problem resolution- Fee and revenue collection – the GeNS does not include a fee collection

mechanism. Advantages in the entry of electronic data by clients can be minimized, if fees are required to be submitted to offices remote to clients. Therefore NPPOs should carefully consider the implication of fees in the overall operation of a electronic system.

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A working ePhyto Business Model depicts the roles and relationships between the Governance Model and the Operational Model.

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Figure 3: Example of business model

Functional Model - Technical The functional technical model describes the technical operating requirements of the national solution. These should reflect the standards and guidance established by the IPPC with respect to electronic phytosanitary certificates, but may also need to consider the technical requirements of data exchange with stakeholders and cooperating agencies (e.g. Customs).

1. Does your national system meet the technical requirements of Appendix 1 of ISPM 12 and those of the hub?

Appendix 1 to ISPM 12, Phytosanitary certificates requires among other technical standards that ePhyto’s being exchanged:

- Use extensible markup language (XML) in the electronic Phytosanitary Certificate- Use the schema developed for the ePhyto- Use the codes and lists developed for e-Phyto?

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- Connect to the hub according to the web services description language (WSDL)?

The GeNS is configured to meet these technical requirements.

2. Will your national system connect to import permits for export and import?Import permits are used to manage the risk of commodities although some countries require every imported commodity or every consignment to be accompanied by an import permit. As a consequence requirements for import permits can substantially affect commodity movement waiting for the issuance of import permits or the release of shipments based upon paper permits. The automation of import issuance and validation of certification based import permits issued can substantially facilitate trade while enhancing risk management. Automation of import permit issuance can reduce the administrative tasks of the NPPO while improving the efficiency in the issuance and delivery of the permit to traders. Automating the validation of phytosanitary information on the ePhyto in accordance with requirements specified on the import permit can expedite approvals; reduce errors in validation; remove manual processing and allow staff to focus more on risk management activities.

The GeNS is not designed to issue import permits or validate information on the certificate with the issued permit. Consequently although the system will improve phytosanitary certificate processes, import permit processes will still require manual processing. However, where countries use import permits primarily to control high risk imports, manual processing of import permits may not significantly change the advantages of moving to electronic certificates.

3. Are you registered to connect to the hub?

Figure 4: Registration to use hub service

4. Are you registered to receive the GeNS?

Confirm that the national system meets the

technical requirements to connect to the hub

National system adminstrator (NSA)

acesses the hub portal and fills out the registration for

participation

Hub confirms with NPPO Official Contact Point that

NSA is authorized to access the hub

Hub approves registration of NSA

Information on hub connection provided to

NSA to begin connection

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Figure 5: Registration process to use the GeNS

5. Have you read the use policy for the ePhyto Solution?Policy on the Use of the ePhyto Solution describes the roles and responsibilities of the NPPO in using the ePhyto Solution and the roles and responsibilities of the IPPC Secretariat in supplying the service. The document is intended to prevent misuse of the Solution.

Countries may need to consider whether additional policies, administrative procedures or other frameworks are required to ensure that use of the Solution is in keeping with national and international obligations for electronic information. Some countries for example have prescriptive standards for data security and storage. These must be observed and may require that countries consider what types of arrangements may be required prior to exchanging information electronically.

6. How will you store and archive data?Phytosanitary certificates are issued to attest that plants, plant products or other regulated articles meet the phytosanitary import requirements of importing countries and are in conformity with the certifying statement. They also provide useful evidence on the risk of plants and plant products moving in trade. The ability to analyze the information contained in phytosanitary certificates provides NPPOs with the ability to both better use resources and phytosanitary measures to address pest risks. Storing and archiving data therefore is a critical consideration in the implementation of electronic certificates as it allows NPPOs to better analyze the electronic information. The data size of most electronic certificates should not exceed few kilobytes. The GeNS system will store data in severs located at the UNICC. The information will be available for download to GeNS users. Local storage or cloud-based storage may be useful. Portable drives, local computers or dedicated storage servers may be sufficient depending on volumes of certificates and longevity of storage, etc. Some countries

NPPO reviews prepardness to implement

NPPO requests access to GeNS to IPPC Secretariat outlining preparedness

Secretariat reviews application with ePhyto

Steering Group (ESG) considering responses to implementation suurveys

Secretariat and ESG determine timining for on-

boardingNPPO onboarded

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have requirements for storing data for long periods of time. Countries should consider the expectations of stakeholders in requesting access to information and national standards for data storage and information provision.

7. If you are using the GeNS will you store data locally/how?Although the GeNS may provide some basic reporting, countries may wish to consider establishing local data storage to be able to more fully analyze phytosanitary information.

8. Who is your Administrator (to provide access or permissions, register users, etc.)?Establishment of national systems or the use of the GeNS requires that a focal point control access privileges and other technical provisioning. With respect to the GeNS the administrator is a key contact point to address technical issues between the UNICC and the country.

9. Who will provide helpdesk support for your clients?Although the UNICC will provide help desk support to the NPPO using the GeNS, helpdesk support for the NPPO’s clients must be provided by the NPPO. Many of the help desk requests relate to difficulties with passwords, network connectivity, ability to use the system, etc. The local administrator or other designated individual (help-desk operator) may be able to address all of these issues. Many organizations use a multi-tier approach to help desk engagement. For simple issues, the tier one help –desk contact addresses the issue. For more complex issues or business related queries the issue is elevated to a business contact point or technical administrator. For complex issues, the local administrator may need to consult with UNICC or other local technical support (e.g. Ministry IT staff, etc.)

10. Who will define and maintain the currency of users, workflow roles, workflow users and workflow tasks?

11. What reports will you obtain and how will these be used?

12. If you use other systems to store data on biosecurity activities will these require interoperability? How will this be achieved?

13. Will you allow clients to export data to your system? Under what conditions? What is the requirements to allow clients to export data to you?

Functional Model - Operational

1. Document your current operations for the issuance of a paper phytosanitary certificate – include the process; documents, actors and their actions (people participating in the process private sector and public sector), places of operation; hours of operation; volumes of paper phytosanitary certificates

2. Document your current operation for the receipt of a paper phytosanitary certificate? include the process; documents, actors and their actions (people participating in the process private sector and public sector), places of operation; hours of operation; volumes of paper phytosanitary certificates

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3. Document the new process for the issuance and receipt of an e-phyto process (future state)?

Financing Model - Establishment.

1. How will the build of an ePhyto system be financed? An important consideration in the adoption of electronic certification is the financing of the development and ongoing use of the system and any changes to the overall operations of the NPPO to support adoption and ongoing use.

The initial costs of developing the GeNS and hub have been absorbed by donors. Therefore, there are no costs to obtain the GeNS or to connect to the hub. The IPPC Secretariat is reviewing the cost recovery mechanism for the continued operation of the GeNS and hub. These systems have ongoing operating costs associated with maintaining system architecture, monitoring operations, provision of help desk services, upgrading infrastructure and software, maintaining security components, administration, etc. These costs may be transferred to countries or funded through donors or a combination of these.

Although system implementation itself may have little cost if GeNS is adopted, countries must consider that there may be other costs which must be addressed. These include:

Developmental costs include:- Development of a system- Re-alignment of existing systems or operations to the new system;- Project management;- Infrastructure improvements;- Training;- Consultations/communication/advocacy;- Development of support documents (including a cost-benefit analysis);

The undertaking of a cost-benefit analysis should identify many of the initial and operating costs and should produce sufficient arguments to seek senior management support.

Options for financing include:

- Government funding – government may choose to finance the development as a public good supporting improved efficiencies in government or other benefits to the public (e.g. improvements in risk mitigation through better information management);

- Leveraging government fee collection to support financing – governments may choose to support the development costs by adjusting fee schedules. Initial funding for development may be financed by existing government resources, but these are recouped later through fee adjustments. Often these adjustments may take into account for ongoing operational costs as well;

- Donor support or lending institution – a number of countries and international organizations support trade facilitation initiatives. The implementation of paperless initiatives is a key element in improvements in border operation. The NPPO could

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work through national trade facilitation bodies to leverage the implementation of ePhyto within the context of funding available for trade facilitation initiatives. More information on resources for national trade facilitation is available at UNCTAD

- Public-private partnerships (PPPs) – PPPs are defined as long-term contracts between a private party and a government entity, for providing a public asset or service, in which the private party bears significant risk and management responsibility, and remuneration is linked to its performance. In these cases the government remains the governance body, while a private company develops the service under contract to the government. More information on PPPs is available at: the PPP Knowledge Lab

- Combinations of funding models – governments may choose to fund some components of the project through government funds (e.g. project workload costs, training, etc.), while others (infrastructure, adjustment of existing supporting systems, etc.) are funded through another model such as PPPs.

2. How will the infrastructure and the ongoing operating costs be financed?Many of the principles described in financing the system apply to financing infrastructure and ongoing operation. The implementation of automation within government operations necessitates that governments continue to maintain and upgrade the system and infrastructure over time. Clients and stakeholders will expect these improvements. Consequently, governments should recognize that the commitment to funding the operation goes beyond initial outlays. The project design should estimate the costs of ongoing operation and improvements. The funding model should support these costs.

3. Who decides on the model?Often the governance structure decides the model. In some cases, elected officials or the donor organization may provide input into the scope of the model. Where fees are going to be used in supporting financing, there may be legislative or regulatory considerations along with the need to hold stakeholder consultations before fees are changed or adopted.

4. What information is required to support the decision?Some of the information that may be required includes:

- Clarity on the costs, benefits and benefactors;- Timeline for development and implementation;- Consultations required and results of consultations;- Legislative or regulatory impact analysis;- Stakeholder impact analysis;- Long term cost recovery strategy;- Human resources impact analysis; - Mitigation strategy for all negative impacts

Financing Model – Business as Usual

1. How will operation of the ePhyto system be financed?

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Once build is complete, operation of the system and supporting resources will need to be funded. Ongoing costs include:

- Operation costs of hub, a national system and/or GeNS- Infrastructure and software improvements;- Re-training;- Benefit analysis;- Help-desk and other support services;- Other administrative costs- How will upgrades and changes to the ePhyto system infrastructure be financed?

Options for financing ongoing operation of the system may be the same as those provided for development. Often ongoing costs are addressed through fees for services. Many NPPOs currently collect fees for phytosanitary certification. NPPOs should assess those fees with consideration to the changes to program operation following implementation of electronic certificates. Although significant efficiencies can be achieved through adoption of electronic certification such as those provided in Section III, it’s important to note that some improvements may be tempered by other processes. These include:

- Paper certificates will still be required to support trader’s specific uses and to provide phytosanitary certificates to countries only accepting paper certificates;

- Certain border activities may still be dependent on the presentation of paper certificates depending on the integration of electronic data with other border systems;

- The development of ad hoc systems for phytosanitary activities may require that work flows become more complex following implementation as a result of poor interoperability between systems;

It should be noted that obligations under the World Trade Organization’s Trade Facilitation Agreement requires that country impose only those fees required to recover the costs of services. It also obligates the country to publish the fees; provide the reasoning for the fees and to routinely review fees with the objective of simplifying the fee structure. Some general principles on setting a fee structure include:

- Compliance with national legislation governing the setting of user fees;- Consistency across government in considering the costs of services;- Costing should be undertaken in consultation with affected stakeholders;- Costing should carefully consider the costs associated with the service- Whether the service provides both a public sand private benefit and if a public

benefit exists is full cost recovery justified

2. Who decides on the finance model?Although the decision regarding the finance model for ongoing operation may made by the same authorities as development of a system, in some cases ongoing operation may be supported by separate governance entity as described above. In some cases, ongoing operation may be absorbed within a central IT body or by other agencies providing oversight

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of IT systems within the department. Costs associated with human resources changes, training of stakeholders and staff, etc. may be absorbed within the NPPO budget or within other sub-units that specialize in training, for example. The decision-making associated with the ongoing operation of the solution is dependent on the scope of the ongoing costs, the funding structure and the governance structure.

3. What information is required to support the decision?The information required to support the decision is likely to be similar to that which is developed to support the initial implementation. However, ongoing support is likely to be also dependent on reporting that the expected benefits and the vision have been achieved. Careful consideration should be undertaken to ensure that the benefits can be effectively measured. This may involve benchmarking the current state prior to implementation and then measuring the benefits following implementation. Some key elements that could be considered for measurement are:

- Time required for traders to obtain the export certificate or to receive clearance for imported goods;

- Volume of non-compliance for documentary issues;- Changes in the categorization of commodities by risk;- Staff time associated with administrative activities/risk management activities- Service satisfaction of stakeholders

Examples of costs for various components

Functional Model – Business Process Analysis Business process analysis is an approach to analyzing the various activities involved in the business in order to identify the impacts and changes necessary to implement improvements in effectiveness and efficiency. In this case, the processes are those associated with the export certification and import of plants and plant products. The benefits expected will inform the analysis and the processes of stakeholders contributing to the process to should be included in the analysis to ensure that the impacts and changes result in improvements to the overall process. Electronic phytosanitary certification can be an important contributor to advances in trade facilitation. Although the implementation of electronic certification is not a specific objective of the Trade Facilitation Agreement, the implementation of electronic documents in trade can expedite export and import processes by allowing traders and governments to better share information; improving government decision-making; allowing for government agencies to better coordinate supporting activities; etc. Therefore in seeking to analyze business processes, NPPOs should consider the overall border management process for plant and plant product commodity movement. The United Nations of Experts for Paperless Trade and Transport in Asia and the Pacific (UNNExT) guide: Business Process Analysis Guide to Simplify Trade Procedures and supporting e-learning course are excellent tools in understanding the overall business process analysis for trade facilitation.

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The staging of the analysis is often as follows:

[1] Establish the project implementation team – a team may consist of the project sponsor (a governance representative) who provides leadership to the implementation; a project manager who develops the plan and oversees the project development and outputs; project staff that provide the resources required to obtain the required knowledge to implement; analyze the data received and support the development of the plan and project deliverables.

[2] Define the scope – in the ePhyto project the scope of the project is limited to the activities associated with the issuance and receipt of phytosanitary certificates. Some risk management activities are influenced by the documents and may be affected by moving from paper to paperless systems resulting from better analysis of information. For example, ability to more thoroughly analyze import information may allow NPPOs to better identify high risk commodities which may warrant immediate isolation of the import, thorough inspection and/or sampling at the port of arrival or other mitigation measure to prevent pest escape. Similarly low risk commodities may be expedited for inspection at the receivers premises or inspections and other activities may be forgone altogether if the commodity risk is minimal.

[3] Analysis of the “as-is” process – describes the current processes undertaken in paper certification. An example of “as-is” mapping is provided in Figure 6. The figure provides an overview of the workflow in exporting a commodity. It identifies the major steps in the documentation and certification process.

[4] Define the “to-be” process and identify the impacts, gaps and points where improvements in the “as-is” process are likely to be achieved. An example of the future process map is provided in Figure 7

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Figure 6 - Example of "as-is" process map for kava exports

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Insert “to-be diagram

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LegalThe implementation and operation of the ePhyto System must be based on a legal framework which enables the establishment of the ePhyto system, empowers the operational and governance entities, confers legal validity to the transactions and interactions between the parties participating in its operation and

1. Does your current legislation give the legal basis for implementing ePhyto?The use of electronic phytosanitary certificates may not be permitted by national legislation. Some plant protection or biosecurity legislation or regulations may specify that the certificate be presented in a paper format. More likely the language used in these laws may be ambiguous particularly if the law was developed in advance of modern digital communication. It should also be noted that for most countries, in the medium term, the use of paper certificates will be required for most trade transactions. This means that although electronic certificates may be exchanged between NPPOs, traders and border officials may still receive paper documents which may comply with national legislation.

2. Do you have electronic transactions, e-commerce, e-documents or data protection laws with provisions that apply to the implementation and use of ePhytos?

National legislation on electronic transactions, e-commerce or e-documents may prescribe specific conditions under which electronic documents or electronic data may be received, used, stored or transmitted. The United Nations Centre for Trade and Development UNCTAD) reports that 145 countries have such laws. A database of countries is located at: http://unctad.org/en/Pages/DTL/STI_and_ICTs/ICT4D-Legislation/eCom-Transactions-Laws.aspx. Country obligations under the legislation may align with the proposed use of ePhytos and the ePhyto Solution. However, national decision-makers are likely to require that a full policy or legal analysis be undertaken prior to committing funds to support implementation.

3. What are the legislative or regulatory requirements for the identification, authentication, authorization and maintenance of users?

Figure 7 - example of a "to-be" process map

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Countries may have specific requirements for electronic data storage, cyber security prevention and other consumer protection laws that require specific measures to be put in place by governments to prevent personal information exposure or data loss. Some of these requirements may be more restrictive that the provisions included in the GeNS. The GeNS contains a number of security and data protections, including requirements for password controls, the use of encryption of information, virus-scanning, firewall, etc.

4. Does your legislation address misuse of the e-phyto system including illegal access to the e-phyto system and cyber-security?

Countries should consider whether they have sufficient legislation to address mis-use of the system. It should not be assumed that by selecting the GeNS as the basis of creating and exchanging ephytos, the FAO would pursue mis-use of the system. It is the responsibility of countries using the system to securely use the system in a manner that prevents national cyber-security threats.

5. Does your legislation address the sharing information between government agencies and internationally and electronic transactions used for evidence?

6. Does your current legislation allow for receiving electronic information from your clients?

Although national legislation may permit the use of electronic phytosanitary certificates, national legislation may constrain the amount and type of information that may be received or stored electronically from clients under electronic transaction laws or data and privacy laws.

7. Is electronic submission going to be mandatory under the law?Mandatory requirements for electronic submission of information by clients may create an unnecessary burden on small producers or one-time exporters. Equally depending on stakeholder’s ability to access systems, the efficiency in providing information electronically may increase trade efficiencies even for small exporters. According to the United Nations International Telecommunications Union (ITU) the proportion of households with internet access is 53.6% internationally and varying from a high of 84.3% in Europe to a low of 18% in Africa. Mobile broadband access increased by more than 30% between 2012 and 2017. In least developed countries mobile broadband access grew by more than 50%.

8. Is electronic payment covered within your legislation?Payments and other activities connected to the phytosanitary business processes can substantially impact on the efficiency and effectiveness of moving from paper-based systems to electronic documents. For example, if the NPPO’s clients can provide information electronically to support export certification or import clearance, requirements that payments be delivered to an NPPO office may remove any efficiencies to the trader. Even if traders require paper certificates to facilitate trade activities these could be delivered electronically and printed locally by the trader.

9. If you require changes to your legislation, who will undertake these changes to the law?

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10. How long will it take to make any changes?

11. Does your legislation ensure you own the data?As noted above, national legislation may require that data stored by the government is appropriately protected. Any arrangements with third party service providers should ensure that the data stored by the third party remains protected and can only be accessed by the relevant authorities. The NPPO may need to consider whether a third party arrangement where the third party may be able to access private business information is compliant with legislative requirements. Equally, the NPPO should consider whether sharing information between border agencies could better facilitate trade and support more effective risk management. For example, NPPOs may need to share phytosanitary information with Customs agencies as part of single window initiatives or to better establish border controls. Legislation therefore needs to address data protection and privacy as well as appropriate sharing of information to facilitate trade.

12. Does your legislation allow for the ePhyto data to be stored offshore if you are using the GeNS?

The ephyto GeNS will store data on servers at the UNICC. The data remains protected by the provisions of the immunities of the United Nations. The data is therefore not subject to any of the national requirements of the UNICC’s host country but remains the property of the NPPO.

13. Under your legislation how long must information/data be stored? National legislation may prescribe certain standards for storing data. Traders and other stakeholders may require data to be stored for much longer than is prescribed in legislation. For example to support re-export certification, exporters may require long-term access to import phytosanitary certificates. NPPOs too may have particular requirements for storing data longer than is required by legislation. For example, NPPOs may want data accessible for evaluating the risk of certain imports or for determining changes in trade volumes, etc. The advent of cheap cloud and local storage solutions has allowed greater data storage without significant space demands. However, NPPOs should recognize that requirements for privacy may require governments to dispose of certain personal data within prescribed time frames.

14. How long do you want data stored and accessible?

Stakeholder Engagement & CommunicationEngagement and transparency are keys to ensuring successful implementation. By engaging the experiences and expertise of both NPPO staff and stakeholders, the implementation of the solution is more likely to meet all needs. Stakeholder needs vary. Some stakeholders may only require information about changes while other whose business operations are affected by the changes will seek to influence development so as to support their business continuity and improvement. Therefore, it is important to define the stakeholders and to clearly understand their needs and interests and to understand the extent to which policy decisions on implementation can be adjusted to support the needs of stakeholders. Not all

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needs can be practically met. It is important that communications are transparent and collaborative.

A few key principles that should be considered in undertaking stakeholder engagement include:

i. Stakeholders should those that contribute to and influence or are affected by the change and are both internal (staff of the NPPO) and external (clients, cooperators, third parties, trading partners, etc.)

ii. Potential barriers to the participation of stakeholders should be considered and addressed (e.g. disabilities, cultural socio-economic barriers, language, geographic or other factors)

iii. Engagement should respond to both internal priorities and strategic objectives as well as stakeholder needs and should clearly communicate the extent to which input is required;

iv. The proposal should be well articulated and the potential costs and benefits should be clear for all stakeholders;

v. Decisions should consider the opinions of stakeholders and where opinions cannot be followed, clear reasoning should be provided;

vi. Allow for equal contribution and mitigate tensions between stakeholders;

vii. Ensure the discussion focuses on the issues at hand and avoids discussions of topics that are out of scope;

viii. Engagement should be timely and well in advance of any of any changes;

ix. Consultations should afford stakeholders sufficient time to prepare and to fully understand the issues in advance of providing feedback;

x. Consultations should be documented and reports reviewed by participants;

Ongoing communication and information sharing is critical in achieving successful implementation. Stakeholders are more likely to support the initiative if they are engaged and feel they are part of the decision-making process. Stakeholders often require differing timelines to implement changes to support a transition from paper-based systems to electronic systems. Full understanding of the scope and timing of stakeholder needs and how these relate to the changes in the business operation of the NPPO allows traders, cooperating agencies and third parties the time needed to develop plans, implement any needed changes and acquire any required infrastructure. The process of communication can be through written notifications, meetings, social media updates, etc. and the NPPO should consider the most appropriate means of communicating with each stakeholder group.

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National approaches to stakeholder engagement

CanadaThe Canadian Food Inspection Agency is currently revising its engagement strategy. Some of the engagement approaches used in the revised proposed strategy include:

a) Information outreach - to help stakeholders understand the issues, alternatives and/or solutions. The information may be distributed as factsheets, advertisements in media, information booth sessions at meetings or gatherings, social media postings and web-site information.

b) Consultations – to obtain and consider feedback on proposed services, programs, policies, legislation or regulations. The consultations may be achieved through requests for reviews of documents; requests for written submissions of ideas and the use of questionnaires or surveys.

c) Direct involvement and engagement with stakeholders – direct consultations of individuals or groups in order to solicit feedback and opinion. These may be bilateral meetings; workshops; webinars; blogs; etc.

d) Collaboration – larger multi-group sessions to deepen a shared understanding of views, impacts and solutions, and deliberate, debate and shape decisions. Approaches include: multi-stakeholder roundtables, online consultations; etc.

AustraliaAustralia’s Cabinet Implementation Toolkit – Engagement of Stakeholders suggests considering the following questions when developing the stakeholder engagement plan.

a) How will stakeholder engagement help achieve the outcomes and objectives of the initiative?

b) Does the plan allow for results of stakeholder engagement to be incorporated into key decisions?

c) Have clear roles, responsibilities and accountabilities for engagement been identified?

d) Will stakeholders play a part in the governance framework?e) What risks are posed to the program by stakeholder engagement?f) What risks from the program may affect the degree and quality of stakeholder

engagement?g) Is review of stakeholder engagement included in monitoring, review and evaluation?h) How will the implementation plan be adjusted based on feedback from

stakeholders?i) Have the resources for stakeholder engagement been factored into the

implementation plan?j) Does the team have the skills and expertise to engage stakeholders effectively, or

will you need external expertise?k) Are the timeframes to conduct the proposed stakeholder engagement approach

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realistic?l) Can you incorporate feedback from stakeholders into the selected project

management tools?

Change Management

Potential Areas for ChangeArea of Change Description of the Change

New Roles ePhyto Administrator ePhyto Contact Person (for maintaining the links with

IPPC and the Hub Operator e.g. re maintaining the SLA/SLO with IPPC)

Help desk staff Project Management for development and

implementation of ePhyto

Change of Roles Are there any roles that are no longer needed What changes need to be made to job descriptions Will the job changes mean a change in remuneration

for affected employees?

Training Users Training Approach and Plan for implementation of ePhyto for all users (actors)

o Training for new SOPs and workplanso Training on using ePhyto system

Transition from paper based processes to ePhyto system

Process and SOPs and workplans are adjusted

Consultation and engagement with stakeholders

Is there competence in the organization to engage with stakeholders?

Consultation Programme is implemented with stakeholders

How are stakeholder views incorporated into changes in the processes, operations, technical design

How are stakeholders kept informed of the decisions in regard to their view and suggestions?

Post Implementation Review Report

Benefits Realization Who will monitor the realisation of the benefits and report regularly to the Governance?

Where benefits are not being realised are changes to the system or processes required and how will this be

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implemented? (Governance need a change process)

Risk Matrix

Risk methodology (Red & Green) a 3x3

Theresa to insert a guide re 3x3 matrix

Risk Category Risk & How it would materialise Mitigations

Financial Theresa to work a couple out

Governance Lack of confidence in the Operator and/or the ePhyto System

Legal - Lack of knowledge or expertise

Legal Lack of time or funding to implement supporting regulation

Technical Expertise

Funding

Delays

Technical transfer expertise (knowledge) (lack of ability to train)

Change Management Users are unable or unwilling to adapt

Governance Government does not support implementation of ePhyto

Stakeholders unwilling to engage with or support implementation

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Risk Category Risk & How it would materialise Mitigations

Financial commitment to implement

Change Management Specific border agency engage (theresa to work out a risk)

Governance Benefits are not realised

Gap Analysis

VII. Conclusion and Options

The team concludes that the following options should be considered.

Model

Description, expectations and objectives (as applicable)

Subheadings re the X Model

Current State Observations – X Model

Future State Options – X Model

Scenario: X Model

Current Future

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