border post assessment for osbp establishment- a case of numule-s.sudan and elegu-uganda-2012

DRAFT REPORT ON BORDER PROCEDURES (The report has 78 pages)

BY NUWAGABA MBIINE CHARLES – Customs Specialist

DECEMBER 2011 (Up dated Feb 2012)

NIMULE/ELEGU BASE LINE ASSESSMENT REPORT ON PROCEDURES FOR PROPOSED ONE STOP BORDER POSTS (OSBP).

CONTRACT REFERENCE: - PO/00250

NIMULE/ELEGU CROSSING BRIDGE

Base Line Survey on Nimule/Elegu Border e Posts

DISCLAIMER & CONFIDENTIALITY

This draft report is strictly confidential and addressed solely to TradeMark East Africa (TMEA). The Customs Expert (Author) cannot

be held responsible for its unauthorised copying and distribution.

The conclusions, findings, and opinions expressed in this report are those of the author unless identified as those of other parties

quoted. The report is produced specifically for the purposes stated and its interpretation, use or application for other purposes imposes

no obligations on the author.

A report of this kind is dependent on the completeness, accuracy, and reliability of data received from a variety of sources within

TMEA, primary and secondary sources from the field and beyond. The author makes no warranty or claim as to the accuracy of the

information on which this report is based and cannot be held responsible for any inaccuracies so arising. Where possible, author has

taken steps to ensure that the use of information is consistent and complete within the terms of reference of this assignment.

This confidentiality clause applies to all pages and information included in this report.


ACKNOWLEDGMENTS

This is the first report presenting a new dataset and information for the existing conditions and recommended changes at Nimule and

Elegu border posts discussed below. The survey was conducted to provide data and information to guide the investment decision to on

whether they consider options for One Stop Border Post concept and facility development based on border procedures.

The baseline survey would not have been possible without the support and participation of the Revenue Authorities, Immigration,

Police and Other Government border Agencies of South Sudan and Uganda which assisted in providing data and information to

develop the report.

The author expresses his gratitude to the employees of border government agencies and clearing, freight and forwarding firms who

took the time to respond to the designed oral based-questionnaire.

Their participation was central to the quality and credibility of the report, and their continuing involvement and feedback will be

essential as the final draft survey report is developed and refined after conducting stakeholders’ workshops.


Table of contents

List of Tables ............................................................................................................................................................................................ 6

List of Figures........................................................................................................................................................................................... 6

List of Appendices .................................................................................................................................................................................... 6

ABBREVIATIONS AND ACRONYMS ................................................................................................................................................ 7

EXECUTIVE SUMMARY ..................................................................................................................................................................... 8

1. INTRODUCTION................................................................................................................................................................................ 9

1.1 Background and Context ................................................................................................................................................................. 9

1.2 Objectives and Purpose of the Study ............................................................................................................................................... 9

1.3 Terms of Reference ......................................................................................................................................................................... 9

2. LITERATURE REVIEW ON THE BORDER POSTS MANAGEMENT ................................................................................... 11

2.1 Introduction ................................................................................................................................................................................... 11

3. METHODOLOGY OF THE STUDY .............................................................................................................................................. 16

3.1 Approach ....................................................................................................................................................................................... 16

3.2 Methodology.................................................................................................................................................................................. 16

4. RESULTS OF FINDINGS ON OPERATIONAL ACTIVITIES .................................................................................................. 18

4.1 Bibia/Elegu Border Post - Uganda ................................................................................................................................................ 18

4.2 Nimule Border Post – South Sudan ............................................................................................................................................... 20

4.3 Numerous Documents to Fill ......................................................................................................................................................... 23

4.4 Border Agencies ............................................................................................................................................................................ 25

4.5 Legislative Framework Supporting Procedures ............................................................................................................................. 25

4.6 The Private Sector Involvement and Participation ........................................................................................................................ 26

4.7 Clearance and Processing Times ................................................................................................................................................... 27

5. FUTURE DEMAND FOR BORDER AGENCIES ......................................................................................................................... 30

5.1 Introduction ................................................................................................................................................................................... 30

5.2 Coordinated Border Management .................................................................................................................................................. 30

5.3 Incremental and Phased 24 /7 Operations...................................................................................................................................... 31

5.4 Opening and Closing Hours/ days ................................................................................................................................................. 32

5.5 Governance Issues and Indirect Costs ........................................................................................................................................... 32


6. MAINTENANCE OF SECURITY AT THE BORDERS ............................................................................................................... 33

6.1 Security Issues and possible remedies ........................................................................................................................................... 33

6.2 Other Security Considerations ....................................................................................................................................................... 36

7. POTENTIAL FOR ELECTRONIC SECURITY ........................................................................................................................... 38

7.1 Introduction ................................................................................................................................................................................... 38

7.2 Context of Electronic Security....................................................................................................................................................... 38

7.3 Electronic Border Solutions to enhance security ........................................................................................................................... 39

8. INFORMATION TECHNOLOGY APPLICATIONS ................................................................................................................... 41

8.1 IT Connectivity and Implementation ............................................................................................................................................. 41

8.2 Evolving technology landscape for border connectivity................................................................................................................ 41

8.3 Critical success factors for IT programs ........................................................................................................................................ 43

8.4 Future Assessment of IT systems and needs ................................................................................................................................. 45

9. OPTIONS FOR JOINT FACILITIES SHARING BY ALL BORDER AGENCIES .................................................................. 49

9.1 Introduction ................................................................................................................................................................................... 49

9.2. Single – Stop Joint Facility Models .............................................................................................................................................. 49

9.3. Physical Facility Layout ............................................................................................................................................................... 50

9.4. Examination Sheds/Areas for Shared Activities ........................................................................................................................... 52

9.5. Equipment, Tools & Utilities ........................................................................................................................................................ 53

10. SUMMARY FOR IMPLEMENTING OSBP PROCEDURES .................................................................................................... 55

10.1 Recommendations ....................................................................................................................................................................... 55

10.2 Conclusion ................................................................................................................................................................................... 62

11. SUMMARY ...................................................................................................................................................................................... 63

12. GLOSSARY ..................................................................................................................................................................................... 70

13. REFERENCES ................................................................................................................................................................................ 73


List of Tables

Table 1: Border posts in their respective countries .................................................................................................................................... 9

Table 2: Poorly Performing Landlocked Countries on the LPI by Region .............................................................................................. 13

Table 3: Corruption Perception Index 2011 ............................................................................................................................................. 14

Table 4: List of Import and Export Documents ....................................................................................................................................... 23

Table 5: Border Common and Unique Agencies ..................................................................................................................................... 25

Table 6: National Average Cost Incurred by Delays ............................................................................................................................... 27

Table 7: Travellers Movement across Bibia/Elegu Border Post .............................................................................................................. 33

Table 8: Observatory IT Needs Planned .................................................................................................................................................. 46

Table 9: IT Required Equipment ............................................................................................................................................................. 47

List of Figures

Figure 1: A basic framework of the TORs ............................................................................................................................................... 10

Figure 2: Average Daily Clearance Transactions and Processing Times ................................................................................................. 27

Figure 3: Average Daily Traveller Clearance & Processing Times ......................................................................................................... 28

Figure 4: Trend in Trade between Sudan and Uganda ............................................................................................................................. 32

Figure 5: Overt Video Surveillance ......................................................................................................................................................... 39

Figure 6: Communications Network System ........................................................................................................................................... 39

Figure 7: Prototype of the Uganda/S. Sudan Single Window Interface ................................................................................................... 45

Figure 8: single-stop joint facility models ............................................................................................................................................... 49

Figure 9: Single facility ........................................................................................................................................................................... 50

Figure 10: Juxtaposed facility .................................................................................................................................................................. 50

Figure 11: Integrated Joint Facility .......................................................................................................................................................... 51

Figure 12: Interfaced Joint Facilities....................................................................................................................................................... 51

Figure 13: Virtual Facility ....................................................................................................................................................................... 52

Figure 14: Examination Areas/Shed for Shared Activities by Agencies ................................................................................................. 53

Figure 15: Cargo and Human Scanning Equipment................................................................................................................................. 54

Figure 16: E-Gates (i) and Booths (ii) ..................................................................................................................................................... 54

Figure 17: Institutional Arrangements for OSBP .................................................................................................................................... 57

Figure 18: Import/Export clearance at the 3 borders ................................................................................................................................ 63

Figure 19: Outward transit/temporary imports clearance at the 3 borders ............................................................................................... 64

Figure 20: Passenger clearance at the 3 borders ...................................................................................................................................... 67

Figure 21: OSBP Management process flowchart ................................................................................................................................... 69

List of Appendices

Appendix 1: Baseline Analyzed Facts and Figures Affecting OSBP Procedures & Design .................................................................... 75

Appendix 2: OSBP Necessary Equipment Assessed .............................................................................................................................. 76

Appendix 3: OSBP Space and Personnel Minimum Requirements ......................................................................................................... 77

Appendix 4: Roles of Border Agencies ................................................................................................................................................... 78

Appendix 5: procedure illustrations of the existing conditions and the proposed under osbp arrangement ............................................ 79


ABBREVIATIONS AND ACRONYMS

AEO Authorized Economic Operators

ASYCUDA Automated System for Customs Data

BCPs Border Crossing Points

CBM Coordinated Border Management

CIF Cost Insurance and Freight

COMESA Common Market for East and Southern Africa

DRC Democratic Republic of Congo

EAC East African Community

EACCMA East African Community Customs Management Act

ECA Economic Commission for Africa

EPZ Economic Processing Zones

ESA East and Southern Africa

FTAs Free Trade Arrangements

IBM Integrated Border Management

IT Information Technologies

LPI Logistics Performance Index

OGA’s Other Government Agencies

OSBP One Stop Border Post

RKC Revised Kyoto Convention

RM Risk Management

SAD Single Administrative Document

TMEA Trade Mark East Africa

TEVIES Temporary Vehicles Import and Export System

UG Uganda

UNCTAD United Nations Commission for Trade and Development

WB World Bank

WCO World Customs Organization

WTO World Trade Organization


EXECUTIVE SUMMARY

This is a survey border procedures draft report and is divided into six sections which discuss operational activities, future demands,

security at the borders, electronic security, IT, options for joint facility sharing and recommendations.

The main objective of the report was to present existing conditions and proposed changes on procedures in the border posts of Nimule

– Elegu, Uganda/South Sudan to eligible TMEA development categories, and whether they qualify to invest into One Stop Border

Post (OSBP) facility. To do so, the study made an investigation based on and following the order of terms of reference above.

The study identified existing process procedure and activities, and documented the status of their implementation and pointing out

generic challenges;

1. Excessive government documentation requirements

2. Lack of automation and insignificant use of information-technology

3. Lack of transparency; unclear and unspecifi ed import and export requirements

4. Inadequate customs procedures; particularly audit-based controls and risk-assessment techniques

5. Lack of co-operation and modernisation amongst customs and other government agencies, which impedes efforts to deal

effectively with increased trade flows.

The summary of the proposed procedures both in flow charts and narrative have been appended herewith in section twelve. The

discussions on operational activities concluded that the procedure landscape at Nimule/Elegu is getting fully grown into a clearance

center for revenue collection, transit, temporary admissions, export and passengers.

In final analysis there was urgent need to do the following:

1. Future demands – A proposed strategy to completely review the existing procedures going through a business process re-

engineering should start immediately, space allocations and equipment’s needs assessment were identified through personnel

estimated audits, equipment’s and systems identification in numbers and quantities, and reviewed conditions in relationship

to clearance procedures that include proposed procedure flow charts, business process cycle, procedure continuum and

institutional arrangement

2. Issues for maintenance of security were identified and profiled to include but not limited to the following; unconnected

border posts by ICT, equipment’s and utilities, lack of reliable documentation to detect fraud or/and identify wrongdoers,

poor threat identification and screening at the borders. Inadequate staffing levels to deal with rapid increase in traffic, cargo

& passengers, understaffing, undertrained and unprofessional agency staff , the need for proper training for all border officers

on duty in complex set of skills, need for a culture shift on border activities to risk management practices, unarmed border

officials to deal with smugglers, lack of a credible system and culture of secrecy exhibited by agency officials:

3. Potential for electronic security following must follow the needs and threat assessment, a criterion is designed to determine

what appropriate systems are relevant to this border post. Such high-tech systems and equipment were identified such as

Access Authorization and Detection Systems, Overt Surveillance Systems, Covert Surveillance Systems and

Communications Network.

4. IT requirements were determined from a systemic and inquiry point of view rather than a comprehensive audit approach. The

basic business applications and infrastructures equipment’s were highlighted; a prototype of a Single Window Application

was illustrated to aid introduction of localized system between two countries. The critical success factors for implementation

and support of the basic IT system and equipment enumerated and tabulated.

5. Options for joint sharing facility were illustrated and offered in three broad options; Joint facility models that concluded with

the Juxtaposed OSBP model as most preferred. Physical facility layout- inter-grated, interfaced, virtual & single.

Examination Sheds/areas and Equipment's, Tools & Utilities

In conclusion, the border post under the procedures perspective is recommended for One Stop Border Post (OSBP) to aid the

introduction of the latest industry –age and best practices in border post management. If the decision to invest in the OSBP project

passes, we wish to advise that support on soft components as in information technology (Systems & Equipment) and capacity

development get commenced as construction progresses.


1. INTRODUCTION

Trade Mark East Africa (TMEA) commissioned a study and contracted a team of consultants to conduct baseline survey and prepare a

report with recommendations for strategic planning and implementation of the One Stop Border Post (OSBP) project at Nimule and

Bibia/Elegu Border Post in South Sudan and Uganda respectively.

1.1 Background and Context

The geographical border is the location where one country’s authority over goods and persons ends and another country’s authority

begin. Traditionally, the border is the location where enforcement of and compliance with national legislation in such areas as

security, environment, immigration, consumer protection, commercial policy, Customs duties, excise and taxes takes place. Control

and enforcement involve various operations from document and goods control, to the calculation of Customs duties and taxes, the

collection of revenue, and immigration and vehicle control. These operations are performed by various governmental agencies, often

physically represented at the border. The baseline assessment on procedures at such a location –Nimule & Elegu border post, is the

subject of this study and its report thereto.

1.2 Objectives and Purpose of the Study

One of the objectives of TMEA specific to the study is “lowering barriers to trade by increasing the efficiency of transport corridors

and reducing administrative barriers by cutting red tape”. TMEA intends to achieve this objective by investing in initiatives that

reduces transaction costs while increasing efficiency at border crossings in the EAC region through the development of OSBPs.

In order to identify clearance obstacles at the borders, the purpose is to provide appropriate solutions and be able to measure the

impact of cross-border facilitation measures; the study report has profiled and assessed the existing operational activities of two border

posts that are important in the trade patterns and the associated challenges.

1.3 Terms of Reference

The survey was undertaken jointly with an Engineer (Team Leader) and an Architectural firm following the terms of reference stated

below as provided in the contract:

Discuss existing operational activities and establish future demand for the Government departments and other border agencies and

to include relevant line ministries and well as revenue authorities

Identify the issues that would need to be addressed to maintain security at the borders

The potential for electronic security to be used to bring added value to operational requirements at the border crossing

All IT requirements to provide modern procedures to facilitate cargo and passenger flow to streamline all border agency activities

Options for joint facilities sharing for all border agencies

1.3.1 General Objective

The assignment concern was the assessment of border agency’s procedures on the following border post Nimule and Bibia/Elegu in

Southern Sudan and Uganda.

1.3.2 Scope of the Assignment

The customs expert conducted the following:

(a) Visited respective countries under assessment for briefings and consultations

The assignment started with initial contact visits to each country whose border post is under assessment to hold briefings, consult and

secure authorization with head-office officials of key Government Ministries, departments, Revenue Authorities and border

management agencies. In this regard, visits were carried out in the areas detailed below:-

Table 1: Border posts in their respective countries

Country Capital Border Post

Uganda Kampala Bibia/Elegu

South Sudan Juba Nimule


(b)Visit to the border posts

The consultant travelled and visited border post crossings. The visit involved the appraisal and capture of targeted data from scheduled

and sampled entities e.g. border agencies’s business processes & procedures and IT.

(c) Reporting

Following the return of the consultant has developed a draft report on each of the stations assigned based on the TORs (see figure 1)

and submitted through the baseline assignment team leader to the client TMEA.

Figure 1: A basic framework of the TORs

Source: Original Data Collection as in Nuwagaba 2011

Border Post Assessment

for the assigned

4. Data analysis and

Interpretation

6. Compile

presentations and

papers for

stakeholder

feedback

1. Review documents,

visit HQs to deepen

understanding the

context and solicit

Management support

for the implementation

of the study. 5. Compile and report

on key findings and

recommendations

border site visited

(both border sides)

2. Key lessons

from the

contextual

analysis

3. Primary data

collection on key

agency themes/

dimensions of the

study.


2. LITERATURE REVIEW ON THE BORDER POSTS MANAGEMENT

2.1 Introduction

After independence on 9th

July 2011, there is an improved security condition and resumption of cross-border trade involving mass

movement of travellers and cargo from South Sudan to Uganda and beyond, the focus is shifting increasingly to the removal of non-

tariff barriers and the facilitation of legitimate trade. TMEA is considering investing into efficient border posts management initiatives

with the aim of reducing the costs of moving goods across borders. One stop border post (OSBP) is being considered as a mechanism

to improve the movement of goods across shared borders. These arrangements have both economic and enforcement benefits.

However, they need to be rooted in a sound policy and underpinned by an enabling legal framework and implementation strategy that

have the support of all stakeholders.

Trade between nations is a vital driver of economic well-being and wealth creation. Customs administrations are a major component

in the efficiency of international trade because they process every single consignment to ensure compliance with national regulatory

requirements and international multilateral trading rules. While Customs administrations have to discharge this mission of revenue

collection, protection of society and safeguarding security of the trade supply chain, they also have to strive for increased trade

facilitation to promote investment and reduce poverty (WCO Council 2003).

In broad terms, good border posts’ management seeks to balance the competing, but not necessarily conflicting, goals of:

Facilitating (and even expediting) access for people and goods that we both need and desire across the two borders

Interdicting and stopping “bad” people and “bad” things from entering the country from a security perspective.

There is growing recognition of the connection between border control and development and nation-building. Border control is not

simply a problem of keeping "bad" things out. For many developing nations, duties and fees collected at their ports, airports, and along

their land borders are a key source of government revenues which finance essential services and build infrastructure. Also, poor border

control practices very often fuel corruption and contribute to the formation of black markets. These realities have decidedly adverse

consequences for initiatives designed to improve governance and economic sustainability (Flynn S 1999).

The key to success in the cross border clearances and procedures is the ability to accurately and efficiently identify high-risk

passengers and cargo, target them for inspection, and prevent the entry of dangerous goods and people without impeding the flow of

legitimate cross-border traffic (Arvis et al 2010, Doyle 2011, Kieck 2010). Effective border management means ensuring that:

Everyone and everything that crosses the border is compliant with the laws, regulations, and procedures of the country.

Border users are encouraged to comply. Compliant users are offered facilitated service.

Offenders are identified and stopped.

Therefore, the efficient management of border posts is an integrated inter-agency cooperation through a process of harmonizing,

streamlining, and simplifying border management systems and procedures has led to such initiatives highlighted below.

2.1.1 Coordinated Border Management

This a border management tool that includes information sharing, co-located facilities, close interagency cooperation, delegation of

administrative authority, and cross designation of officials (WCO 2009).

2.1.2 One Stop Border Post (OSBP) Facility

Overview One stop and joint control arrangements have been applied in Western Europe since the early 1960s and the concept has spread

throughout the world. More recently, 2009, the Common Market of the Southern Cone (Mercosur) countries concluded the Recife

Agreement on integrated controls for application at their shared borders. As part of this Agreement, consensus was reached on 16

border points where integrated controls should be applied. In the Southern African Customs Union (SACU), the establishment of one

stop border posts was identified as one of the priority issues of trade facilitation. In the East African Community (EAC), progress has

been made in establishing 15 one stop border posts but key ones between Kenya and Uganda at Malaba; Kenya and Tanzania at

Namanga; Rwanda and Burundi at Nemba.

In Southern Africa, a one stop arrangement was opened officially in December, 2009 by the two Heads of State at the Chirundu border

post between Zambia and Zimbabwe, and about 8 more are lined for development such as Zambia and DRC at Kasumbalesa;

Tanzania and Zambia at Tunduma; Mozambique and South Africa; all have signed a one stop border post agreement and are working


towards implementation. The Andean Community aims to have single controls in place at all common border posts in terms of the

Community Policy for Border Integration and Development and has implemented a pilot project for the single control of goods at the

Pedro de Alvarado and La Hachadura border posts between Guatemala and El Salvador. The Greater Mekong Sub-region (GMS) in

Asia amongst countries that comprises Cambodia, Lao People’s Democratic Republic, Myanmar (Barma), Thailand, and Viet Nam, as

well as Yunnan Province and Guangxi Zhuang Autonomous Region of the People’s Republic of China (PRC). The GMS has had an

elaborate one stop border post under a cooperation program along the Mekong River since 1992 (WCO journal 2010).

Rationale

The rationale for the establishment of one stop border posts is clear in terms of both enforcement and economic benefits. At the core

of the one stop concept is the ability of border authorities from two countries to perform joint controls. This results in improved

enforcement efficiencies through cooperation, the sharing of intelligence and better resource utilisation. In working side-by-side,

cooperation is enhanced and communication is easier amongst border agencies. The concept also provides for the sharing of ideas,

information and experiences. By way of example, the one stop concept can be used to combat fraud by enabling the clearance of

goods on the basis of a single customs declaration thereby preventing the substitution of one set of documents with another. The

concept also enables the sharing of infrastructure and law enforcement assets, for example, by jointly using one scanner to examine

containers. Cooperation with counterpart administrations, when implemented properly, does not weaken control rather it reinforces

control. Over time, joint controls enable border agency administrations to better utilise personnel and resources. As trust is built

between country border agency administrations on both sides, it may be possible to reduce personnel and rely to a greater extent on

the counterpart key but single agency administrations.

With respect to economic benefits, the one stop concept significantly reduces waiting times and costs by moving away from the

current two stops that are required to cross the border and comply with the regulatory requirements of the two neighbouring countries.

It reduces waiting times for commercial vehicles, thereby saving costs. Long delays in processing commercial vehicles at border posts

significantly increase the cost of consumer goods. High transport costs needlessly increase the price of imported goods and put exports

at a competitive disadvantage in world markets (Erick Kieck 2010).

In addition to developing a common bilateral and national vision and strategy, there is a need to closely involve non-government

stakeholders from the start. These include traders and their intermediaries such as clearing agents, regular border post users (travellers

and transportation service providers), and communities in the proximity of the border post. This is not only essential to secure buy in

but also enables stakeholders to contribute to and influence design as well as to prepare for the OSBP project implementation.

The OSBP facility allows parties involved in trade and transportation to process all necessary official procedures concurrently at the

same place (one roof) for travellers, their cargoes and means of transport to pass through the designated land border (Osama 2008).

Neighboring countries coordinate import, export, and transit processes, so that traders need not duplicate regulatory formalities on

both sides of a border. OSBP concept may be implemented in various models discussed in section nine below; Juxtaposed, Straddled

and Single facility-One Country.

Implementation of OSBP is always considered technically at two levels; concept/model and infrastructural levels. The concept level

takes care of having in-place the legal framework first and procedures reviews second or perhaps concurrently. The legal process itself

may take up to 12 months or more to put in place. The first level phased implementation of OSBP procedure in sequence with

minimum facilities available or’ as is’ structures pending the re-designed and new structures. During this period, the personnel are

exchanged to operate within the existing facilities to commence with joint inspections.

In the EAC for example, Malaba, Busia, Namanga and Katuna are but a few border posts implementing phased components of OSBP.

Using the bi-lateral legal framework and re-engineered procedures, they commenced joint inspections, then to 24/7 operations for

transit operations in stages waiting the re-modeling of the physical facilities. To date no physical facilities have been delivered since

ten years ago (2002) when then OSBP idea was conceived and formally agreed between Uganda and Kenya Governments under the

East African Trade and Transport Facilitation project (Nuwagaba 2010).

The second level is heavily dependent on the first level to tackle both the Information Technology and physical infrastructure phase.

The law provides the legal mandate to operate on either side and jointly, while the procedures caters for personnel estimates, process

simplification, harmonization and interfaces. IT crowns it all by providing connectivity and interconnections not only amongst border

agencies but also their capital headquarters. Numba border between Rwanda and Burundi was constructed in concurrence with

procedure reviews. Rwanda which had her procedures re-engineered took the lead in the larger part of the implementation stages.


2.1.3 Single Window

This is an integrated system or facility that allows parties involved in trade and transport to lodge standardized information and

documents with a single entry point to fulfil all import, export, and transit related and regulatory requirements (UNCTAD 2011).

Traders can submit all import, export, and transit information required by regulatory agencies at one time—through a single electronic

gateway—rather than submit essentially the same information repeatedly to various government entities. There is an on-going regional

project of Single Window at EAC Secretariat attempting to coalesce all IT system players into an integrated trade facilitation regime.

2.1.4 Border Crossing Procedures

Border crossings in Africa are usually manned by Customs for cargo and Immigration for passengers. Any inefficiency arising out of

the control procedures of these two agencies often result in long delays and high monetary costs. These grossly reduce the export

competitiveness of African producers. Evidence shows that delays at African customs in landlocked are the longest in the world (Arvis

et al. 2010).

Table 2: Poorly Performing Landlocked Countries on the LPI by Region

Background data Sub-Saharan Africa Central Asia South Asia

Landlocked Landlocked Landlocked

Overall LPI 2.22 2.25 1.84

Selected LPI components*

Logistics competence

Infrastructure quality

Customs and trade processes

2.21 2.18 1.84

1.97 1.98 2.41

2.10 2.04 2.34

LPI input data

Customs clearance (days)

Physical inspection (%) (higher is worse)

Possibility of review (%) (higher is better)

3.2 N/A 2.6

62 N/A 56

52 N/A 33

Lead time to (days)

Export (median) shipper to port

Import (median) port to consignee

Import (best 10 %) Port to consignee

11.8 N/A 14.7

18.4 N/A 14.7

9.1 N/A 11.0

Source: Logistics Performance Index by Arvis et al. 2010,

Note: N/A = not applicable, * LPI ratings are on a 5-point scale, with 1 being “worst” and 5 “best.”

Economic Commission for Africa - ECA (2010) finds a significant negative correlation between delays at the customs and trade

volumes, a result that reflects both the cost and uncertainty associated with inefficient customs. Corruption is perceived as a major

problem to doing business in most certain Eastern and Southern Africa (ESA) countries.

The main obstacles to efficient customs operations and other border agencies in Africa include excessive documentary requirements,

insufficient use of automated systems, lack of transparency, predictability and consistency in agencies’ procedures, and lack of

cooperation amongst border agencies.

2.1.5 Excessive documentary requirements

Connecting to compete (Arvis et al 2010); estimates that on average Uganda and Sudan customs transactions involve 6-11 different

parties, 3-9 documents, 60 data elements, 30 of which are repeated at least 30 times, and the re-keying of 60-70 percent of all data at

least once. Documentation requirements are often ill-defined. Some are clearly redundant and traders are inadequately informed about

compliance. All these increase the potential for errors and further delays. This problem is amplified at borders. The fact that border

posts are physically separated and are kilometers apart from customs offices results in two complete sets of controls for each border

post, each with its own complex checklist of documents. The OECD has estimated that time delays, paperwork and compliance related

to border crossing costs between 5 - 13% of the value of the goods involved. A recent study estimated that reducing the cost of

international trade transactions by just 5% by 2006 could add $US 154 billion (WCO-2007).


2.1.6 Insufficient Use of Automated Systems

Connecting Landlocked Developing countries to markets (Arvis et al. 2010), highlight the less optimal use of IT within Regional

Economic Communities (RECs) themselves even when they share the same system application such as Automated System of Customs

Data (ASYCUDA). Until recently 2008-2010, customs administrations in EAC were inadequately computerized and networked,

imposing substantial paperwork and duplication. The verification of these at crossing border posts entailed delays, costs, and

inefficiencies. However, the adoption and upgrading of the ASYCUDA system by a number of EAC Member States has accelerated

the clearance of goods. There is a persistent challenge that the border posts are not usually ALL networked, the same information is

entered onto the ASYCUDA system on entry to, and exit from, a customs territory. It is even worse for the countries bordering the

EAC such as South Sudan, whose border posts are not automated and connected at all. Time would be saved if data could be entered

once and then shared electronically between national and regional border posts. It appears that implementing countries are reluctant to

share information. The reasons for the reluctance are not always clear. EAC has made some strides in implementing revenue

authorities’ digital data exchange (RADDEX) since 2007. RADDEx is an electronic interface platform that enables member states to

share electronic information in advance before physical cargo arrives at points of destinations. The pre-arrival information is easily

accessed to all agents who are connected and interfaced with Customs IT applications.

2.1.7 Lack of Transparency, Predictability and Consistency in Customs Activities

Lack of transparency and predictability introduces a significant degree of uncertainty in inter-regional trade transactions in EAC and

its neighboring countries. In most countries, corrupt border agency officials unnecessarily delay consignments with the hope of

extorting bribes. Such practices result in additional costs due to delays and illicit payments (Omondi 2007).

2.1.8 Corruption Tendencies Distorting Procedures

The absence of border management reforms breeds distortions and inequities on existing procedures. Given that these borders are

situated in remote locations away from the headquarters’ direct supervision, creates a possibilities and chances for corruption to thrive

(Gerard et al 2011, Omondi 2007). The corruption perception index 2011 below offers national indications that have direct bearing

and relationship with the governance issues of the border post officials.

Table 3: Corruption Perception Index 2011

No Rank Member Country Score

1 49 Rwanda 5.0

2 143 Uganda 2.4

3 168 Democratic Republic of Congo (DRC) 2.0

172 Burundi 1.9

5 177* South Sudan 1.6

*No data was available for the year 2011 as the statehood was achieved on 09.07.2011, however

using CPI 2010 for Sudan; the score remains the same at 1.6.

Other Countries in EAC

1 100 Tanzania 3.0

2 154 Kenya 2.2 Source: Transparent International 2011

2.1.9 Multiplicity of Border Agencies

There are between six to twelve border agencies at Nimule with an average of 3-6 employed staff. These agencies compound the

procedural challenge by requiring to handle physically all the documentation of any single and related transaction. There are no ICT

facilities to automate the activities and processes. The key agencies have legitimate mandate and roles to cause the intervention (see

appendix 4).

2.1.10 Developments within the EAC Region

The EAC has committed to initiating one-stop border posts within the Community with the aim of halving the time spent at borders.

At present, Revenue Authorities – Customs administrations are at the fore front of implementing various components premised on the

OSBP concepts. The challenge in the EAC however, remains the one of a single agency as customs. There are a host of over twenty

projects at different stages spear-headed by customs administrations, with the assistance of various development partners, aimed at


introducing OSBP model components in the region. This has remained at joint verifications, sharing of parking yard facilities,

improved time clearances and zones & process documents (EAC Secretariat 2011).

Other measures have included putting in place the policy and legal frameworks to support trade facilitation through adopting the

OSBP concept to free borders. The policy and legal framework is in the following:

The Protocol on the EAC Customs Union

The EAC Customs Management Act 2004

The East Africa Community Customs Management Regulations, 2010

The EAC OSBP Bill 2010 which is awaiting enactment and passing by parliament.

The EAC Secretariat has also set up a number of Technical Working Groups since 2007, to harmonize and simplify documentation,

procedures and operational practices of different regional Government departments, institutions, agencies and private-led agencies. A

number of instruments and common standards have been introduced to facilitate regional transport and trade including harmonized

axle load limits, harmonized transit charges, regional carrier licensing, regional third-party motor vehicle insurance, and regional

customs transit system. However, despite being adopted by most member countries, effective implementation has been erratic and

generally weak (EAC 2011).

The East Africa Trade and Transport Facilitation (EATTF) Program, the three Corridor Agencies in East Africa:- the Transit

Transport Coordination Authority (TTCA) of the Northern Corridor, the Transit Transport Facilitation Agency (TTFA) of the Central

Corridor and the Dar-es-Salaam Corridor Coordinating Committee (DCC) provides an institutional framework for undertaking

interventions on the ground in terms of both regional and national projects and activities to establish OSBPs with a view to enhancing

the overall economic competitiveness of East Africa.


3. METHODOLOGY OF THE STUDY

3.1 Approach

The consultant’s approach to the assignment has been distinguished by three key principles:

Any strategies and recommendations proposed contributes directly to the enhancement of the performance of TMEA and the

states, border management agencies involved in the assessment;

Any proposals for change and transformation have been built on the structures and capacity which has already been created

A fair representation of key stakeholders and interested parties have been consulted for their views on the lessons learned to-

date and the way forward

3.2 Methodology

Consistent with our proposed approach, the following methodology was adopted to meet the terms of reference of this assignment. In

summary it entailed:

a) Document Collection

b) Stakeholder analysis

c) Data (primary) collection

d) Data analysis and compilation of report

e) Stakeholder consultation on the draft proposal

f) Completion and submission of the final proposal

3.2.1 Document Collection

Solicitation of documents from TMEA and other recommended organizations formed part of the documentary review. Some of these

documents which include: policy statements, official reports, etc., were searched and secured of both hard and soft copies of data and

information from relevant agencies of Governments i.e. Revenue Authorities especially customs service departments, Ministries of

works, transport and infrastructure, roads authorities, Makerere University Business School - Kampala and internet web sites (WB,

WCO, WTO, UNCTAD, EAC, Google, etc.). The objective of this initial review of the documentation enabled us to determine the

parameters and key characteristics of the assignment. Our document review included, but was not limited to those listed for sharing in

the ToRs.

Previous studies relevant to border posts

Feasibility Impact Assessment Survey Reports for other border posts

Time release studies carried-out in Uganda and Rwanda

Various strategy papers / documents for border management agencies

3.2.2 Data collection

The collection of primary data was mainly based on the investigator’s own direct observation of relevant people, actions and

situations without asking from the respondents. The other aspect of data collection identified stakeholders within South Sudan and

Uganda as well as agreed relevant parties that have a direct interface with the agencies at border points. In addition, the various

relevant institutions and individuals were contacted accordingly. The Consultant started with the TMEA office to meet the

responsible officials for initial contacts about the assignment. The data collection outside the TMEA involved a number of

components. These were selection of a sample, interviews with select key stakeholders (customs, immigration, clearing agents,

police/security and observations.

3.2.3 Sample Selection

A sample is that part of a population which is actually observed.

The target sample in this study involved direct staff of the selected key agencies. These included mainly station heads,

practicing/hands-on officials and randomly tax payers & truckers. This method was selected in such a way that it avoided presenting

any biased view of the population. The method applied in this case was called simple random sampling in which the probabilities of

different samples were all equal.


3.2.4 Interviews with Stakeholders

The types of survey were both structured and unstructured. Structured by use of formal lists of questions asked of all respondents in

the same way. Unstructured where the interviewer probed respondents and guided the interview according to their answers. Targeted

interviews with selected stakeholders were conducted and included some of the key stakeholders below:

Revenue administration heads or heads of border stations

Heads of border security agencies

Heads of National Agencies for Standards and OGAs

Immigration agencies

In collecting data, the consultant aimed at establishing the status quo and deepening understanding on, among others:

The key clearance activities and their associated obstacles at borders

The trade patterns of the two countries and the related performance at the border post

The operations and value addition of border management agencies as well as existing/ observed bottlenecks

Inter-agency coordination mechanisms amongst the border management agencies

Process flow mapping of cargo, vehicles and passengers in the clearing process

Hierarchy of OSBP establishment and procedure implementation continuum

Institutional arrangements for ideal border posts under OSBP

3.2.5 Data Analysis and Compilation of the Report

Qualitative research method was applied to describe the phenomena and events at the border in an attempt to understand and explain

them. In analyzing qualitative data, the consultant used content analysis methodology, through categorizing similar responses to come

up with emerging themes. When all the data (primary and secondary) was fully analyzed, we embarked on the process of drafting the

report. The draft has been discussed internally among the team members and edited for factual and grammatical errors before it is

submitted to the client.

3.2.6 Stakeholder consultation/ sensitization on the draft report

The consultant worked with the TMEA team to consult various and relevant stakeholder leadership. This allowed for the clarification

of expectations, roles, risks and contributions to the implementation of the OSBP concept. The stakeholder leadership consultation/

sensitization clarified the roles of leadership and various stakeholders at each stage of the OSBP concept/facility implementation

process

3.2.7. Challenges to the study

Many respondents were not very exposed to the current and industry-age practices of border management and principles.

(That is why most of the best practice is gotten from literature review).

The fact that border procedures in respect to security, connectivity, e-security, demands for best practices and joint facilities

were quite a new concept at Nimule/Elegu border post, limited the understanding and accordingly the responses to the

questionnaires. By applying face-to-face interview approach, the consultant used oral information as additional to the data.

Lack and limited availability of both elaborate data and information from border agencies to assist in establishing the existing

conditions. The consultant relied mostly on the previous experience of managing and supervising over thirty related border

posts in Uganda, which shared borders with these countries; South Sudan, DRC, Rwanda, Tanzania and Kenya.

Despite the above limitations, the Consultant got a clear understanding of the subject from a wide range of literature that was obtained

on the subjects of trade facilitation, border management, security, border technologies and procedures; and from his own knowledge in

border coordination, modernization and institutional concepts and principles.


4. RESULTS OF FINDINGS ON OPERATIONAL ACTIVITIES

The study identified existing procedures and activities, and documented the status of their implementation, pointing out any gaps and

the causes thereof in the order of the border posts below. Their mapped procedures and narratives can be referred to in section 12.

4.1 Bibia/Elegu Border Post - Uganda

4.1.1 Existing Procedures for Key Agencies (see Appendix 5)

Customs

Transit Management

Bibia exits a lot of through transits, bonded and un-bonded exports to South Sudan.

When the Truck driver arrives at the border, the following procedures apply:

(a). A proper Customs officer receives the Customs documents from the truck driver or owner of the goods.

(b). The proper officer (depending on availability of network) confirms that all adequate Customs Clearance process was made by

the preceding Customs offices by comparing the details of the documents carried to what is in the ASYCUDA system.

(c). The officer checks /inquires for other aspects like Transit Goods License (TGL), Road User payments

(d). The officer checks whether the goods are destined to exit through Bibia. If yes, he goes ahead with the clearance, if not, he

refers such matters to the Station I/C for further management.

(e). The officer then inspects the truck – seals, marks and numbers and other details against the documents presented. And where

variances arise, he queries the truck driver or owner of goods. If matter is not satisfactorily explained, the officer raises and

forwards the matter for offence management (By Enforcement)

(f). Where there are No variances or queries, the officer shall validate the transaction in the ASYCUDA system (depending on

the availability of the network) and wave /exit the truck.

(g). On a regular basis, mostly weekly, the ASYCUDA system is queried for trucks destined to exit through Bibia but which have

exceeded their statutory exit period. Any findings are forwarded to the enforcement arm of Customs Department based in the

station.

Offence Management

The Offence management at the Station is applicable to offences created under the provisions of the East African Community

Management Act (EACCMA). Once an offence has been confirmed by a proper officer arising from either (a) above or elsewhere:

(a). The proper officer at the station issues to the taxpayer or his Agent a notice of seizure.

(b). The Officer takes a statement from the offender, completes an offence report, seizes the goods and records the details of this

transaction in the Offence Register.

(c). Where the offender is willing to settle the matter out of court like is the case for almost all the cases at Bibia Customs Station,

Form C40 (Request to settle the case) is completed.

(d). The proper officer computes the taxes and/or penalties and issues a payment notice

(e). The offender pays the cash to the station cashier who instantly issues him/her with a receipt generated from ASYCUDA.

(f). After the payment process, the goods are released and the offence register is updated accordingly.

Temporary Admission

Bibia also clears vehicles temporarily imported into the country from S/Sudan. When a vehicle arrives and the owner of the vehicle or

his agent declared his intention to secure a temporary road license (TRL), the following is done:

(a). The officer examines and compares the vehicle details to the documents (especially vehicle logbook) as submitted to him by

the vehicle owner or his agent.

(b). Where no discrepancies are identified, the officer captures the details of the motor vehicle and that of the owner/Agent into

the TEVIES (Temporary Vehicles Import and Export System) and (depending on the availability of network). While

processing entry of a vehicle, the TEVIES system has three basic processes namely – Submitting a declaration, Confirmation

of Payment and Issuance of Temporary Importation Certificate.

(c). Depending on the type of vehicle (Private /Government etc.) the TEVIES system will either issue a Miscellaneous Payment

Form (MPF) to enable effect payment or not – (Government vehicle do not pay) in which case the system will issue the

Temporary Importation Certificate without issuing an MPF.


(d). If it is a paying class of vehicle, TEVIES issues a system generated MPF which is paid into the ASYCUDA system prior to

the issuance of the importation certificate. It should be noted that as a counter check, the system cannot issue a certificate of

importation before a payment is made into the ASYCUDA system except only for non-paying vehicle.

(e). Both the officer and the owner of the vehicle or his authorized agent signs off the generated TEVIES documents after which

the taxpayer proceeds to his/her intended destination in Uganda

Return of the Vehicle

(a). When any vehicle previously issued with TRL either at Bibia or at any other station want to exit to South Sudan, the

Particulars of his documentation will be checked by an Officer at the station to ensure that the vehicle has not overstayed in

Uganda and the particulars of the vehicle are still the same as those indicated on the paper work.

(b). Where queries are applicable, the officer reconciles the vehicle in the TEVIES system and the vehicle is exited.

(c). Where the vehicle has overstayed in Uganda, the offence process takes effect.

Clearance of Imports

The Station receives imports for direct Home use with the necessary or available supporting documents from authorized /licensed

Clearing Agents. Upon receipt of the above, the following is done:

IM 4 (Home Use Clearance)

The Station In charge or his appointee allocates the Customs Entry lodged by a Licensed Customs Agent to the various officers to

handle.

(a). The allocated officer(s) does a document check and ensures that all relevant boxes in the entry are completed and also

ensures that all relevant/ available documents are attached

(b). The officer performs verification of the goods and a verification account is generated.

(c). After verification, the results found as per the verification are compared with the declaration to confirm no errors for aspects

like classification, value/rate declared, unit of measure etc.

(d). Where there is nothing to query the agent on any of the matters above, the officer determines the Customs value, received tax

payments from the taxpayer or his authorized agent and finally releases the consignment from the ASYCUDA system. The

truck is then allowed to proceed.

4.1.2 Immigration procedure for registration of citizenship

Citizenship in Uganda is governed by the Uganda Citizenship and Immigration Control Act (Chapter 66) of the Laws of Uganda. Any

person to who section 14(1) or (2) applies may apply to the board in writing in the prescribed form, and the board shall, on proof to its

satisfaction that section 14 applies to that person, register that person as a citizen.

The board shall upon registration of any person under subsection (1) issue to that person in the prescribed form a certificate of

registration as a citizen of Uganda. The following procedures take place at Bibia frontier:

Check passports for anything unusual, use intelligence to identify problems

Stamp and return passports if the traveller conforms to the required procedures.

Emphasis of using standardized identification documents to cross border. Uganda has sufficient documents.

Request on the Visa fees is on a reciprocal basis on USD $50 single entry.

4.1.3 Other Agencies: - The following agencies were established to function;

Security and police are at all borders to cause surveillance and monitoring national security, border crimes & infiltration,

law and public order. The activities are conducted as provided under their respective legal mandates and Acts.

OGAs included: - veterinary, standards, agriculture & forestry are stationed at regional offices in Gulu town and are notified

for intervention when necessary. Their procedures are standalone, interventionist and adhoc. Sometimes their activities are

always linked to the customs and security agencies’ procedures.

Border posts agency officers are being trained for basic and management checks and referrals


4.2 Nimule Border Post – South Sudan

4.2.1 Existing Procedures for key Agencies (see procedure mapping in Appendix 5)

Customs Administration

The clearance procedure is guided by a Value Guide Line which indicates the items and their respective applicable tax rates. The value

guide is used as a reference for rates/values after they are not satisfied by the valued declared by the taxpayers.

Imports and Exports Clearance- Bill of Entry

The import process runs as follows;

(a). The clearing agent receiving the transit documents from the truck driver or the owner/trader for home bound goods. The

agent prepares customs entry with all the required transactional documents and lodges it to customs long room. The receiving

officer manifests and registers it in the register and forwards the entries to the head of long room. The head of long room

allocates the entry (s) lodged to the selected officer to process.

(b). The document check officers ensure that all relevant / available documents are attached and more inquiries are made to the

trader/clearing agent whether has valid documents/permits. The commonly required permits include a trading license (import

or export) issued by Ministry of Commerce and Trade, and then depending on the type of goods, it will require the relevant

license and other relevant transactional documents to accompany the lodged entry (see table 4). Customs will usually revert

to the crafted value guidelines in their absence. On the part of customs the following are their documents; Arrival form,

Application for special services to the Chief of Customs Officer form no’s 54 & 53, Result of Examination (Sec. 61) Sudan

Customs form no 48, S. Sudan Customs Bill of Entry.

(c). The document checked entries are passed on to the tariff section which is divided into two sub-sections;

Verification and estimation: The estimator (officer performing estimation) carries out verification of the goods and

a verification account is generated. After verification, the results found as per the verification are compared with the

declaration to confirm no errors for aspects like classification, value/rate declared, unit of measure etc. Thereafter,

reference or guideline values are used to approve or estimated the value for tax/duty purposes.

Audit Desk will usually conduct a comprehensive check on the correctness of what has been estimated and

determined for tax purposes.

(d). The entry is forwarded to cash section. The cashier receives tax payments from the taxpayer or his authorized agent in form

of cash revenue. The entry is rotated and numbered. A receipt is issued and entry stamped, perforated and then forwarded to

the station head for final release.

(e). The Director of the station receives all entries due after payment for final cross-checks. If he is satisfied, final release is

issued in a way of endorsement, ‘approved’ with a date and time. The entry is collected by the office courier and taken to the

separation section. The entry is separated where the client/agent receives his copies.

(f). Final exit process:-The client/agent proceeds to the parking shed or customs warehouse officer in-charge for final exit

procedures. The Parking shed or warehouse officer will confirm the documents, compliance with other relevant agencies and

authorities for appropriate dues (including porters’ charges) and requirements if found conforming. Issues a gate –pass or

stamps again for the final exit. The truck will then get allowed to exit at the barrier gate for home consumption.

Transit Management

When the transit truck driver arrives at the border:

(a). The truck driver or owner of the goods or their clearing agent presents the entry to customs.

(b). The customs officer cross-checks the declaration to ensure that all the relevant /available documents are attached and such

attached documents are adequate, accurate and are consistent to the consignment. The officer shall ascertain that the Bond in

Force (BIF) declared by the Agent is adequate. The officer then inspects the truck – seals, marks and numbers and other

details against the documents presented. And where variances arise, he queries the truck driver or owner of goods. If matter is

not satisfactorily explained, the officer raises forwards the matter for offence management.

(c). Final exit process:- Where there are no queries, the officer shall forward the entry to the station head who will endorse

approval for continuation. The entry will be returned and exit of the truck will follow. The clearance time will usually take

two days if the procedures were conforming. The transit documents are currently used to clear and later on escort the cargo

which is considered risky or counterfeit.


Offence Management

Sudan Customs Management Act (SCMA) provided the basis for compounding offences. The offence schedule was being up dated

with some provisions under the East African Community Customs Management Act provides in form of an offence guide below:

(a). When an offence happens contrary to the customs procedures, customs officer at the station issues a notice of seizure.

(b). The customs officer takes a statement from the offender, completes an offence report, seizes the goods and records the details

of this transaction and forwards to the Director who compounds an offence and his decision is final.

(c). The offender pays the cash to the station cashier who issues him/her with a receipt. After the payment process, the goods are

released and the offence terminates.

Temporary Admission

The customs procedure under Temporary Road License (TRL) regime is jointly handled by customs and police. When a vehicle

arrives from foreign and the owner of the vehicle or his agent declared his intention to secure a TRL, the following is done:

(a). The officer and police examine separately and compare the vehicle details to the documents (especially vehicle logbook) as

submitted to him by the vehicle owner or his agent.

(b). Where no discrepancies are identified, the officers record the details of the motor vehicle and that of the owner/Agent into the

register.

(c). Depending on the type of vehicle (Private /Government etc.) the officers will collect payment of USD$50 effect payment or

not – (Government vehicles do not pay).

(d). Both the officers (customs & police); and the owner of the vehicle or his authorized agent signs off the TRL

documents/forms after which the taxpayer proceeds to his/her intended destination in S. Sudan. Returning vehicles are not

charged.

General Comments on:

(a). Station Personnel

(i). It is also important to note that most of the Customs officers in Southern Sudanese Customs are former combatants rewarded to

work in these offices because of their role in the bush war. Because of this, they lack the basic Customs knowledge and other trainings

relevant to a proper customs officers’ professional work. It is estimated that over 60% of the border population in the surrounding

areas of Nimule is armed.

(ii). Nimule customs post is a processing station. This includes receiving of cargo for home use in Sudan and transit through to Central

African Republic and Sudan. On average, 3600 trucks are received and cleared monthly of imported and some transit consignments.

(iii). Processing of imports of local goods from Uganda on average, clearance of 800 trucks is done monthly of such imports.

(iv). Ensure that prohibited imports & exports do not enter or leave the country. Further ensure that restricted goods have proper

authorization documents.

(b). Collection of trade statistics is still manual and it is collected by the statistics departments

There is a statistics section responsible for collection of all trade data after customs has concluded its procedures. After separation by

customs a copy or a bundle of copies at daily intervals, are sent to statistics section. This section then compiles its data monthly and

transmits it to Juba Ministry of Finance and Planning. The section lacked any statistician official and the officials on the ground were

learning on the job.

4.2.2 Immigration

The department of Immigration falls under the Ministry of Internal Affairs and National Security. It operates independently of other

agencies since security and police are under the same Ministry. The officials perform the following procedures;

Deal with foreigners for those who are coming to S. Sudan and about 300 -400 travellers (both motorized and on foot)

are processed on a daily basis at peak seasons.

Check the documents that facilitates the traveller intends to do

Passports are checked for anything unusual, with the use intelligence to identify problems

After check the documents, he pays a USD$ 50 is for single entry and not to exceed more three months. Then official

stamps and return passport.


For cross border travellers, chits are issued to assist them go on the Ugandan side for temporary visit or on the market

day. Sometimes the chits are ignored by the counterparts.

There was urgent need to establishment a mutual and friendly working relationship with Uganda counterparts across the

border.

NB: Inform travellers cross border treatment and are not charged. The station head proposed to their counter parts to

reciprocate but has not yet happened due to different legislation existing in place.

4.2.3 Other Agencies

The following institutional border agencies play a supplementary role in the goods clearance process, as well as the legal basis (as

defined by legislation, regulations and/or administrative instructions at the country-level for border operations) that drive the clearance

processes:

Eastern Equatorial State Revenue Authority

Central Equatorial State Revenue Authority

Taxation Department taken for excise duty, income tax, road toll is under Ministry Finance

Commerce and trade- check permits/licenses for cross border trade and those who imports,

Statistics for compiling Government and relevant OGA’s

Bureau of standards check the validity and quality of goods

Traffic Police for licensing of vehicles

Agriculture, Veterinary/Animal & Crop agencies

Phytosanitary agencies

Police, Security and the Army for maintaining the overall national security and public order

Immigration under interior as customs for passengers/travellers

4.2.4 Procedure Challenges at Bibia-Elegu/Nimule

There are a number of challenges observed in the border post:-

(a) Specific Border Challenges

The Nimule border agencies’ processes are all manual that are easily subject to manipulations and fraud.

Most of the border agency officers at Nimule are not sufficiently trained in border modern management procedures, Tax

Administration or in enforcing the tax law.

The absence of an updated tax law in place. Borrow and use EACCMA and its regulations on observer status.

The serious interference in the Customs work by the various security Agencies at Nimule border. The security risks in

S/Sudan are still high. In the disguise of the security officer being on the lookout for security risks, they tend to interfere

in all border agency operations.

The Clearing Agents at Nimule are more than thirty in number, untrained and practise a lot of forgery like scanning of

Customs documents from Uganda, collusion with security Agencies to evade proper clearance of containers, vehicles etc.

(b) Agencies operating on a standalone basis

Multiple Agencies. There are sixteen Government, regional Government and private sector agencies all crowded at

Nimule border

Predominance of in-house build and delivery 100% manual systems that don’t relate with the headquarters. For example

the Station head has a locally drafted and discretly used valuation guideline.

Isolated data capture and information processing by all agencies.

Emphasis on back office transaction processing. A lot of the business operations are performed by people who do not

make policy, or the place where they work.

(c) Physical control and constraints that impact procedures

Limited integrity and transparency by agency officials, e.g. there is total absence of open-office concept.

Organizational performance measurement is absent especially for Nimule agency staff and Uganda’s OGA’s.

Standard and basic training, mainly technical and administrative is absent and required urgently.

During rainy season, the place floods, slowing down traffic movement that impacts on the clearance time and

examination activities.

Land encroachment by inhabitants on land that used to house customs in early 1950s. The Commissioner Customs has

since November 2011 validated the earlier land status to final formalities of titling the acquired border land area by this


year. Remedy: Secure land for constructing OSBP facilities in a juxtaposed arrangement along the border line (separated

by the River Elegu) between Uganda and Sudan.

4.3 Numerous Documents to Fill

There are varying documentation requirements by two countries for cross border transactions. Growing depletion of some natural

forest resources and security concerns have also caused most countries to require rigorous and complicated documentation systems.

The document requirements also vary according to the type of products entering in and out of a country. This is particularly

burdensome when it comes to products such as agriculture and animal products which require different permits and certificates in

order to move across borders. There is also lack of a standardized and efficient procedure for securing clearances and facilitation of

the importation and exportation of particular products.

The study carried out and established that the required documents include customs declaration forms, invoices, freight

documentations, licenses (where applicable), as well as official documents exchanged between the parties to the transaction (see Table

4). On average it requires seven (7) documents to move goods across borders in the border posts. Although there are a number of

documents required at different country borders, they are instituted for various reasons as described in the table, they lead to delays,

increase costs, open avenues for corruption and therefore a hindrance to bi-lateral and intra-regional trade.

It, therefore, recommended that we:

Review current documentation requirements with the view of streamlining and reducing the documents in number necessary

for crossing the borders

Establish an efficient pre-clearance process that allows one to put all documents together. Physical checks should only be

carried out to ascertain that the goods carried correspond to the documentation

Incorporate modern customs risk management practices such as the Authorized Economic Operator accreditation

Standardization of procedures for securing clearances and facilitation of the importation and exportation of agricultural and

livestock products

The adjoining governments of the different border posts should work towards reducing and later on harmonise the numerous

and different number of documents used for trading goods across these borders


Table 4: List of Import and Export Documents

No. Export/Import Documents required Source/Issuing Agency Importance/ Purpose

General Documents required

1 Commercial invoice or simple cash sale

receipt & Packing List

Prepared by the seller Valuation and duty assessment

2. Shipping bill, Bill of lading Prepared by the shippers Declare goods for voyage and travel manifest

3 Import & Export bill of entries, Transit

entries, Simplified Cross-Border

Certificates, EAC, COMESA, S. Sudan

certificates of origin

Revenue Authorities and

Customs Administrations of

the respective countries

These certificates grant preferential tax treatment for

goods of a value not more than US$ 500 traded among

partner states

4 Boarder Permits/ Local Authorities &

Councils clearance letters

Issued at Border Districts,

regions or Local Authorities

and Council area offices

Gives credibility to the origin of goods. Very

cumbersome to acquire

5 Drugs Certificates Drugs Authorities and Heath

Ministries

Certifies and grants permission to import or export

types of drugs and their durability.

Animal & Animal Products

6 Live Animal and animals products Export

License

Livestock Health and

Entomology –Ministries

Grants permission to transport line animals & products

across borders.

Processed Products

7 Quality Assurance Certificate National Bureau of Standards Proof of quality, safety compliance.

Fish

8 Health Certificate Department of Fisheries in

Ministries

Certifies that processing was undertaken under

hygienic conditions and thus guarantees safety to the

consumer.

9 Fish Export Permit Department of Fisheries Grants authority to operate business in Fish export.

Minerals

10 Mineral Export Permit Geological Surveys and

Mines Department

Grants permission to trade in Mineral products and

gives proof of a legitimate product

Bees and Bee products

11 Export permit and health Inspection

Certificate.

Livestock Health and

Entomology

Grants permission to trade in bee products, packaged

bees, and bee colonies

Second hand clothing

12 Fumigation certificate Private certified fumigating

companies.

For Second hand clothing. This shows that the clothing

were fumigated prior to shipment and are free from any

vermin`s or disease causing organisms.

Coffee and Cotton

13 Export Permits Coffee and Cotton

Development Authorities.

Required before a coffee or cotton shipment is cleared

by customs for export.

Wild Animals

14 Wildlife permit Wildlife Department

Authorities

Grants permission to trade in wild live animals, games

and trophies

Flower fruits, vegetables and plants

15 Phytosanitary Certificate and Timber

permits

Ministries of Agriculture &

Forestry

A mandatory International requirement for trade in

plant product. It certifies that the product does not

contain anything injurious to plants, animals and

human health.

Source: Original Data Collection in Nuwagaba (2011)


4.4 Border Agencies

A key impediment to cross border and intraregional trade at these border posts is the multiplicity of government agencies on both

sides of different borders. All government agencies enforce different types of legislation and have legal powers to detain goods and

people if any transgression against any of the specific pieces of legislation is flouted. The most common or standard agencies across

borders within the region are listed in table 5 below.

Table 5: Border Common and Unique Agencies

Country Common agencies Unique agencies

South Sudan: Nimule Eastern Equatorial State Revenue Authority

Taxation Department taken for excise duty,

income tax, road toll is under Ministry

Finance

Commerce and trade- check

permits/licenses for cross border trade and

those who imports,

Statistics for compiling Government and

relevant OGA’s

Bureau of standards check the validity and

quality of goods

Traffic Police for licensing of vehicles

Agriculture, Veterinary/Animal & Crop

agencies

Phytosanitary agencies

Police and other Internal Security for

maintaining the overall national security

and public order.

Immigration under interior as customs for

passengers/travellers

Central Equatorial Province Revenue

Authority

Ministry of Internal Affairs

Army

Uganda:- Bibia/Elegu Customs

Immigration

Police

Agriculture & Veterinary

Army,

Internal Security

National Forestry Agency

Source: Original Data Collection in Nuwagaba 2011

Generally, there is lack of a centralized coordination mechanism among border agencies. Each agency captures their information for

their own needs, possibly in different formats, thus reducing the potential of sharing the information and by so doing affect border post

operating efficiency. This therefore, makes it almost impossible to share information in a timely manner even if they were to

cooperate. There is need to establish a coordinated and standardized operations of agencies within each country. Once this is set,

harmonization across countries can then be improved. Harmonization internally and across borders will have a number of benefits.

However, for the process to take effective change there is need for capacity building programs for all border officials.

4.5 Legislative Framework Supporting Procedures

4.5.1 The Legal Aspect on OSBP concept

The OSBP concept envisaged for Nimule/Elegu border procedures requires additional legal authority beyond that which is provided

by, if any, the existing legislation for two essential reasons. Firstly, it will entail the performance of border controls by various officers

of one State in terms of its national laws extraterritorially in another State. Secondly, a legal mandate is required for hosting


arrangements of that Sate’s border control officers who will operate in terms of their own national laws within the territory of the other

State. The legal framework proposed would also additionally provide for the administration and management of wider safety and

security functions including the general maintenance of law and order (as distinct from border controls) at such OSBP.

4.5.2 Underlying legal principles to support operational activities

Extraterritorial jurisdiction: - It is an established legal principle of public international law that national laws of a State generally

only apply within the territory of that State. “…….. The exercise of jurisdiction is limited, save by special international agreement,

to the territory of each State, so that the State can only exercise it over persons or things within or coming within the territory”.

The principle of extraterritoriality allows the participating states to extend the application of specific national laws to a place located

outside their own territories. Extraterritoriality is thus an exception to the above stated legal principle and to that extent would of

necessity need to clearly define which national laws apply extraterritorially and specific locations where such laws would apply.

Hosting arrangements: - Similarly, as with the said principle of territorial application of national laws, officials of a States are

limited, in the exercise of their functions and application of their national laws, to within the territory of that State. The exercise of

official functions and application of the national laws in the territory of another State of necessity needs to be agreed to between the

two States and authorised by such other State in terms of its own national laws (OSBP Source Book 2011).

4.5.3 Determination of Appropriate Legal Instrument

A number of instruments to enact the OSBP concept into law in this particular jurisdiction of Uganda and South Sudan are available as

follows:

Bilateral Arrangements

Memorandum of Understanding (MOU) and National Act

This is the most recommended approach where two adjoining countries are involved and the focus is on establishing an

OSBP at a particular Border Post. It entails the negotiation and conclusion between the two countries of a bilateral agreement

in which the parameters of establishing such OSBP are spelt out. It also requires that such arrangement be entrenched in the

domestic laws of each country by way of an appropriate Act of Parliament so as to give legal effect to the provisions of the

MOU and the principles of extraterritoriality and hosting arrangements.

Other

It is not mandatory that the bilateral arrangement should be called an MOU. Other jurisdictions may prefer to call such

agreements a Memorandum of Agreement (MOA), or Protocol or Treaty or Constitution, or any such other name as may be

deemed appropriate. What is critical is that such legal instrument should outline what is considered the key issues to be

addressed therein as will be outlined below.

4.6 The Private Sector Involvement and Participation

4.6.1 Business Service Providers

These include:

Customs clearing brokers (useful in establishing transit documentation and a few times for home use goods clearances, though

not necessary when goods are above the authorized threshold and cleared inland),

Bank offices (where duties and taxes collected by customs and all other agencies are often paid), and foreign exchange offices

(usually handled by money changers or one registered bureau).

Insurance Companies. The presence of insurance brokers offer services on the issuance of COMESA insurance certificate or third

party requirements for motor vehicle insurance; and where differing insurance regulations exists.


4.6.2 Business and society Costs Incurred

The problems arising from the different border procedures typically translate to additional costs of doing business. The hassle of

random inspection by various agencies, collecting the required documentation, and lack of information sharing and communication

through interfaced ICT systems all lead to delays for companies trading good across borders. Table 6 below shows the national

average number of days a consignment takes to cross one (1) border and the average cost incurred per day per consignment for delays

by business.

Table 6: National & Nimule Border Average Cost Incurred by Delays

Country Average no. of days to cross one

(1) border

Average cost pr. day

for delays (US$)

Average cost per

delays (US$) at

Nimule/Elegu

DRC 3-7 days 300

Burundi 1-2 days 125

Uganda 1-2 days 100 100

Rwanda 1-2 days 100

South Sudan 3-8 days 250 350

Average 1-8 185 225 Source: ESA-BMO research study group 2010 & survey 2011 comparative figures

4.7 Clearance and Processing Times

During the survey it became imperative to establish the efficiency levels with regard to testing the existing procedures at

Nimule/Elegu border post. The efficiency measure was determined by measuring two variables based on the WCO (2007) time release

study principles. The processing mean time from the time a transaction is registered or one enters and leaves the customs or border

area. The other variable was to ascertain transactional clearances of cargo itself in terms of entries registered and assessed. The

findings in figures 2 & 3 were based on both primary & secondary data and observations at the border posts; and are graphed in the

following texts.

Note: The processing times graphed are actually average processing times.

4.7.1 Customs

Figure 2: Average Daily Clearance Transactions and Processing Times (Hours):- Nimule & Bibia/Elegu

Source: Oral & Structured Interviews 2011

Generally, Nimule performs far below expectations with processing time up to days for transactions that should be

processed in just minutes. Daily clearance transactions too remain low.


Bibia on the other hand takes slightly more processing time than best practice but its processing time is visibly less than

an hour unlike the Nimule border which takes days.

Even with the lower processing time at Bibia, the daily clearance transactions do not correspond accordingly.

Nimule take an average of 4 days to process imports on the border, remarkably it records a fairly high number of daily

clearance transactions(170) which is well above the minimum expectation (100) compared to Bibia (25) which only

takes 45 minutes.

Export assessment and transit for both directions for Nimule takes about a day in processing time and still records low

daily clearance transactions of 25 and 80 respectively compared to the optimum of 100 and 200 respectively.

Temporary admissions, despite the enormous time gap, indicate the same number of daily transactions at both borders of

Nimule and Bibia.

4.7.2 Immigration

Figure 3: Average Daily Traveller Clearance & Processing Times (Minutes): Nimule and Bibia/Elegu

Source: Oral & Structured Interviews 2011

The two border posts, Nimule and Bibia, perform over and above the minimum expectations (200) for the informal

travellers daily clearance transactions

Nimule and Bibia (175) perform over and above the optimum for the official /transit traveller daily clearance

transactions.

Nimule (12.5 and 7.5) fails to meet the best practice for official/ transit processing time and informal traveller processing

time.

Bibia performs over and above the optimum.


4.7.3. Emerging Issues/Lessons

(a). The OSBP Model

The procedural findings established security and sovereignty at this border post to favor the juxtaposed type of OSBP model.

Elegu border post on Uganda’s side requires a totally new set up of physical infrastructure to host the operational activities. Nimule

border post may require remodeling of the existing structures or total reconstruction to bring to harmony the procedure and security

arrangements.

(b). Sovereignty and Security Concerns

In South Sudan, the inter-tribal conflicts are threatening the fragile peace efforts after independence on 09/07/2011. Armed bandits

and cattle rustling is worsened by the small arms infiltration circulated in the larger part of country. The LRA insurgency which is

now confined in the deep western part of the country is causing fatalities and death to the local communities. Over 25,000 people have

been displaced from their homes, mostly in the areas of Ezo, Yubu, Tombura, Nagero, Nzara, Yambio, Ibba, Maridi and Mundri West

counties in Western Equatorial State since 2010. Trade and transit corridors are constantly disrupted in the affected areas.

The issue of sovereignty is still sensitive with border demarcation still unresolved around the country. Security is very fragile and

insecurity still prevailing especially in the rural areas. The areas of Kaya and Nimule are relatively secure and well protected. OSBP

concept must be backed by the legal framework (protocols, agreements, MOU’s or Act) accepted and endorsed by all relevant parties.

These were the sentiments from the brief interaction with the parties from the capitals and at the border posts. There are prevailing

concerns of insecurity in varying degrees in all the two member states under study. The design of the border must put HIGH security

consideration the location at the immediate borders to the comfort and safety of all operating agencies’ officials.


5. FUTURE DEMAND FOR BORDER AGENCIES

5.1 Introduction

Procedure simplification and coordination of a multitude of agencies involved in border clearance is increasingly cardinal for an

efficient border post management. In designing the border architectural designs, not only the count is done but also the relevance of

each agency ought to be evaluated to have a must presence at the CCZ. Both the clearance and processing time underscores the

optimal facility utilization, sharing and holding capacity considerations. In addition, it is critical to provide estimates for both office

space and personnel requirements to aid sectional allocation in terms of numbers, location, size and their dimensions within the

common control zone (see Appendix 1, 2 &3). The key border agencies and their roles have been highlighted in Appendix 4 below.

5.1.1 Juxtaposed OSBP Proposed Process Flow: - The future demand on design for Nimule/Elegu should take into consideration a

juxtaposed OSBP model recommended as most appropriate. The proposed process-flow mapping follows (see mapping in section 12)

and thus summarized here below;

Process Flow- with OGAs (Standards, Phytosanitary, Veterinary, Immigration, Police, Health, border management)

The process starts when pre-arrival information is received by the clearing Agent

The agent makes a Pre-entry using the pre-arrival information

The agent assesses and uploads the declaration with the relevant documents

Customs will conduct a face vet on the lodged declaration

If the documents do not conform then they will be queried and forwarded to the agent for correction

If the document conforms then selectivity will be triggered in (ASYCUDA)

After selectivity is triggered then there will be concurrent clearance by customs and OGAs for yellow lane entries

Issuance of certificates by other Government agencies

The declaration will then be Passed/Released

Goods arrival at the border

Green lane entry goods will be exited immediately they arrive at the border

Red lane entries goods will undergo a joint verification

If the goods do not conform then the offence process will be triggered

If the goods conform then they will be released.

The goods will then be exited in the system

Final exit from the border

Clearance of Goods below CIF value threshold

All goods in small quantities or baggage that are below $500 CIF value threshold by travellers will report and declare to the

designated customs impound shed. Customs official(s) will assess by using the automated simplified document (SD). The traveller or

taxpayer will proceed to pay in the near-by bank and return for confirmation, final release and exit procedures by customs. Where

other OGAs wish to intervene, customs usually informs them. Cashiers in this instance are meant to carry out book keeping and

revenue reconciliations. The administrative procedure should remain in place to keep limiting such baggage to the extent that when

they exceed a set limit, it is forwarded inland for processing. Such policy will aid to lessen clearance pressure on the right-sized

facility put in place.

5.2 Coordinated Border Management

Coordinated Border Management (CBM) is most appropriate for efficient and effective border post management as a tool to establish

cooperation with the multitudes of border agencies legitimately operating at common frontiers. CBM represents an approach to

manage borders involving public and private service agencies working across portfolio boundaries in a coordinated manner to achieve

a shared goal thus providing a cohesive government response to the challenges of border management. CBM can be divided into two

categories:


5.2.1 Domestic CBM Programs

Domestic interagency coordination refers to the horizontal interagency cooperation within Uganda and S. Sudan as individual

countries; and later integrates the two systems bi-laterally. In its most current, efficient form, domestic coordination and integration

may lead to “single window” processing (depicted in figure 7). Based on the prevailing conditions, effective CBM may begin solely

on the basis of improved procedures and business processes re-engineered amongst the agencies themselves.

Most domestic integration will first occur within individual border agency when it turns its mission requirements into a single set of

procedures, processes, and data elements that are applied uniformly. In turn, border agencies will work with one another to compare

their mission requirements, locate redundancies, and identify components that contribute little added value in terms of security.

Depending on the legal and political mandate, two possible solutions are advised to follow. Agencies can either be reorganized into

one single border agency, or they can reach agreements, often called Memoranda of Understanding (MOUs) or as appropriate, that

reduce overlapping and redundant regulations by delegating particular responsibilities to a smaller sub-group.

5.2.2 Domestic and Bi-Lateral CBM Programs

At the request or directive of the Head of Government Business such as the Prime Minister or other high level authority in each

Government, a recommended framework for both domestic and bi-lateral implementation in the viable border posts follows.

Request each border designated agency to inventory its mission objectives.

Create a task force or working party to review the mission objective of each relevant agency.

Charge the group to develop a common set of border requirements and a plan for how that set can be administered efficiently with

as little cost to legitimate traders as possible.

As necessary and appropriate, have each agency enter into an agreement, contract or other memorandum of understanding that

allows a single agency to perform the regulatory responsibilities at the points of entry.

Single point of data submission: submitting information to all agencies separately at the ports of entry slows border crossing and

increases port of entry traffic congestion.

Pre-clearance programs: offering pre-clearance screening to goods or people can minimize heavy traffic and lines at the ports of

entry. Use of Cargo Control System and Real Time Management Systems as IT tools are appropriate Enhancement of the ability

to manage traffic at the border posts entries under study. These border posts experience large fluctuations depending on the

season and the day of the week, often creating excessive congestion or none at all. A dynamic recommended response in terms of

staffing, equipment, and facilities to process traffic is essential. This includes flexibility in staffing allocation and working hours

(continuous staff placements as appropriate), optimized shift change with no impact on users, and continuing education that

enables agency cross-designation.

5.3 Incremental and Phased 24 /7 Operations

Nimule and Bibia/ Elegu border post is registering increased traffic and cargo clearances. For Uganda, formal trade with Sudan,

including both North and South, is larger than trade with Kenya or any other countries (figure 4a). Kenya till recently (2005) was the

biggest export destination for most of Ugandan exports. Formal exports to Sudan started to increase from the mid-2000s when the

security in Southern Sudan was restored after the signing of Comprehensive Peace Agreement. Total formal exports from Uganda to

Sudan grew from US$4.9 million in 2002 to US$246.6 million in 2010. Since 2006, Sudan is the biggest export destination for

Uganda. As for informal trade, Sudan is by far the largest destination of Uganda’s informal exports among other East African

countries (figure 4b).


Figure 4: Trend in Trade between Sudan and Uganda

(a) Formal Exports from Uganda

(b) Informal Export from Uganda in 2010

0

100

200

300

400

500

600

700

800

900

1,000

Sudan DRC Kenya Rwanda Tanzania

source: IMF, Uganda Bureau of Statistics and Bank of Uganda (2010)

There was observed and recorded clearance work overload and spill-overs, traffic congestion but mainly arising out of clearance

delays, starting late (8.30 am) and closing of office business early (by 4.30 pm) and absence of working over the weekends and public

days for example at Nimule side. Such border agencies as health and standards have personnel level issues. Governments and border

agencies where the border posts reside should be advised to set targets for speeding up the process of crossing borders to reduce the

average time of 3 days. The plausible remedy is in the introduction of a phased 24/7 operations scheme. It is therefore urgent that the

border post considers immediate phased extension of operating hours from 1700 to 2200 hours within the period of construction phase

and graduate to 24/7 operations at the completion of the OSBP.

5.4 Opening and Closing Hours/ days

South Sudan and Uganda share the similar time zones and therefore should be urged to have an agreed mutual arrangement of

coinciding the opening and closure hours of their borders. Increasing common opening hours and days including weekends and public

holidays will shorten the time that cargo spends on crossing borders and this allows the borders to meet the target of spending no more

than 24 hours and less stress on the existing and future OSBP facility design and its capacity. Common understanding should be

agreed upon to instruct officers to work normal working hours during weekend and public holidays. The normal weekly working

schedules, close of border clearance business stops almost at 17.00 hours. On the South Sudan side, any cargo and vehicular reporting

after mid-day on Saturday will wait clearance till Monday the following week. Ugandan border agencies are compliant on this but the

openness is futile if there is no reciprocal on their counter-part.

5.5 Governance Issues and Indirect Costs

The additional informal costs incurred by business indicate that there is widespread mentality among border officials that encourages

delays which cultivates corruptive tendencies. To tackle this menace it is recommended that national governments should consider;

reducing human handling of documents by computerizing the border clearance processes; improving border staff competence;

installing a common control zone or/and national hotline to the center (Headquarters) to report suspected incidents of corruption and

establishing punitive penalties to those issuing and receiving informal fees. A monitoring mechanism by a headquarter supervisor

would quell delayed clearances highlighted or popped –out by the IT system application.


6. MAINTENANCE OF SECURITY AT THE BORDERS

Securing borders is essential, and is non-negotiable not only in the modern world, but also in such a volatile great lakes region.

Reinforcing security at border crossing points is the first line of defense against the increased threat of terrorism, arms trafficking &

sales and rebel & militia activities in South Sudan. With fraud (goods & benefit), drugs smuggling, illegal immigration and identity

theft on the rise, and the resulting battle between security and fraud, border authorities should be compelled to re-evaluate their entry

and exit points. Moreover, the latest national and regional requirements regarding national identity cards, possession of valid

temporary documents, and use of official passports and soon introduction of e-Passports incorporating biometric identity data are also

pushing countries to modernize frontiers. The two nation states are also feeling the strain from increasing passenger numbers as

illustrated in Table 7 below. There is a high risk associated with these travellers who are originating from insecurity regions.

Table 7: Travellers Movement across Bibia/Elegu Border Post

Year 2008 2009 2010 2011

Month No. Of Travellers No. Of Travellers No. Of Travellers No. Of Travellers

January 20,611 26,423 31,200 40,304

February 18,406 22,378 25,673 31,234

March 19,554 27,564 28,456 32,456

April 16,679 24,319 30,123 33, 457

May 15,407 30,078 32,432 35,467

June 21,343 22,346 24,345 26,754

July 22,526 33,219 34,321 39, 567

August 15,567 26,754 36,782 38, 679

September 14,989 28,765 34,213 36,407

October 19,458 20,089 23,321 24, 567

November 21,867 33,221 36,235 37, 820*

December 27,693 38,598 39,567 42,632*

TOTAL 234100 333754 376668 419344

Daily Average 629 993 1013 1127 Source: Bibia Border Post Immigration Department

Notes:

a. *Adjusted after survey on 02/01/2012.

b. Travellers use Buses, trucks, pick-ups and saloon cars

c. Buses have increased from four in 2008 to fourteen in 2011 single exit. The reverse is on average equal.

6.1 Security Issues and possible remedies

The challenge for governments and agencies responsible at Nimule/Elegu border crossing, is to adapt to these new threats and

effective handling of rapid increases in passenger throughput (especially the local communities divided by the political boundaries)

but without compromising security. The issues below were generally identified during the survey to impede maintenance of security at

the border posts but in varying degrees and magnitude. Possible remedies are prescribed alongside.

6.1.1 Unconnected border posts by ICT, Equipment’s and Utilities

An Elegu/Bibia border post in Uganda is connected with ICT. Nimule is not connected with the main headquarters by ICT

applications. The situation is aggravated by lack of or consistent generation power in all stations. The two borders have severe limited

communication outreach and remain most of the time in darkness when the sun sets; it can be an aspect that could expose the stations

to insecurity. Border agencies that are not equipped, automated and IT compliant and connected should be assisted or supported to do

so. Thereafter, the agencies will urgently coordinate with Customs and Immigrations that have IT systems to get inter-faced with real-

time access to their national IT grids.

6.1.2 Lack of reliable documentation to detect fraud or/and identify wrongdoers

Increased usage of border chits for local communities by Immigration without appropriate documentation that clearly and reliably

identifies people significantly reduces the immigration and security officer’s ability to identify and nab someone who should not be

entering either country. There seemed to be only a human element and effort as a means of checking and identifying wrongdoers and


dangerous persons such as terrorists. It therefore reduces these border posts’ capacity to use their crossings as effective check points

for security. Relevant Governments require and support her agencies in availing all people entering their territories with new

technologies and documentation that is tamper-proof, machine-readable, biometrically enhanced and reliable.

6.1.3 Poor threat identification and screening at the Borders

Customs and security Officials from the border agencies do not have access to sufficient resources or training to effectively screen

persons and goods that are a potential threat to the national security of the countries. The following are categories of security threats

that administrations typically consider when making boarding or admissibility decisions in regard to people: Criminals or other

persons of interest, Smugglers (for Weapons, Narcotics, Intellectual property, People-particularly women or children, Cash or

equivalents and Prohibited goods), Terrorists (for Attacking the means of transportation, Transiting to other destinations and

Infiltrating the host country), Illegal immigrants. It ties in 6.1.2 above. There are obvious absences of scanning equipment and

detection gadgets. It is imperative that governments and their institutions provide mandatory security training to relevant Government

agency staff, and allow authorized agencies to access to police data banks and technology equipment required.

6.1.4 Inadequate staffing levels to deal with rapid increase in traffic, cargo & passengers

The significant increases in traffic across all the borders have resulted in an increasing ratio of cargo, traffic and passenger volumes to

border agency personnel in the last five years. However, the total number of officers on the Ugandan side border posts has remained

relatively constant (two officers deployed at each side of the border) since then. It is only in S. Sudan, where fairly good staffing levels

exist (Twelve). The number of personnel employed by the relevant border agencies should be sufficient (to be agreed after staff audit)

to provide delivery services and security commensurate with increased traffic, clearances and security threats.

6.1.5 Understaffing, undertrained and unprofessional agency staff

It was established that not only are officials few to measure up the increased volumes of border activities, but most officials are newly

recruited and between six months to less than two years. This was so common with customs and OGAs. In fact most OGA’s are

unrepresented at all save for the key agencies. This poses a security threat to the work expected to be done and safe guarding the

borders. All personnel deployed should be fully trained and experienced to perform primary duties on inspection and supervisory

lines. OGA’s which are not represented, should be encouraged enter into signing MOUs’ with the existing agency e.g. Customs and

Immigration to take on their roles formally.

6.1.6 The need for proper training for all border officers on duty in complex set of skills

If the focus of our border crossings is to evolve from tax collecting to security, training for border officers must evolve as well.

Systems are good, but successful systems depend on the quality of people running them. These people must be trained in a complex

set of skills that will allow them to make critical judgments that impact on the security of the border every day.

There are two sides to this. The border officials need to be able to identify potential trouble-makers. But they must also handle

themselves in a way that doesn’t infuriate people who feel they are being stereotyped. Hostility, bitterness and absence of public

relations/customer care aspects are not likely to promote the more secure border posts especially those along S. Sudan frontiers.

Border agencies either under a CBM agency or individual, should expand their training programs in line with all aspects of border

business activities with emphasis on security in addition to other mandates. There is a need for specialized training and increased skill

sets for dealing with human-to-human, human-to-cargo, human-to-vehicular situations, questioning techniques and cultural sensitivity.

6.1.7 Unsafe border posts for loner officers, and at times multitasking

The study team learnt that border personnel worked alone at least part of the time in border posts in Uganda. At this post, quite often, a

single official performs most of the procedures such as assessment and release of entries, collects duties and taxes, and performs

primary and secondary inspections meant for other agencies. That is simply too many functions for a lone border officer to perform

effectively. Deployment of two officers at each side of the border renders officers arrange their working schedules in shifts. There is

unwritten off-duty of four days every month granted for each officer. One isolated person has little or no hope of getting quick support

other border officers when there is an emergency or a surge in traffic. Worse, how are unarmed officers working alone expected to

deal with potentially dangerous situations that could arise when dealing with dangerous criminals or terrorist elements crossing the

border? Border agencies ensure at least work in pairs; but also urgently consider introducing working in shifts at all borders that will

introduce 24/7 working operations.


6.1.8 Need for a culture shift on border activities to risk management practices

The people who should get the attention at our borders are would-be and/or potential criminals or terrorists crossing the borders from

time to time without being detected. Border officials, inspectors and intelligence officials need to spend less time looking for extra

bottles of duty-free whiskey and more time trying to identify people who might be a genuine threat to the security of the countries in

the study. They need to use advance information gathering techniques both from the generated IT data and informers and apply risk

management practices to quicken the vetting process.

Border agencies’ staff should under-go continuous improvement and refresher courses on change management from cargo and

passenger orientations to emphasize security aspects and concerns.

6.1.9 Unarmed Border Officials to deal with smugglers

Part of any border officer’s job is to try to prevent the entry of firearms, drugs and illegal entrants. This is likely to involve dealing

with people who have been involved in criminal activity, but due porous nature, no police present, no lighting to see number plates,

CCTV, etc. Dealing with these kinds of people on a regular basis is a risky way to make a living.

There are two main questions for the relevant agencies here. First, do our unarmed border officers have the systems and equipment to

perform this role effectively – that is, prevent guns, drugs, illegal immigrants and other unwanted people and things from entering

country? Secondly, are our unarmed border officers capable of protecting themselves if these kinds of people turn nasty? Most of

these borders have security and Army personnel but not readily available sometimes at the right time. Armed security agencies should

be made available for the comprehensive security of all border officials’ safety. Border agency officials should all under-go a

mandatory security maintenance training courses.

6.1.10 Lack of a credible system

Reports of violent and life threatening incidents at border posts’ crossings are relatively infrequent. But that doesn’t mean these kinds

of incidents don’t happen. Officers disclosed to the study team that critical incidents, (including verbal threats, assaults, bomb threats

and suspicious packages) are reported to the headquarters. The incidents go unreported and perhaps uninvestigated from the center for

the security, safety and protection of officers. There is need by border agencies to establish a credible system for timely reporting and

cataloguing these types of critical incidents faced by personnel.

6.1.11 Culture of secrecy exhibited by agency officials: Who do you trust & suspect?

The governments of the states, like elsewhere, has an obligation to be open about how much risk its various security systems tolerate

at any given time. Customs and Immigration officials specifically are discrete in their information giving even when dealing with

official sources and amongst each other! It is forbidden to the public domain.

Both the border agency officials and the public has the right to be informed about the effectiveness of security systems that they all

work for and the public `pay for. Without these insights national of these countries under study are flying blind when it comes to

making decisions about how best to behave to assure their own security. It also weakens public debate about how to improve national

security, and makes it more difficult for concerned citizens to demand accountability and apply pressure on politicians to make

improvements. Governments do not have to release the kind of details that would help a criminal take advantage of a gap at these

particular border crossings. But it is imperative for the citizens to know generally what measures are being taken to protect them.

6.1.12 Backing up infrastructure at border crossings (ICT system & power failures to calamities)

Nimule/Elegu is situated near the greater River Nile valley. The area is prone to seasonal flooding mainly from the distributary

feeding into the River Nile. The border post crossing doesn’t offer any alternative route or passage in the event of natural calamities,

serious floods and insecurity/insurgency which would not only cut-off the two countries but cause dealth and destruction of property.

Governments should be encouraged to consider setting up contingency measures such evacuation, construction of high-raised

embarkments, alternate support equipment (power supply) and facilities (such as by-passes) for strategic reasons.

6.1.13 Reverse inspection

Reverse inspections, a process under which people and goods would be subject to examination prior to departure from their country of

origin, would lessen vulnerability to any acts of sabotage. For example, an explosion may happen in the middle of the bridge while

traffic is queuing to clear.

Land pre-clearance and reverse inspections are not identical. When the term land pre-clearance is used, only one country might be

operating on foreign soil (Uganda/Kenya Rail at Malaba). Reverse inspections implies a reciprocity – both countries are pre-clearing


at all given crossings. Reverse inspection is two-way pre-clearance. The Governments and relevant agencies should move, through

mutual cooperation, to introduce pre-clearance into reverse inspection away from all bridges and river/lake crossings.

6.1.14 Need for public awareness and sensitization

There is need to sensitise the public of the benefits of the effective border management leading to wellness of their nationals and

economic development. Most nationals consider national security a matter of Governments and their relevant agencies. A sense of

public and community policing is key to supplement Government efforts and their own safety first.

6.2 Other Security Considerations

There is need to consider facilities such as equipment’s, safety, systems and holding grounds when designing the OSBP facilities. The

facilities highlighted below would be shared by border agencies and enhance security within the common control zone.

6.2.1 Border Security Equipment:

Border security both within the common control zone and the surrounding areas can be enhanced by the provision of:-

Patrol Cars (4WD)/Vehicles and speed boats for patrolling the borderline based on intelligence interventions.

Radio Communication system to assist enforcement work with officials in the field.

Search Light & Night Scope gadgets to assist officers deal with night smugglers and individual dodgers

Holding cells for wrong-doers/offenders, animals, persons who may require quarantine due to out-break of diseases.

6.2.2 Parking & Holding Zones and Cargo Security

Haphazard parking at the current border post may be attributed to the absence of space management. There are modern security

solutions on the market that can assist in the putting order to both entry and exit vehicular movements. Intelligent Parking can use

multiple solutions and methods to detect and direct vehicles. The following technologies & equipment are available and used:

Lighting System in the border provides solar lighting at night and will automatically switch-off during day-time.

CCTV (Surveillance camera) provides all-round camera monitoring of the parked vehicles and cargo.

Ultrasonic Parking Sensors directs approaching and entering vehicles passed the entry gate to the allocated space.

Wireless Outdoor Parking System and Traffic Signalization provide virtual connections with a central control system. The

system further provides signaling gadgets to direct appropriate parking of all in-coming and out-going traffic.

6.2.3 Security & Safety Precaution and Identification

Borders and surrounding areas may be prone to accidents arising out of the chemicals and products cleared and processed. The safety

and ease of identification aspects for the CCZ users and travellers is highlighted below:-

Hydrants for fire extinguishing

Safety gear for staff handling corrosive and inflammable products. E.g. Chemical, fuel, acids

Uniforms for easy of identification

Tags, badges, Ids, passes,

6.2.4. Passenger Data

Both pre-arrival and arrival data is available for potential consumption by both immigration (mainly) but also for security by customs

administration and security agencies.

(a). Pre-Arrival Data

Advance Passenger Information. This is data taken from the machine-readable zone of the passenger’s passport at check-in or

boarding. Not available until close to departure

Passenger Name Record. This is data obtained by the travel or booking agent when a passenger makes a reservation. May

contain destination addresses, the passenger¡¥s itinerary, contact phone numbers, traveling companions, credit card numbers,

and email addresses, among other things.

Visa. This data includes student or immigration visas and is composed of information submitted in advance by foreigners

wishing to travel to a country where a visa is required.


Travel Authority. This information has been submitted by a traveler to the destination country in advance of travel, often in

lieu of obtaining a visa.

(b). Arrival Data

Passport. This is the information contained on a passport that is generally available from all persons legally crossing an

international border. The information that is usually included is: Name, Passport number, Nationality, Date of birth, Sex,

Passport expiration date, Personal identity number, Most modern passports have a standard format machine readable zone

where the above information can be captured electronically, Passport information is the standard for ensuring identity by

using a number of characteristics including name, date of birth, sex and nationality and tying them to a single unique number,

The data is useful for matching to watch lists, to discover travel patterns by physically investigating immigration stamps in

the passport.

Landing / Arrival Card. This is data which a passenger provides to the immigration and customs authorities upon arrival,

generally by populating a form, or card. The regional data cards version requires that the following information be provided:

Surname/Family Name, First Name, Date of Birth, Country of Citizenship, Sex (Male or Female), Passport Number, Airline

and Flight Number (if applicable), Country Where You Live, Permanent Residence, City Where You Boarded (if applicable),

Date Issued (Day/Mo/Yr) (if applicable), Address While in the country of residence (Number and Street), City and State,

Difficult to analyze the information as it is a handwritten paper document.

6.2.5. Contextual Data: In passenger vetting, both immigration and security agencies will always attempt to tie a person to an

officially issued identity document and discover whether the document owner has any negative information associated with

him or her. Databases that may indicate that a travel document has been tampered with include lost and stolen passport

databases. Security agencies also consult various domestic and international terrorist, criminal, or fraud databases to identify

persons of interest.


7. POTENTIAL FOR ELECTRONIC SECURITY, OPERATIONAL REQUIREMENTS, BORDER CROSSING

7.1 Introduction

Electronic security is critical for insecurity situations that threaten the life existence of not only the border officials and travellers but

also all participants expected to operate in the CCZ under OSBP facility. Nimule/Elegu border post security is still fragile and risky. It

therefore, requires adequate and maximum safety and protection of people, cargo but also allow introduction of procedural initiatives

such as working extended hours towards 24/7 operations are made possible. The physical or architectural aspects to border control,

such as fences, walls, gates, turnstiles, access control barriers, bollards, security berms, or any other structure or system used to restrict

access along a border or at an access point must be reinforced and secured with electronic high technology using the designing

strategy in 7.2 below.

7.2 Context of Electronic Security

This section outlines the processes, systems and services involved in the border crossing design, deployment and operation of

electronic security systems for border perimeter surveillance, security and control. The resources employed in planning, designing,

constructing, operating and maintaining effective electronic border surveillance and security system requires the following factors

must be addressed:

7.2.1 Needs Ascertainment

The processes required to identify and define the scope and nature of the e-security system appropriate for the OSBP site; then

directing the resources and manpower to develop a well-documented response to those needs. For example, the architecture of a

‘controlled’ border, between countries enjoying friendly relations, requires a completely different approach to planning, design and

ongoing support than does a ‘militarized’ border in a hostile environment. Uganda and South Sudan enjoy friendly relationship.

7.2.2 Threat Assessment

It is critical that during the period of time in which needs ascertainment data is accumulated, and the physical site survey is conducted,

a focused effort be directed at assessing security threats/issues (see section 6 above) that may be directed at border crossing points,

highly populated sites near the border or any other point that may be vulnerable to unauthorized crossing or incursion. Three potential

threats to a secure Uganda/S. Sudan border are:

Unauthorized border crossing by refugees, undocumented aliens or smugglers,

Incursions by potential terrorists, sappers or enemy agents,

Penetration of the border by armed rebels, bandits, limited or full-scale military action.

7.2.3 Design Criteria

There is need for the development of a comprehensive technology-based security system design that takes into account variances

along the border in terrain, environment and population density.

7.2.4 Access Authorization and Detection Systems

The specification and selection of advanced systems such as passport authentication, facial recognition, license plate recognition

(LPR), chemical, radiation and biological detection systems could considered at Nimule/Elegu border entry point.

7.2.5 Overt Surveillance Systems

This is a process of deploying overt video surveillance (see figure 5) and proximity sensors along physical barriers (fences, wall,

gates, etc.) where the potential for unauthorized incursion may exist, but the threat of tampering with or destroying equipment is low.


Figure 5: Overt Video Surveillance

Source: www.raptorgglobalinc.com

7.2.6 Covert Surveillance Systems

This is deploying covert video surveillance and proximity sensors in locations where physical barriers may be limited or non-existent,

and the threat of tampering with or destroying equipment is high.

7.2.7 Communications Network

Traditionally, one of the weakest links in supporting a comprehensive electronic security program is the communications network (see

below) necessary to accumulate and transport data and video information from remote sensors back to a central monitoring facility or

tactical control center (TOC). This is due to the fact that while security technology designers are usually very good at their

specializations (video surveillance, detection systems, interdiction and intrusion systems), they rarely have a similar level of expertise

in the networking side. This has become even more apparent now that a majority of security systems are designed to Internet Protocol

(IP)-based standards.

Figure 6: Communications Network System

Source: www.raptorgglobalinc.com

7.3 Electronic Border Solutions to enhance security

There are number of recommended security e-Border Solutions that offers the highest level of security.

7.3.1 The e-Border Gate

This offers the most extensive electrical and graphical security features verification to ensure document authenticity including:

The latest IT micro- chip authentication mechanisms for immigration to deal with active authentication, passive

authentication and grant secure access to fingerprints.

Document Readers for both ordinary and e-passports which can apply automatic graphical features checking (e.g. pattern

recognition) under all available illuminations (infrared, UV, Visible light, coaxial light)


7.3.2 Stringent biometric identification

Biometrics are human data characteristics captured at the border and can include fingerprints, iris or retina scans, DNA samples,

facial recognition, or voice prints.

As personally identifiable information, its handling, storage, and sharing may implicate privacy regulations

Associates a difficult-to-forge or spoof unique personal characteristic with an officially issued identifier such as a passport number

Used for making positive identifications of the same biometric obtained at a different time

As personally identifiable information, its handling, storage, and sharing may be impacted by privacy regulations.

The following equipment should be introduced and used by immigration and security at Nimule and Elegu by:

Technology with fingerprint sensor accuracy: Using the spoof detection technology to detect fake and spoof fingers such as

latex, silicone and gelatin. This tolerates variations in skin (dry, wet, dirty, aged) and works under high ambient light

Efficient face recognition technology: This is done by the use of a multiple camera system with automatic height adjustment

and a recognition rate ensured through consistent natural lighting and a roof. A huge reduction in false acceptance and false

rejection rates through the possibility of a multi-modal biometric system (Face + 2 Fingerprints).

7.3.3 A secure gate and fence design

The e-Border Gates and fences introduced especially after establishment of OSBP within a common control zone will offers a closed

environment and creates a secure area.

Travelers cannot jump the fence to escape

Travelers benefit from a private area for the control

This closed design offers the possibility to adapt a very powerful uniqueness verification system.

The inspector can easily monitor on-screen what’s happening in several gates and within a fenced area at the same time

The LCD displays outside and inside the gate tell the traveler how to proceed in their native language


8. INFORMATION TECHNOLOGY APPLICATIONS

8.1 IT Connectivity and Implementation

There is virtual absence of IT connectivity at Nimule within the border agencies but also with their headquarters in Juba. Some

computer equipment had been delivered to the customs and immigration in preparation for the anticipated automation project by early

2012. On the contrary, Bibia/Elegu border agencies are well IT connected and interlinked with their headquarters, at least for customs

and immigration departments. Our observation is that IT connectivity project must be muted and supported concurrently. It promotes

the technical development and interaction that is needed for more effectively sharing information and identifying risks.

In a juxtaposed OSBP arrangement (preferred for Nimule & Elegu), most agencies will be split between two facilities and it is

essential that they can access computer systems at their home base and do entries, assessments and agency database searches from

anywhere in the common control zone. Therefore, ensuring connectivity within the common control zone should be one of the first

tasks of implementation.

Nimule/Elegu OSBP facility should have a border management information system or window platform, so that basic information

entered can be shared among all agencies. Next it should facilitate and manage the flow of documentation and interventions involved

in the clearance process. It should enable them to happen in parallel, where possible, and track fulfilment of clearance requirements.

Realizing benefits from IT must be part of an overall rethinking of procedures and re-designing the physical facilities to host the

border management tools.

8.2 Evolving technology landscape for border connectivity

The technology landscape is changing rapidly, a number of key trends below are emerging that in their reinvention will continue, in a

foreseable future, to dominate border agencies connectivity agenda, but relatedly to Nimule-Elegu border crossing:

• Competitive cloud computing*

• Mobile technologies*

• Proliferation of Single Windows

• Social computing*

• Information management* - structured and unstructured

• Advanced analytics, including social analytics *Source: Adopted from Gartner 2012 - “Predicts 2012: Four Forces Combine to Transform the IT Landscape; and WCO News 2012”.

Each of these technologies affects the role of Customs and border agencies in different ways and they provide many opportunities to

not only drive connectivity, but also increase productivity, and enhance engagement of the clients and personnel.

8.2.1 Competitive cloud computing

The term Cloud Computing describes the usage of ICT as a service from the internet (public cloud) or from a closed IP-based network

(private cloud). Services delivered through the cloud can range from basic IT infrastructure over IT platforms to entire soft ware

applications. Cloud Computing allows services and IT capacity to be requested on an on-demand basis and, in the case of the public

cloud, regardless of the location (WCO NB, 2011). Cloud computing enables border personnel to be more responsive, and make faster

decisions with real-time information that is centrally managed and accessible anywhere. The enhanced connectivity inherent in cloud

computing enables the traditional desktop bound workforce to become a more agile workforce. Cloud computing offers virtualized

digital services that are available anywhere and anytime. Virtualization can be in the form of:-

Software as a service (software and associated data is hosted centrally, and is provided on demand to users, typically via a

web browser or thin client);

A platform as a service (deployment of applications without the cost of the underlying hardware or software);

Infrastructure utility services and infrastructure as a service (support and provision of a virtualized infrastructure respectively,

with the latter using allocated blocks of storage and networking); and

IT outsourcing (managed services, in the form of business process outsourcing or application outsourcing, for example, that

can be a combination of some or all of the above).

The cloud allows organizations and their border agencies to be flexible in terms of its operations, by providing on-demand services,

and in terms of finances, by reducing the total cost of ownership for these services. Ubiquitous access to cloud computing services

ensures that the personnel is always connected to the organization, and used in combination with mobile technologies, can provide

truly location-independent digital services.

Security however is a main concern when considering cloud solutions within Customs and other agencies, the key being to firstly

understand the various security threats, such as data sensitivity, data loss, data exchange and data access control.


From that foundation, security can be managed by developing cloud specific security policies, upgrading/enhancing existing security

practices, incorporating the cloud into existing security architecture, choosing the right security tools, such as access controls and

encryption tools, and working with experienced service providers. The evolution of a plethora of commercially available and

competitive cloud computing solutions is making it easier for border agencies to adopt this technology.

8.2.2 Mobile technologies

Customs and other border government agencies, amongst public service organizations, have some of the most mobile personnel.

Mobile technology, both hardware and software, represents a real step forward in connecting and empowering an agency’s workforce

to make fast and accurate decisions with real-time information. Mobile technology is already pervasive in personal lives with the

advent of smartphones, I-Pods and tablet devices, and they are increasingly being integrated by organizations to drive workforce

efficiency. By effectively using mobile devices, and mobile applications, border agencies can realize their benefits in terms of

productivity, rapid development, and increased engagement with both their customers and their workforce. For example, Customs

inspection teams that are traditionally location-specific can be mobilized so that inspection teams are location-independent, and

inspection findings and evidence, such as photographs, can be communicated to virtual teams for real-time decision-making.

Nimule/Elegu border participants can be sensitized to start enjoying mobile telephony benefits by making payments or money tranfers

such as taxes, charges, fees, etc.

8.2.3 Proliferation of Single Windows

Single Window solutions (as illustrated in figure 7 below) are not a new concept, and as they mature and become more pervasive, they

can enable the delivery of key business outcomes to businesses and governments, including:

Improved access to government agencies for the trading community;

Improved communication between trade-related agencies;

Faster response times for approval of permits and licenses for example;

Improved Customs clearance times for imports and exports; and

Better experience for traders interacting with government, and quicker access to management information to assess the

performance of agencies.

An effective Single Window system if introduced at Nimule/Elegu border post will have the unique ability to lower not just the cost to

serve in terms of resources, time and money, but also the cost to be served thereby transforming the burden on traders.

Efficiency gains in time and cost of carrying out trade, with multiple interconnected agencies, from a single point of interaction are

significant. Additionally, by linking and integrating their Single Window facility, Uganda/S. Sudan governments and businesses can

become more effective in carrying out trade globally.

8.2.4 Social computing

Social computing delivers digital connectivity, networking, and relationship development and management that has otherwise been

traditionally physical, and carried out person-to-person. Social computing can be broken down into social networking and social

collaboration:-

Social networking is the ability to build digital social networks using dedicated tools (SharePoint, Facebook and Twitter);

Social collaboration is the collaboration of users’ online using web 2.0 technologies (wikis, blogs, and instant messaging).

Social collaboration includes social feedback (the collection and analysis of feedback on products or services), and social

publishing (the sharing of media with social networks seamlessly).

Nimule/Elegu border agencies should be enabled to start embracing the advantages that social computing can deliver in the areas of

customer relationship management. It provides a new innovative way to engage and build relationships with customers online, while

providing a cost effective way to carry out public relations and marketing functions (traditionally carried out via websites, radio, and

print media). Social computing also presents opportunities for agencies in the areas of collaboration, knowledge management and

training, as well as better collaboration between virtual border agencies’ teams.

For example, web 2.0 technologies can empower the personnel to share their expertise and reach a wider audience. McKinsey’s fifth

annual survey on social tools and technologies shows that when integrated into the daily work of employees and adopted on a large

scale throughout a new kind of business—the networked enterprise—they can improve operations, financial performance, and market

share (MacKinsey Quartely 2012).These tools also enable the personnel to contribute and maintain knowledge capital in an

organization, which is fundamental, especially with aging human resources in Customs and other border agencies. Training using

social networking and social publishing ensures that human resources’ education is accessible to a wider audience at reduced cost.

8.2.5 Information management

Information management largely exists today for structured data in the form of various databases. For many border agencies, a large

proportion of their information is still on paper or is stored in outdated databases, which inhibit accessibility, for instance documents


are scanned as images but are not searchable for content. Technological advances mean that it is now possible to transform

unstructured data (images, text, and other non-numeric data) into structured, searchable electronic data, which is accessible from all

locations and remotely through mobile technologies. As Customs and other border agencies receive and process large amounts of data

from various sources that are both structured and unstructured, an efficient information management system that can handle the

volumes and various types of data, structure it and make it readily accessible is fundamental. This kind of information management is

the key to making business decisions and forms the foundation of connectivity between border agencies and their stakeholders.

8.2.6 Advanced analytics

Customs and other few agencies have traditionally been very good at collecting data and very poor at using it systematically to make

decisions and inform risk and intelligence. New analytics technologies have the potential to transform the effectiveness with which

such agencies utilize data. Analytics typically sifts through large volumes of data to find patterns and highlight differences from

expected norms. In recent years, the advent of advanced analytics capabilities means that it is possible to go far beyond basic pattern

analysis. These capabilities include the processing of unstructured data, and social analytics.

The combination of advanced analytics and an information management system can transform the advanced identification of risks

based on intelligence and behavior, and enable more insightful pattern matching. It provides more powerful real- time identity

management capabilities (for example, using partial data to match an individual to multiple identities), and compliance management

(for example using image search and match to accurately identify goods). Advanced analytics can also provide more effective

targeting and decision-making to carry out audits/ enforcement activities. Social analytics capabilities measure, analyze and interpret

the interactions and associations of people – essentially providing a measure of connectivity – and the quality and effectiveness of

relationships within social networks.

8.2.7 Technologies do not exist in isolation

All of the above technologies can be connected and effectively used in combination, to provide many advantages for border agencies:

for example, the combination of the cloud, mobility, information management and social networking can enable the delivery of

training modules, independent of location, while increasing the productivity, engagement and collaboration of the border human

resources.

8.3 Critical success factors for IT programs

In order to introduce and implement IT programs at Nimule/Elegu, the following critical success factors are suggested.

(a). A bi-lateral legal and regulatory framework

A bi-lateral legal and regulatory basis needs to be in place before any IT design or implementation. The time needed for regulatory or

legislative change can easily exceed the time needed to develop new systems, so it is important to make the two overlap: for example,

time used to prepare a Memorandum of Understanding may also be used for prototyping and testing IT prior to system design or even

procurement.

(b). Definition and clarity of business outlay

Business outlay and later on its outcomes are not always well described before or during ICT program design, which can result in poor

service delivery. Service level agreements with key dependent partners and stakeholders, especially the border agencies, should be

defined and agreed on as early as possible in IT program planning. It is important to align the envisioned business outcomes with

overall outcomes in the agencies’ vision and strategy.

(c). Border IT governance

A border governance model, setting out the roles and responsibilities of all agencies, must be established. If the decision making

process and procedures for issue escalation are not established and rigorously followed, a loss of direction can ensue; wasting time,

raising costs, and delaying the delivery of required benefits.

(d). Specific IT policy issues

Further IT policy issues will arise with newer border agency systems because the systems often involve more than one government

agency, each silo based and each with different policies (if any) for such things as security and identity management. Policies might

need to be mutually agreed on for issues including: Privacy, Identity management, Security, Accessibility and digital inclusion,

Intellectual property rights, Standards and interoperability, Governance, architecture, and procurement; Green computing and Social

networking.


(e). Comprehensive business case

A short and long term comprehensive and robust business case is often essential to securing the necessary political backing,

investment, and resources for an IT development. Business cases for IT investments often have relied on a traditional cost-benefit

analysis. Information on cost is often readily available. More difficult is to quantify the benefits and project an accurate return on the

investment; many benefits are not quantifiable in monetary terms. An IT program may increase trader education and compliance,

improves performance management for staff, and enhances collaboration with other agencies and stakeholders. A suitable business

case will combine an analysis of the investment required with a wider view of both quantitative and qualitative benefits.

(f). Border operational aspects

It is critical to articulate and agree on who does what and how IT system will be financed before a program starts. If the lead time

necessary for a complete analysis of delivery model and procurement options is not allowed, unplanned financial and time constraints

can result, making deployment, operation, and the cost of delivery problematic.

(g). Business process efficiency

An important factor in the most successful IT programs is the link to business process efficiency. The current experience suggests that

any IT program lacking a complementary project to review and align the processes in an organization will generally fail, requiring

users to work around incompatibilities to operate a shadow or backup system. It is mandatory that an initial review of existing

business processes should inform the design of required business processes, so that the new IT system will in turn be designed to

enable the new processes.

(h). Change management Programs

Any IT program deployment demands investing more in change management initiatives and programmes. A change management

program should consider required changes in border officials’ behaviour, support the required continuous training and learning, and

help with role and job design and restructuring.

(i). The Organization performance

The design and implementation of any new IT program requires competent and skilled support resources. Organization and human

resource management are critical. Success metrics which measure operational efficiencies and improvements need to be determined at

the start of a program and then gathered and monitored during implementation and operation. Regular progress reporting, using

concise and accurate measures, must ensure that both the client management and those who put the program in place have the right

information to make decisions on intervention.

(j). Interoperability amongst Agencies

As the border agencies’ operating within the common control zone increasingly relies on sharing information and intelligence among

varied stakeholders (including those based outside it), interoperability is increasingly required. Developments such as systems oriented

architecture improve the ability to link existing systems. Future IT systems must allow secure links to other national and regional

systems, especially within the EAC.

(k). Data privacy and protection concerns

Privacy and protection become even more important as the demand grows for more data sharing, data reuse, and adherence to national

and regional data protection legislation.

(l). Standards and frameworks put in place

Success requires the application of standards to IT system design, development, and implementation approach and methodology. All

too often IT developments, particularly when custom built for example for Nimule & Elegu, result in poor service and high costs

because process, data and interchange standards were not applied.

(m). The National and Bi-lateral Single Automated System (Single Window System)

This is an integrated system that operates a ‘virtual OSBP’ through which a trader can submit trade declarations to various authorities

for processing and approval in a single application. The implementation of the national and bi-lateral SWS in concurrence with the


next phase of the OSBP project is critical. At national level Uganda is still at planning stages of initiating projects establishing the

NSWS.

The National Single Window System (NSWS) is recognized as a major trade facilitation tool and is promoted by several world

organizations that are concerned with trade facilitation.

The figure 7 below depicts a prototype proposed for Uganda/S. Sudan Single Window implementation. Bi-laterally, parties involved

in trade and transport may be enabled to lodge standardized information and documents with a single entry point to fulfil all import,

export, and transit-related regulatory requirements.

Figure 7: Prototype of the Uganda/S. Sudan Single Window Interface

Source: Original Data Collection

8.4 Future Assessment of IT systems and needs

The baseline done during the study was an observatory rather than an IT detailed needs assessment (see Table 8). Hence the process

needs to begin with a specific assessment of current use of IT and potential needs as perceived by the users. At this stage a critical

review of IT technical requirements in relation to existing systems and their scalability is done. It also looks at the extent of IT use by

the various agencies at the border, the compatibility of their systems, and their plans for enhancement. The assessment of user needs is

critical because they know in the course of their work where automating systems would have the greatest impact on their productivity.

The following scope and assumptions are considered in planning for the IT needs and equipment required:

Infrastructure requirements for equipment for the joint border business operations at the above border posts.

The network interconnectivity needs using appropriate technology to facilitate the joint business operations at the stated

border posts

IT Support and maintenance needed to ensure that the systems work.

The requirements is done on the assumption that S. Sudan will most likely adopt a Business Application such as

ASYCUDA that is already in use by Uganda and majority EAC partner states

The requirements also assume that the two countries have existing IT support structure that will implement the solutions.

So the requirements will be implemented within the existing framework of the member countries.

Measures of system performance

In Single Window Facility Participants/Clients

should:-

Lodge standardised information and

documents with a single entry point (to fulfil

all export, import and transit related

regulatory requirements)

If the information is electronic, then

individual data elements should only be

submitted once

Support the sharing of information by a legal

framework that provides privacy and security

in the exchange of information

Co-ordinate the controls of the various

governmental authorities, where appropriate

Provide facilities to receive payment of duties

and other charges

Provide access to trade related government

information

Table 8: Observatory IT Needs Planned

Strategy for System Requirements and

Procurement

(i) Acquisition of an intelligent WEB based system to allow log in from any

part of the world

(ii) It should have the current basic functions of customs, supporting Imports,

Exports, transit, selectivity) and allow add-ons, designing. A system from

scratch would take quite some time (over four years) just to develop

before tests and probably piloting can be done and yet the challenges

will remain.

(iii) The source code of the system should be provided by the system vendor

(iv) The system should easily be customizable to meet border agency needs

by local developers (IT staff)

(v) The vendor should build capacity of the IT developers and the functional

members to handle future changes

(vi) The system should bare a business continuity module that enables offline

work for the different stake holders e.g. Customs, Agents and banks.

(vii) The upgrade or change should ensure business continuity without

disrupting business and make the change over as cheap as possible.

(viii) The data in the current system should be usable to enable

uninterrupted analysis and monitoring hence risk management.

Impact of IT on Procedures and

Processes

Transit: Online cargo tracking of goods, transit reports, Transit monitoring

and analysis.

Customs Business Centre: Online declaration, duties payment, queries,

amendments, status reports.

Intelligence management: Online informer access through mails and Short

Messaging Services (SMS), Online analysis reports.

Audit: Online query registration, query distribution, query response, report.

Appeals: Online appeals submission, appeal response, reports

Investigations: Online investigation reports, Online investigation queries,

notices & response, Online fines & penalty payment

Exports: Online declaration & payment, Online notices, queries & responses

and Online reports

Bond securities: Online application, Online response, Online bond status

reports, Online penalties processing & payment.

Risk management: On line report of risk indicators, Risk profiling reports,

Risk analysis, Online queries & response.

Compliance audit: Online receipt of information, Online analysis & profile

reports, Online queries, notices & responses, Online audit reports.

Authorized Economic operators:-Online declaration, Online duties

payment, Online queries, notices & amendments, Online status reports, Online

release.

Offence management: Offence case registers, Offence case status report,

Online fines & penalty payment, Online offence notices.

IT Models and Systems

Single Window System (interfaced, integrated or hybrid)

ASYCUDA system introduced for a start.

Real Time Monitoring System (RTMS) & Cargo Control System

(CCS)

Data Trade In-put- single web-based terminal/service linking GA’s &

traders.

Internet Web-based Connection

Net-worked Laptops/personal computers

Net-worked Desk Top Computers Source: Original Data Collection as in Nuwagaba (2011)


8.4.1 The Business Applications and Infrastructure requirements

As stated in scope above table 8, the requirements integrate with the existing IT systems to facilitate seamlessly the joint border

operations, using the Business Application of the two member countries. Here may be need to customize the existing applications to

suit specific needs if the concept of the border operations introduces functionality that the existing applications do not support. This

covers details of the IT equipment requirements highlighted in the table 9 below:

Table 9: IT Required Equipment

Particular requirement Specifications/Descriptions

1. Servers

There may be need to improve capacity of the existing servers. The

specifications will vary depending on the Data Center strategy of the

different country. E.g. in URA which adopted consolidation and

virtualization, standalone servers may not be appropriate bringing

integration issues. But for some standalone may be the perfect system.

2. PCs, Printers There may be need to provide desktop computers and printers for the joint

border operations. Two (2) sets per joint border office may be enough.

3. Disaster Recovery and

Business Continuity

Depending on the DR systems in existence. Where DR hot secondary site

exists there may be no need to add anything. But provision of high

capacity tapes or portable hard drives may be needed to backup vital data

including configurations of systems to be installed.

4. Local Networking

This section will be key in providing feasible interconnectivity to the joint

border operations. It will allow exchange of information through the

interaction of the different systems

5. Cabling Appropriate cable specifications, CAT 6 cabling or fiber optic cable type

including their end connectors

6. Wireless Networking

Where the offices are far apart from the main customs border offices

wireless solutions will be required. A point-to-point mid-range wireless

solution is critical. Access points for LAN connectivity

7. Switches/routers/modem

In one way or another one of the three devices may be required. Atypical

effective low cost device that can do the job. A connection of this type

may require the services of a service provider (SP) and will have recurrent

cost to maintain connectivity to the Internet.

8. Bandwidth

128 kbps bandwidth from a SP will be enough to support the WAN

connectivity. An alternative would be installation of mid-range point to

point wireless solution.

Source: Original Data Collection


8.4.2 Border connectivity to national headquarters

All border agencies have their core functions located at their respective headquarter offices in the Juba and Kampala. The head offices

rely on information obtained from each of the border representing agency yet in many instances the connections are weak and data is

collected on document reports for recapturing or discs/tapes and transferred manually.

The lacks of connections or slow systems that reduce productivity are a major problem in many border environments. For example,

immigration at Nimule entry-point would wish to have immediate information on persons crossing this border to relay it to other

borders and track effectively entry and exit of transiting persons according to times allowed within South Sudan. This requires good

connections between headquarters and border posts. Many of the time consuming aspects of work at the borders could be addressed if

connectivity were available or strengthened. The integrated national IT systems are available by immigration and customs agencies.


9. OPTIONS FOR JOINT FACILITIES SHARING BY ALL BORDER AGENCIES

9.1 Introduction

Infrastructure and facilities at border posts often have designs that are out of date and procedure to todays’ operational activities,

security, service delivery standards and priorities. Upgrading these facilities is an important step in cost effective trade facilitation and

regulatory control improvements. It also enables the creation of shared services environment using industry leading-edge practices. A

shared service environment will save the border agencies significant economies of scale in terms of development costs, reduced waste

of space and premises, promotes optimal usage of assets, equipment & support technologies; and human resource placement. There

are a number of options proposed below for joint facilities sharing by all agencies.

9.2. Single – Stop Joint Facility Models

It is important to delve into the existing and common OSBP models and have a sense of understanding the joint sharing options.

Models for implementing joint facility controls broadly fall into several broad categories, depending on whether the common border

facilities are:

Straddling facility: - Facility infrastructure are usually developed to straddle the common borderline (No-Man’s-Land) that

are back-to-back where customs administrations and competent authorities are housed under one roof to perform their duties

within an MOU framework. Facility straddles the border to fit the image of OSBP on both sides. The Nimule/Elegu terrain

does not allow it.

Figure 8: single-stop joint facility models

Source: EAC 2010 Source Book

Single Inspection Area or Single facility in one country: Located within the national territory of only one of the two

countries sharing the common border. It is established through a bi-lateral or mutual agreement. Facility usually developed in

one country for joint customs inspections and clearances to serve a neighboring country. Uganda/ Kenya Malaba border uses

this facility for the Train seamless clearances services. The two countries enjoy a good degree of nascent political cooperation

at the moment but may require more safe guards through bi-lateral & regional legal instruments and the test of time. The

model is probable but may be not feasible at the moment for Nimule/Elegu.


Figure 9: Single facility


Juxtaposed facility: - Split into two with both countries having a facility on each side of its border. Each country has a

mirrored facility that handles only the destination (incoming) goods, traffic and people. It allows utilization of the existing

facility on a shared/common user basis. Though not economical, it is politically convenient and acceptable. Facilities are

usually developed on both common borders arising out of a natural barrier or mutual arrangement within an MOU framework

which are identical in physical infra-structure and process flow lay-out.

Figure 10: Juxtaposed facility


The juxtaposed model is the most suitable to adopt for Nimule and Elegu border post. The sharing of joint facility is the approach that

was well laid down in the EAC One Stop Border Post (OSBP) Act, 2010 part vii (s.35 & 36) and viii (s.44 & 45). The Act has

provisos that cater for the sharing of such juxtaposed facilities in the control zones and conducting of facilitating agents respectively.

The Act obliges the hosting partner states to provide shared office and other accommodation requirements without any cost

obligations by the designated agency tenants. Furthermore, all equipment which is necessary to enable the border officials carry out

their functions, shall be freely transferable within the CCZ (see appendix 2).

The joint shared facilities under the juxtaposed model can be further explained using physical facility layout, Examination Sheds for

Shared activities and Equipment, Tools and Utilities options as follows:

9.3. Physical Facility Layout

Integrated Facility Option. In this option identical or/and related country agencies by function and mandate should be

placed together to sit or be spaced in a straddled arrangement to ease coordination. For example Customs should be placed

with Customs, Immigration with Immigration, Police with Police etc. sitting under one roof and adjacent or back-to-back to

one-another. This option is recommended for Nimule/Elegu when reconstructing the OSBP border post facility wholly.

Figure 9 depicts the sitting arrangement. Refer to Appendix 3 for personnel minimum requirements.


Figure 11: Integrated Joint Facility


Interfaced Facilities. The border agencies in this arrangement would be located at their business activity bases. Each

agency would be located separately only to converge jointly for operational activities; but establish an interface using a

gateway server to exchange data elements or/and information between them but also share with others as well. This

option is recommended when establishing OSBP using the existing structures and facilities of which Elegu falls short.

Figure 12: Interfaced Joint Facilities


Virtue Facility. Facilities in this option would be located anywhere but interconnected by web-based internet networks

to a single border authority/system or with the rest of the agencies in the CCZ. The agency must not have to locate it-

self at the border but respond according to alerts through pre-arrival information and any other needs as highlighted by

the risk management mechanisms. This option is recommended when the border is planned to be less congested and

habited only by border facilitators or participants. At the moment the option is not appropriate.


Figure 13: Virtual Facility


Single Authority or Committee. The Common Control Zone formed as a result of constructing an OSBP designed

facility, may require an established authority or management committee to manage and administer the facility for the

effective use and facilitation of the border business and transactions. The countries involved would have to agree on the

institutional arrangement and a through an MOU or legislation to mandate the authority or border committee. (See

institutional arrangement in figure 14 below). This option is an advanced model of OSBP which is futuristic.

9.4. Examination Sheds/Areas for Shared Activities

All the OSBP models provides space where cargo is off loaded only once when entering for home use/consumption, by customs

agencies, agriculture, veterinary, bureau of standards, etc. depending on the nature and interest attached to the cargo. This should take

place under joint facility designated as Examinations Area or shed for bulk and containers; and Impounds Shed for passenger baggage

and cross border trade goods. The sharing option become more effective if there is a system application/software that provides a

module for risk management and is accessible or interconnected to all border agencies. This means that customs agency which has

ASYCUDA for example, can share and transmit useful data and information on flagged shipments that may warrant physical

inspections. Other agencies can also put their requirements for inspecting any other targeted cargoes in the system.


Figure 14: Examination Areas/Shed for Shared Activities by Agencies


Joint inspections at the designated area/shed can be made efficient by following these principles:

Checks can be carried out jointly by relevant border control agencies, but are generally coordinated with customs or a

single agency host the system application.

Majority of the cargo that may require rigorous checks and final clearances should always be forwarded to allow quick

and free movement to destination, in central clearance facilities such as inland ports, bonded warehouses or at owners’

premises.

Risk management and sharing of intelligence information by either country forms the basis of the

examination/inspection criteria. The regional risk management criterion and the AEO registered clients, aids the

application within the transaction regimes.

Confirmation of exit of identified high risk cargo is usually established through joint inspection in the importing

country.

There is usage of non-intrusive inspection with scanners and sharing of other country scanner information (see figure 15

(iii)).

Automation of examination/inspection accounts have been configured in most Customs software so that once any

transaction is inspected and is posted onto it, then it will be hard to alter or erase.

Installation of the motor vehicle number plate sensor readers for fast track lane clearance would enhance the concept of

fast-targeting and seamless clearance through the border.

Close cooperation in the daily management of the border posts,

The harmonization of requested documentation,

The development of an enabling legal framework covering mutual recognition of controls and the exchange of data.

9.5. Equipment, Tools & Utilities

In the juxtaposed OSBP models, like in other two models, there is urgent necessity to consider substantial investments in the

equipment, tools and utilities in the CCZ to be shared jointly by relevant agencies. These machinery and equipment include amongst

others non-intrusive technology such as scanners (Figure 15:- human, cargo & vehicular), biometrics & passport readers, border

surveillance equipment (patrol vehicles, radio systems etc.), surveillance cameras, parking management system, generators, water &

sewerage, fire-fighting system and high-tech weight bridges that weigh in-motion etc. See others in appendix 2.


Figure 15: Cargo and Human Scanning Equipment

(i) (ii) (iii)

Source: www.gamalto.com

Border agencies such as standards, security, immigration and customs can also agree to share facilities above and others, such as

electronic gates and booth (Figure 16), vehicle weighing, and the cross-border road permits done by the host country.

Figure 16: E-Gates (i) and Booths (ii)

(i) (ii)

Source: www.gamalto.com

http://www.gamalto.com/

http://www.gamalto.com/

10. SUMMARY FOR IMPLEMENTING OSBP PROCEDURES

10.1 Recommendations and Proposals for implementing OSBP procedures

A number of proposals below follow the findings under each terms of reference discussed above which merit consideration by TMEA

while instituting border post procedures.

10.1.1 Border operational activities

Procedure Changes:-

Business Procedures Re-engineering

Immediate establishment and documenting of the existing manual processes

Assess business process & systems for reviewing

Conduct business process re-engineering

Automation and roll-out of business process re-engineered

Pilot and implement re-engineered processes

Introduce interface & interconnectivity of different domestic and bi-lateral agency systems

NB: Consultant required.

Risk Management Review

After process review, consider control of information rather than the physical control of goods, through a combination of

customer analysis and segmentation and intelligence driven risk management.

Pre-Clearance and Pre- Arrival Processing

After IT and appropriate system is in place, Imports, exports, and transit shipments can be processed well before their

physical arrival at the border, with much of the time consuming processing conducted during transportation.

Rewarding Compliance In achieving cost effectiveness of cross border trade;

Self-declaration and assessment by agents and importers

An appropriate mix of incentives and disincentives can encourage high trader compliance.

The success implementation of the OSBP concept must consider the following:-

Unified automated data capture or linkage to ALL border agencies at the border (integrated systems).

Shared IT & compatible platform/applications

Automated Data sharing on “need to know basis”.

Lane processing based on risk management such as Green and Blue channels.

Fast lanes/systems for traffic management aided by e-gates parking systems and automated booths.

Segmentation of compliant clients (through accreditation approach e,g AEO & risk profiling).

Harmonized procedures and operational fees on either side of the border, e.g. Customs & OGA’s fees/charges, parking fees,

holiday or late hour service fees, etc.

Other participating agencies embrace OSBP concept, re-engineer their business processes and begin to work

Opening the border and keeping the operations running 24/7 by ALL or delegated participating agencies.


Competent and Professional Staff/Personnel Requirements

The role of skilled, experienced and committed officials will remain the driving force for addressing the challenges faced by

border agencies

It will be futile to have the best and modern physical facilities/premises without fundamental personnel attitude change and

professionalism in conduct and performance in place.

An immediate engagement of a consultant to conduct a comprehensive capability assessment that should result in a set of

recommended transformation actions.

It could result in the introduction of a business change management program that would enable border agency staff, whose

previous responsibilities may have become less essential as a result of legal/policy and processes, to operate in a more

effective manner in their new areas of responsibility.

Staff must be trained and designated to perform cross-agency tasks where appropriate, eliminating redundancy, reducing

duplication, creating efficiency and value for money.

Legal Mandate

TMEA considers sponsoring a fast-tracked legal framework initiative as it will lay firm foundation for the subsequent OSBP

establishment and initiative at a bi-lateral level.

The established legal framework entails:

Performance of border controls in terms of own laws from territory of another State.

Allowing officers of another State to perform border controls in terms of their own national laws from own territory.

Mandates general administration and management of controls from a common control zone by officers of two or more States.

Introduces improved intergovernmental and inter-agency coordinated arrangements and information sharing.

A number of instruments to enact the OSBP concept into law in this particular jurisdiction of Uganda and South Sudan are available as

follows:

Bilateral Arrangements

Memorandum of Understanding (MOU) and National Act

Other: - It is not mandatory that the bilateral arrangement should be called an MOU. Other jurisdictions may prefer to call

such agreements a Memorandum of Agreement (MOA), or Protocol or Treaty or Constitution, or any such other name as may

be deemed appropriate

Key Government Ministries to consult when implementing OSBP

Ministry responsible for Finance- Fiscal policy & funds disbursements

Ministry responsible for Foreign Affairs- Diplomacy & Bi-laterals agreements

Ministry responsible for trade & Commerce- Trade & investment promotion

Ministry responsible for East African Regional Affairs- Regional Integration

Ministry responsible for roads infrastructure- Directs road networks policy and its coordination.

Ministry responsible for internal affairs- security, police and immigration

Ministry responsible for Justice and legal affairs

Relevant government departments’, institutions/bodies, local communities/authorities and private stakeholders.

10.1.2. Establish future demand for the Government departments and other border agencies

The future demand will follow through space and personnel requirements, necessary equipment and systems, and reviewed

conditions in relationship to clearance procedures attached in appendices 1, 2 & 3 below.


Other Border Post Management initiatives should include:-

Integrating Border agencies using coordinated border management tools such as OSBP, Coordinated Border management

(CBM) and Single Window

CBM is the best practice to integrate border agencies domestically before dealing the agencies bi-laterally or regionally.

Introduction of incremental 24/7 Operations

Harmonizing Opening and Operational hours and days

Mutual recognition of each countries proceeding processes and documents and later harmonize usage of single documents.

Reducing informal and transport costs

Institutional Arrangements for Consideration

Any proposed implementation OSBP project at Nimule/Elegu may require an institutional arrangement to coordinate the activities and

effective management to the successful completion. A bi-lateral policy and an oversight body are critical to drive the project. It is

recommended that;

The above institutional arrangement monogram (figure 17) is created by an Agreement or MOUs between the two national

governments to manage policy and oversight roles.

The arrangement would begin with local border committee. This is the main entity for resolving procedural and operating

issues. Decisions need to be implemented by an agency with authority to do so.

The national border management committee provides policy guidance and coordinates between headquarters of agencies and

the border agencies to executive

The Ministerial steering committee, if possible, makes policy decisions, supervises overall development and sustains senior

level support of the OSBP.

Figure 17: Institutional Arrangements for OSBP

`

Source: Original Data Collection as in Nuwagaba (2011)

Management Issues

Leadership and managements are major issues in an OSBP, both during implementation and operations. It is important to observe;

Committees can achieve consensus, but they don’t generally lead. There needs to be a person (champion/project manager)

full time leading an implementation process or it is likely to stall.

The number of agencies at most borders each reporting to their headquarters is a challenge. There needs to be a management

structure at the border that takes ownership of the project.

Representatives from the border agencies and their headquarters both need to be involved. The first to make sure that

decisions are viable at the border and the second to insure they comply with agency policy and regulation and that the buy-in

to the project is maintained.

Steering Committee of

ministers

National Joint Border

Management Committee

National Stakeholders

Forum

Executive Board (PSs &

Heads of Agencies)

Lead Agency

Joint Border Committee Concessionaire

Border stakeholders’

forum

-The steering committee comprised of relevant Ministries would meet

once a year and is responsible for overall policy direction.

-The National Border Committee is the operational organ supported by

specialists

-The Local border committee manages the day-to-day business

activities of CCZ.

-The stakeholders meet periodically to provide feedback from

stakeholders. -The rationale for OSBP Committees is that they:

Focus attention on the specific problems that delay passengers and cargo

Are problem solving and solution providers,

Bring together the main control agencies and border users to motivate solutions by government and the private sector,

Convene stakeholder representatives bi-laterally on the OSBP to motivate each country to implement change, harmonize

regulations and enforce them uniformly,

Are ideal for piloting new initiatives and monitoring their impact

within the CCZ.


Lead Ministry

In order to manage and involve government ministries and institutions:-

Each country needs a lead Ministry to coordinate the overall implementation, to present the legal framework to government

for passage or ratification and to assist with coordination with other Ministries at headquarter level and sustain buy-in.

Avoids jockeying for influence or recognition when OSBP is opened.

Appropriate selection of the most relevant and well-placed government ministry. The choice can come from the beneficiary

Ministry such as finance, works, trade or transport; others the main border agency, generally customs.

Supervisory Approaches at the local level

The common control zone under the OSBP at the Nimule – Elegu at S. Sudan/Uganda border would effectively be supervised through

a descending order:

Lead agency: Existing key leadership and management of the border post facilities.

Border Committee: Creation of a border authority at the national or corridor level using CBM approach.

Concessionaire approach: Through a public and private sector maintenance contract

Task Team Formation

During implementation of the OSBP concept;

Task teams need to be appointed from the border agencies to work on each of the four areas: procedures, ICT facilities and

legal framework.

Assigned responsibilities, a time line and reporting dates.

Periodic meetings at the national and bilateral/regional level will help insure coordination of effort succeeds.

Developing a Future Regional Strategy

Since OSBPs are inter-linking nodes connecting the trans-corridor routes in more than one country, cross border strategies are crucial

for future planning and integration at two levels:-

Regional Level. From national level, it is easier to link the border post to an EAC regional strategic initiatives by:

(i). Simplification and harmonization of the existing OSBP initiatives

(ii). Alignment of common border operations

(iii).Interlink stakeholder consultation and existing institutional frameworks e.g. EATTFP project.

(iv). Linkage to an overall integration strategy promoted by EAC secretariat.

Corridor Level.

The development of OSBP compliments the regional and continental corridor expansion and provides the motivation to:-

(i). Traders to wider markets in DRC, South Sudan, Sudan and Central African Republic and beyond.

(ii). Inter-connect to the existing networks of corridors and the inter-linked ones.

10.1.3 All IT requirements to provide modern procedures to facilitate cargo and passenger flow to streamline all border

agency activities

IT system considerations for an OSBP concept border post

Acquisition of an intelligent WEB based system to allow log in from any part of the world

It should have the current basic functions of customs, supporting Imports, Exports, transit, selectivity) and allow add-ons,

designing. A system from scratch would take quite some time (over four years) just to develop before tests and probably

piloting can be done and yet the challenges will remain.

The source code of the system should be provided by the system vendor

The system should easily be customizable to meet border agency needs by local developers (IT staff)

The vendor should build capacity of the IT developers and the functional members to handle future changes

The system should bare a business continuity module that enables offline work for the different stake holders e.g. Customs,

Agents and banks.

The upgrade or change should ensure business continuity without disrupting business and make the change over as cheap as

possible.


The data in the current system should be usable to enable uninterrupted analysis and monitoring hence risk management.

Interest South Sudan to adopt ASYCUDA IT application system

Critical success factors for IT programs & systems at the border post:-

High Level Government Support on both sides

Designing and development of IT Master-Plan

Business Process Reengineering within ALL agencies (acceptance of single administrative document for trade)

Inter-Agency Coordination and collaboration

Incorporate IT designs into border designed Infrastructures.

Support and endorse the banking and financial sector to participate in the electronic transfer of funds and advancement of

cashless transactions

Close partnership & consultation with all parties involved, including the private sector and the trading community

Capacity building through regular training and continuous improvements

Full time power supplies

Full time network both cable and wireless from service providers

Provide equipment’s to include: - adequate band width, servers, disaster recovery units, cabling, switches, modems, routers,

etc.

An IT bi-lateral legal and regulatory framework

Set-up of the national single automated system at maturity stage

10.1.4 Identified issues that would need to be addressed to maintain security at Nimule/Elegu border Post

Unconnected border agencies by ICT, Equipment’s and Utilities should urgently coordinate with Customs and

Immigrations that have IT systems to get inter-faced with real-time access to their national IT grids for security strategic

reasons.

Lack of reliable documentation to detect fraud or/and identify wrongdoers. The two governments require supporting

their agencies in availing all people entering their territories with high tech-documentation that is tamper-proof, machine-

readable, biometrically enhanced and reliable.

Poor threat identification and screening at the Borders.The two governments and their institutions should work together

to provide mandatory security training to their personnel, and allow authorized agencies to access to police/security data

banks and technology equipment for security auto-screening and profiling.

Inadequate staffing levels to deal with rapid increase in traffic, cargo & passengers.The number of personnel employed

by the relevant border agencies should be sufficient (to be agreed after staff & work audit) to provide delivery services and

security commensurate with increased traffic, clearances and security threats.

Understaffing, undertrained and unprofessional agency staff. All personnel deployed at this border post should be fully

trained and experienced to perform primary duties on inspection and security lines.

The need for proper training for all border officers on duty in complex set of security skills, if the focus of our border

crossings is to evolve from tax collecting to combine security management on cargo, vehicles and passengers.

Need for a culture shift on border activities to risk management practices. Border officials, inspectors and intelligence

officials need to spend less time looking for extra items of very low-risk nature and more time trying to identify people who

might be a genuine threat to the security of their countries.

Unarmed Border Officials to deal with smugglers should all under-go a mandatory security maintenance training courses.


Lack of a credible system. There is need by border agencies to establish a credible system for timely reporting and

cataloguing the security critical incidents faced by personnel on daily basis.

Culture of secrecy exhibited by agency officials: Who do you trust & suspect? Governments do not have to release the

kind of details that would help a criminal take advantage of a gap at these particular border crossings. But it is imperative for

the citizens to know generally what measures are being taken to protect them.

Backing up infrastructure at border crossings (ICT system & power failures to calamities). Governments should be

encouraged to consider setting up contingency measures such evacuation, construction of high-raised embankments, alternate

support equipment (power supply) and facilities (such as by-passes) for strategic reasons.

Reverse inspection. Reverse inspections, a process under which people and goods would be subject to examination prior to

departure from their country of origin, would lessen vulnerability to any acts of sabotage. For example, an explosion may

happen in the middle of the Nimule Bridge while traffic is queuing to clear.

Need for public awareness and sensitization. There is need to sensitise the public regularly of the benefits of the effective

border post management leading to wellness of their nationals and economic development.

Harmonization of security rules and procedures at the borders, particularly through:-

Joint patrols by security officials from border countries i

Improved record keeping and information sharing among border agency officials.

Joint training of law enforcement agencies of the adjoining borders on the scope and limits of the protocols and related

matters on security

Need to organize regular public forums involving border communities, civil society organizations, border agency

officials and law enforcement agencies to broaden knowledge about the Protocols and border projects

Eliminate bureaucratic bottlenecks in the issuance of travel documents and implement regulations necessary to improve

the free movement of persons and goods crossing the border posts.

Community policing of gathering intelligence and working closely with the local communities.

10.1.5 The potential for electronic security to be used to bring added value to operational requirements

The resources employed in planning, designing, constructing, operating and maintaining effective electronic border surveillance

and security system requires the following factors must be addressed:

Needs Ascertainment. The detailed assessment is required to identify and define the scope and nature of the e-security system

appropriate for the OSBP site;

Threat Assessment. Three potential threats to Uganda/S. Sudan border that warrant by re-enforcing with e-security are:

Unauthorized border crossing by refugees, undocumented aliens or smugglers,

Incursions by potential terrorists, sappers or enemy agents,

Penetration of the border by armed rebels, bandits, limited or full-scale military action.

Design Criteria. There is need for the development of a comprehensive e-technology-based security system design that takes into

account variances along the border in terrain, environment and population density.

Access Authorization and Detection Systems. The specification and selection of advanced E-Systems such as passport

authentication, facial recognition, license plate recognition (LPR), chemical, radiation and biological detection systems could be

considered at Nimule/Elegu border entry point.


Overt Surveillance Systems. This is a process of deploying overt video surveillance and proximity sensors along physical

barriers (fences, wall, gates, etc.) where the potential for unauthorized incursion may exist, but the threat of tampering with or

destroying equipment is low.

Covert Surveillance Systems. This is deploying covert video surveillance and proximity sensors in locations where physical

barriers may be limited or non-existent, and the threat of tampering with or destroying equipment is high.

Communications Network Traditionally, one of the weakest links in supporting a comprehensive electronic security program is

the communications network necessary to accumulate and transport data and video information from remote sensors back to a

central monitoring facility or tactical control center (TOC).

Electronic Border Solutions to enhance security. There are number of recommended security e-Border Solutions that offers the

highest level of security.

The e-Border Gate & booth controls

Stringent biometric identification installed for travelling passengers at exit gates

National visit/entry-exit screening using national system network connecting all entry and exit borders. Uganda immigration

has, South Sudan is yet to introduce it.

Visa Policy, Visa Waiver and Pre-screening system

Biometrics and Documentary Requirements

Introduction of IT Database Integration across the border

A shared service facility and its approach must have a common vision and orientation towards delivery and service levels.

There must be strong performance metrics and a culture of continuous improvement.

Such an approach would require some consensus on what is an efficient and effective operating facility to the common core

processes to be managed under shared service agreements.

A shared services strategy and approach would allow participating agencies to rapidly reach the capability level of the most

efficient agency and reduce their operating costs.

10.1.6. The joint facilities can be shared by all border agencies using three options:-

Physical Facility Layout Option:-

Integrated joint Facility for re-constructed OSBP designed structure,

Interfaced Joint Facilities for introducing OSBP in the improved existing structures,

Examination Shed/Areas for shared activities Option for joint handling of all outdoor verification with OGA’s on baggage, bulk

& containerized cargo, vehicles and people.

Equipment, Tools & Utilities Option for shared usage and functionalities including cargo loading & stacking, electronic gates &

number plate readers, weighing scales, surveillance, scanners and weigh-bridges, electricity, water, communications.

Optimization of sharing options

Trusted collaboration of supply and transport chain partners and agencies

Customer treatment based on differentiation and service culture

Introduction of incentives schemes for compliance Taxpayers/ border clients

Focus on virtual border controls and clearances to reduce location of agencies to borders.

Promotion of constructive partnership with trade logistics and supply chain agents

Agencies require extensive collaboration and information/data sharing


10.2 Conclusion

The establishment and development of the OSBP juxtaposed procedure based model at Nimule/Elegu border post is highly

recommended, given the rapidly growing cross-border flows of people, goods and conveyances that give rise to formidable challenges

to the border –control authorities charged with maintaining states territorial sovereignty. The optimal form of cross-border cooperation

is the Joint One Stop Border Post (OSBP), operated by two or more neighboring countries. The joint operation of border posts requires

close cooperation in the daily management of the border posts, the harmonization of requested documentation, procedures, joint

maintenance of the infrastructure, joint or mutually recognized controls, and the exchange of data. The success measure will not be on

implementing the OSBP as a whole concept but rather in a progressive mode till the facilities are in place. Such a process allows

learning to take place and, at the same time, the ability by the participating officials to change their mind-set and attitudes, to embrace

the OSBP initiative.

11. SUMMARY

Disclaimer. The process-flow and mapping proposed below have been based on the Ugandan modernization systems model and re-

engineered processes.The assumption is that South Sudan is likely to adopt ASYCUDA system application and take advantage of

the designed systems such as MOVIS and TEVIES.

Declaration process

Figure 18: Import/Export clearance at the 2 borders

When the goods arrive at the border, the agent obtains a letter of authorization; along with all the required documents from the

importer/exporter’s agent scrutinize the documents and proceed to prepare the SAD (C17).

The authorized agent captures declaration details in the customs system; assesses the declaration and prints an assessment

notice for paying declarations.

For paying declarations, the agent proceeds to an authorized bank to make the necessary payments and there after lodge the

declaration with customs.

For non-dutiable declarations, the agent proceeds to Customs for processing.

For guaranteed declarations, the agent proceeds to lodge at the Customs for processing.

At Customs Business Centre, the Officer receives the declaration and the associated documents from the authorized agent in

order to vet the declaration for completeness.

If the declaration is not complete, the officer rejects and returns the declaration to the agent. (1)

If the declaration is complete, the officer retrieves the declaration from the ASYCUDA++ system. The officer generates the

T1 in case of bonded exports or transit declarations; and triggers selectivity by prompting release for home bound

declarations. A home bound declaration may be selected red, yellow, blue or green.

If selected Blue or green, the officer shall print a release order, and generates an exit note from the system. Both documents

are attached to the declaration where necessary for dispatch delivery of goods.

If selected Yellow the officer performs thorough document examination. The officer verifies them, raises queries, offences,

amends where necessary, releases and exits the declarations.

If selected red the officer shall dispatch the declarations for Physical examination.

Arrival of goods

Declarant self assessment by

Agent

Manual lodgment

Printed entry with

attached

documents

CBC declaration clearance (release/

verification/amendment/exit (managed

by customs)

Does it

conform

Offence

management

Border

management

(EXIT of

goods)

Import/Export Clearance at the 3 borders

NO

YES

Payment

process

managed by

banks

paying

END

NIL


The verification officer obtains allocated red lane declarations. The officer examines the goods, writes an examination report,

raises offences where necessary, releases and exist the declarations where no discrepancies have been observed.

Where a query has been raised to the Declarants and resolved by a satisfactory answer or payment of additional taxes

identified, the officer re-routes the declaration to the green lane prints a release order and exits.

Where the declaration conforms to the examination results, the officer either generate a TI for bonded exports and transits or

release the transaction. Where the declaration does not conform, the officer shall either query the Declarants or raise an

offence report.

Declarations processed and released under the green and blue lane in the home use regime may further be examined, findings

reconciled and documented in the Inspection Act by the Post Release Transaction Checking Officers. Where the findings do

not tally, either a query or an offence is raised.

Entry Barrier Processes Of Cargo

Figure 19: Outward transit/temporary imports clearance at the 2 borders

Arrival of goods at

the Barrier

CBC declaration clearance (T1

validation/C32 Certificate (managed

by customs)

Does it

conform

Offence

management

Border management

(EXIT of goods/flag off

of passengers )

Outward transit/temporary imports

Clearance at the 3 borders

NO

YES

END

Barrier officer receives

relevant documents from

driver of means of

transport

Checks for conformity with the

physical (Vehicle registration/

seals/log book/passport)


Management of cargo

The process starts when cargo arrives.

The customs officer at barrier on goods arrival receives documents from the driver/captain.

The officer checks the cargo details against documents presented if any (i.e. Transit through)

Where there is declaration required, the officer directs the goods to the Customs controlled area and advise the client to

obtain a clearing agent for the preparation of documents for clearance in the Customs business center.

The officer shall on detection of an offence seize the goods, prepare an offence report and forward case for offence

management. The offences at the entry gate may include importation of prohibited, restricted goods, falsification of

documents, tampering with gear etc.

Exit barrier gate processes

Upon completion of the customs business center process the driver/agent presents the declaration with the goods to the

officer at the exit barrier.

The officer confirms that all clearance processes have been met by comparing the documents presented with what is in the

customs system.

The officer confirms that IM4s/EX1, EX2 and EX3 are assessed, paid where applicable, and released.

The officer confirms that transit entries (IM8) have been assessed, T1s have been generated and the bond in force is reflected

and sufficient, and shall also ensure that all the relevant T1s in regard to that transaction are with the driver/agent.

The officer ensures that trucks and interstate buses have valid transit goods licenses, have paid Road user charges and

temporary imported vehicles have valid temporary road license where applicable. The officer shall place seals on the cargo

compartments of the interstate buses.

The officer rummages the means of conveyance to check for concealments, prohibitions and restrictions. If there is any

discrepancy then the officer seizes the goods, raises an offence report and forwards the case for offence management.

If the officer is satisfied with the clearance he/she exits the entry in the customs clearance system and flags off the means of

conveyance.

The officer generates monthly and exceptional reports to the immediate supervisor

Exit of Outward or Through the Country

Exit of outward transit

The officer receives all cargo consigned to the exit station as per advance cargo report.

The officer refers cargo that is not destined to his/her exit station to the declared destination.

The officer inspects seals, marks and numbers against transit declaration

Where the seals, marks and numbers do not tally with the transit declaration, the officer raises a query to the Agent, directs

the master to the holding area and raise a report to the in charge of the station.

Where the seals, marks and numbers are tampered with the officer seizes the goods, raises an offence report and forwards the

case for offence management

Where there are no discrepancies, the officer validates the transit document (T1) and exits the Export declaration to; confirms

arrival at destination and retires the transit guarantee where applicable. The officer shall allow physical exit of cargo.

For empty trucks the officer receives a filled prescribed form, sights the truck, endorse the form and allow exit of truck.

The officer raises exceptional reports for cargo that has not arrive

Temporary importation of Motor vehicles

Clearance of licensed passenger vehicles

When the motor vehicle arrives at the border a customs officer receives the driver’s particulars and documents pertaining to

the vehicle. The officer examines vehicle details against given documents.

Where discrepancies of a criminal nature are discovered, the Officer refers the vehicle to Law Enforcement

Where no discrepancies are identified, the officer captures the motor vehicle and owners particulars in the system and

ascertains if payment of Temporary road license fees is required.

Where payment of temporary road license fees is not required, the officer generates, issues a temporary import certificate that

is endorsed by the officer and the owner/ agent. The Officer then allows entry of the motor vehicle into the country.


Where temporary Road license fees are payable the officer generates and issues a payment notice for the owner to pay at an

authorized bank where applicable.

Upon payment of the prescribed temporary road license fees, the Officer confirms payment in the system generates, issues a

temporary import certificate that is endorsed by the officer and the owner/ agent. The Officer then allows entry of the motor

vehicle into the country.

Where the period of stay initially allowed has expired the driver could decide to conclude the visit, extend the stay or clear

the vehicle for permanent use in the country.

Where the owner/agent decides to conclude the visit, the officer receives the Vehicle and importation certificate from the

driver. The officer retrieves the declaration from the system , checks vehicle details against the certificate and confirms the

validity of the import certificate.

Where the authorized period of stay has been exceeded, the officer shall raise an offence

Where the period of stay is valid, the officer retires the import certificate and allows the motor vehicle to exit.

Where the owner/agent decides to extend the period of stay, the officer receives the request for extension, vehicle and

importation certificate from the driver. The officer examines the vehicle details against the import certificate issued at entry.

The officer confirms that the driver has not stayed beyond the initial authorized period of stay.

Where extension is granted, the officer issues the owner a payment notice.

The owner proceeds to pay at an authorized bank or to the station cashier where applicable.

On confirmation of payment in the system, the officer then extends the period of stay.

Where the extension of the period of stay is not allowed, the officer advises the owner to exit and the certificate is retired on

confirmation of exit or open an offense case against the driver/agent for any flouting of procedure.

Where the owner decides to clear the vehicle for permanent use in Uganda, the officer receives a request to register the

vehicle and examines the request against relevant provisions of the Law.

Where permission to permanently import has been granted, the officer advises the owner to prepare a declaration through a

licensed clearing agent and lodge the declaration at a Customs Business Centre. Where permission to permanently import has

not been granted, the owner shall be advised to exit and the certificate retired on confirmation of exit.

Temporary export of registered vehicles

Export of registered vehicles

The process starts when the motor vehicle arrives at the border and the driver presents the motor vehicle and documents of ownership

of the vehicle to the barrier officer. The officer examines vehicle particulars against given documents and against MOVIS.

Where the vehicle particulars do not tally with the documents of ownership and no authorization is given by the vehicle

owner the Officer refers the vehicle to Law Enforcement.

Where the provisions of the EACCMA and the Regulations are breached, the officer refers the motor vehicle for offence

management.

Where there is conformity, the officer captures the vehicle and drivers particulars in the customs system (TEVIES) and

generates, prints and endorses (sign, stamp, date and names) the export certificate to indicate clearance on the Ugandan side.

The export certificate is also signed by the owner/agent of the vehicle. The officer l allows the driver to exit into the

neighboring country.

Upon return, the driver presents the export certificate and documents of vehicle ownership to the Officer at the barrier. The

officer examines vehicle details against given documents including the Export Certificate that was issued at exit and confirm

vehicle particulars in the MOVIS system.

Where alterations of a taxable nature are found in the vehicle particulars, the Officer refers the vehicle to CBC for the

collection of relevant duties and fees.

Where the Officer discovers undeclared alterations he/she refers the case to offence management


Where all conditions for re-entry are fulfilled, the Officer closes the account in the system, endorse the certificate and allow

re-entry of the vehicle into the country.

Passenger clearance

Figure 20: Passenger clearance at the 2 borders

Arrival of means of

conveyance

Does it

conform

Offence

management

Border

management

(EXIT of

goods)

Passenger Clearance at the 3 borders

NO

Payment

process

managed by

banks

END

Disembarking of

passenger/

rummaging of

means of transport

CBC process for Taxable items

(Verification/assessment/

release exit)

The process starts with the verification of the passenger manifests which are received prior to arrival of the means of conveyance that

provides information used to profile and target high risk passenger’s baggage. The officer observes the passengers as they disembark

and the unloading of baggage to ensure that no articles are delivered to ground crew. The officer rummages the means of conveyance

when the last passenger has disembarked. All passengers report to customs after clearance by Immigration.

Passengers with non-dutiable baggage or baggage within the prescribed dutiable allowances proceed to the green channel

(subject to random checks).

However, should random check confirm that the passenger had dutiable goods; an offence is raised.

Passengers with dutiable or restricted goods and the crew members go through the Red channel.

The officer receives a declaration on the prescribed form from the passenger. The officer examines the passengers’ baggage

and deposit the baggage.


Passenger baggage that exceeds the administrative limit for a simplified document shall be processed through the CBC

process.

Passenger baggage that exceeds the administrative allowed limit is processed by the officer on a simplified declaration. The

declaration is assessed and a payment notice issued to the passenger.

The passenger prepares and processes the payment at the bank or station cashier where applicable, to pay.

The officer confirms payment, releases, and exits the declaration in the system. The officer then prints and certifies the exit

note. Upon exit from the system, the officer releases the baggage to the passenger.

Offence management

The process starts at detection of an offence, when it is confirmed that an offence has been committed.

The case officer issues a notice of seizure,

Takes a statement from the offender,

Completes the case file,

Secures the goods,

Allocates the case file a number

Registers the offence details in a register.

Where the offender does not wish to settle the offence case out of court, then the case is handled under the Litigation process

and any seized goods are deposited in the Customs Warehouse

Where the offender wishes to settle the case out of court, the compounding officer receives a filled an offence form (C40 for

Uganda) requesting settlement of the case. The compounding officer studies the case file, makes an order for the settlement

of the case by completing another offence form (F68 for Uganda). The taxes and penalties are computed. The offender is

issued with a payment notice.

Where the offender is willing to pay the assessed taxes and penalties, payment is effected through the payment process.

Where the offender is not willing to pay the assessed taxes and penalties, he/she appeal through the Appeals process (16).

On confirmation of payment from the customs system, the officer releases the goods and reconciles the offence register.

The officer shall share the findings of the case with the relevant work units (Raising risk alerts).

The officer shall close the case file

OSBP process flow

OSBP PROCESS: OGAs (Standards, Phytosanitary, Veterinary, Immigration, Police, Port Health, border management)

The process starts when pre-arrival information is received by the clearing Agent

The agent makes a Pre-entry using the pre-arrival information

The agent assesses and uploads the declaration with the relevant documents

Customs will conduct a face vet on the lodged declaration

If the documents do not conform then they will be queried and forwarded to the agent for correction

If the document conforms then selectivity will be triggered in (ASYCUDA)

After selectivity is triggered then there will be concurrent clearance by customs and OGAs for yellow lane entries

Issuance of certificates by other Government agencies

The declaration will then be Passed/Released

Goods arrival at the border

Green lane entry goods will be exited immediately they arrive at the border

Red lane entries goods will undergo a joint verification

If the goods do not conform then the offence process will be triggered

If the goods conform then they will be released.

The goods will then be exited in the system

Final exit from the border


Figure 21: OSBP Management process flowchart

Pre arrival information

Document acceptance by customs

Cargo sent to Joint

physical examination

bay or scanner yard

Red

9

Cargo exits

Does cargo

conform?

5

Offence

Management

No

OSBP MANAGEMENT PROCESS FLOWCHART

Do documents

conform?

Upload of

declarations

on the single

window .

Agent

preparation of

declarationin

ASYCUDA

No

Online query

Selectivity is triggered

in the customs system

Release of green

entries

Concurrent processing

YES

Cargo arrival

Immediate release for Green

Goods Release

and Exit

YES

Certification and

clearance by Other

Government

Agencies


12. GLOSSARY

Definition of Terms

Bill of Lading

This is a document which serves as evidence of a contract of carriage between the carrier (the ship) and the shipper. It includes the

name of the shipper, the ship’s name, a full description of the cargo, the ports of embarkation and of destination.

Bonded Warehouse

Any warehouse or other place licensed by the Commissioner of Customs for the deposit of dutiable goods on which import duty has

not been paid and which have been entered to be warehoused.

Certificate of Origin

This is a document indicating the country of origin of goods being imported. It is usually issued by exporting countries, official

authorities or by other agencies designated by the governments where the goods originate from. It is used to ensure that goods

originating in certain countries get the preferential treatment that they are entitled to.

Commissioner & Director General

This is the head of Customs administration appointed by the Revenue Authority Board or Director General of Customs as otherwise

provided for example in South Sudan; and is responsible for the management and control of Customs, including the collection of and

accounting for customs revenue.

Common External Tariff (CET)

An identical rate of tariff imposed on goods imported from countries outside a regional trade agreement area e.g. EAC or COMESA.

Common market

Essentially, a common market is a customs union in which the member states in a regional trade agreement such as EAC also agree to

reduce restrictions on the movement of factors of production – such as capital, labour, goods and services – as well as reducing

barriers on the sale of goods.

Co-ordinated Border Management. This a border management tool that includes information sharing, co-located facilities, close interagency cooperation, delegation of

administrative authority, and cross designation of officials.

Cost, Insurance and Freight (CIF)

The seller pays the costs and freight necessary to bring the goods to the named port of destination as well as procures marine insurance

against the buyer’s risk of loss or damage to the goods during carriage. The seller contracts for insurance and pays the insurance

premium. The costs are then passed on to the buyer (see FOB).

Customs Bond

A customs bond is a guarantee that the importer will faithfully abide by all laws and regulations governing the importation of goods

into Uganda or South Sudan. The purpose of a bond is to guarantee that all customs duties, customs penalties, and other charges

assessed by Customs will be properly paid and that all trade procedures will be followed.

Customs Duties

These are taxes levied upon goods on their entry into the country (import duties) or on their exit from the country (export duties).

Customs Bill of Entry

This is the documentation required to be filed (by yourself or the clearing agent on your behalf) with the appropriate customs officer

to secure the release of imported goods from Customs’ custody.

Customs Value

This is the value of goods assigned for the purposes of levying ad valorem duties of customs.

Customs union

Countries that belong to customs unions agree to reduce or abolish trade barriers between themselves and agree to establish common

tariffs and quotas against outsiders.


Duty Drawback

This is a refund of all or part of any import duty paid in respect of goods exported or used in a manner or for a purpose prescribed as a

condition for granting the refund.

East African Customs Union Protocol

This is the protocol establishing the East African Community Customs Union within which non-tariff barriers are eliminated, a

common external tariff in respect of all goods imported into the Community is applied and customs duties are eliminated except for

some specified circumstances.

East African Customs Management Act

The Act applying to the East African Community partner states regarding the Customs Union.

East African Community (EAC)

The East African Community established by the EAC Treaty of 1999 that is currently made up of the Republic of Uganda, the

Republic of Kenya, the United Republic of Tanzania, the Republic of Rwanda and the Republic of Burundi.

Excise Duty

A non-discriminative duty imposed by the Uganda and South Sudan governments on locally produced or similar imported goods.

Goods subject to excise duty include wines and spirits, beer, bottled water, soft drinks and cigarettes.

Exemption from Duty

Duty is not charged on the goods specified when imported or purchased before clearance through customs.

Free On Board (FOB)

The seller fulfills his obligation to deliver when the goods have passed over the ship’s rail at the named port of shipment. The buyer

therefore has to bear all cost and risks of loss or damage to the goods from that point.

Free trade area

Members agree to reduce or abolish trade barriers such as tariffs and quotas between themselves but retain their own individual tariffs

and quotas against non-members.

Identical Goods

These are goods which are the same in all respects, including physical characteristics, quality and reputation.

Informal Cross-Border Trade refers to “trading in legitimately produced goods and services, which escape the regulatory

framework, set by the government, as such avoiding certain tax and regulatory burdens”.

Manifest

This is a detailed list of cargo being carried on board by a carrier such as aircraft or ship; it includes quantity, identifying marks,

consignor and consignee of each item.

One Stop Border Post. This is a facility that allows parties involved in trade and transportation to process all necessary official procedures concurrently at the

same place (one roof) for travellers, their cargoes and means of transport to pass through the designated land border.

Packing List

This is a statement listing in detail, the contents of a particular package. It should show marks and number of packages, gross and net

weights, measurements, and description of contents of each package.

Partner States

The Republic of Uganda, the Republic of Kenya, the United Republic of Tanzania, the Republic of Rwanda and the Republic of

Burundi; and any other country granted membership to the East African Community. South Sudan has an observer status since 2007.

Phytosanitary Inspection

This is an inspection by Ministries of Agriculture, Animal and Fisheries to certify that the agricultural produce/crops shipment is free

from harmful pests and plant diseases.


Proper Officer

Any customs officer whose right or duty it is to require the performance of, or to perform, the Customs Management Act referred

thereto.

Restricted Goods

Goods whose importation, exportation or carriage coastwise are prohibited, save in accordance with conditions regulating it, or goods

whose importation, exportation or carriage coastwise is in any way regulated by or under the Restricted Goods Act or any other

written law.

Rules of Origin

These are rules which set the criteria for determining the origin of a product. They are used to differentiate products for preferential or

normal treatment. For example, a product which is deemed to originate from a certain country may be eligible for preferential

treatment while the same product from a different country is not granted the same treatment.

Similar Goods

These are goods which are not alike in all respects but have characteristics and like component materials which enable them to

perform the same functions and to be commercially interchangeable.

Single Window

This is a facility that allows parties involved in trade and transport to lodge standardized information and documents with a single

entry point to fulfil all import, export, and transit related and regulatory requirements.

Standard

A Standard Agency is a precise and authoritative statement of the criteria necessary to ensure that a material, product or procedure is

fit for the purpose for which it is intended. Standards fall into six categories, namely, glossaries or definitions of terminology,

dimensional standards, performance standards, standard methods of test, and codes of practice and measurement standards.

Transit Shed

This is any building, appointed by the Commissioner in writing, for the deposit of goods subject to Customs control.

Transaction Value

This is a price actually paid or payable for the goods when sold for export to the country of importation. This is adjusted by valuation

factors, which are the various elements that must be taken into account in determining the customs value.

Value Added Tax (VAT)

This is an indirect tax on consumption that is assessed on the increased value of goods at each discrete point in the chain of production

and distribution, from the raw material stage to final consumption. The tax on processors or merchants is levied on the amount by

which they increase the value of items they purchase and resell.

Zero Rates

Tariff rate at zero percent such as zero percent customs duty charged on the value of an imported product, this means no customs duty

is charged.


13. REFERENCES

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CPCS Transcom Limited 2010, Analytical Comparative Transport Cost Study Along the Northern Corridor Region Northern Corridor

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Crown Agents 2010, One Stop Border Posts: Turning Theory into Practice; www.crownagents.com

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http://www.crownagents.com/

http://www.eac.org/

http://www.comm.ecowas.int/

http://www.worldbank.org/trade

https://www.customs.go.jp/english/quest/index.htm


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Ranga .M 2008, Customs Procedures, Processes and Staffing Requirements for a One-Stop Juxtaposed Border Post; Submitted by:

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The East African Community One Stop Border Posts Act, 2010, section 12 & 13, pp 11.

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http://www.mckinseyquarterly.com/links/44546


Appendix 1: Baseline Analyzed Facts and Figures Affecting OSBP Procedures & Design at Nimule & Elegu Border posts

Average Daily Clearance Transactions and Processing Times & Facilities

Customs

Best Average clearance & times for OSBP

NIMULE BIBIA/ELEGU

Import Assessments

15 Minutes 3-5 days 30min-1hr

>100 minimal 170 25

Exports

5 Minutes 1 day 15-30min

>100 minimal 25 60

Transit Management both sides 5 min 1 day 10-15 min

>200 80 (empty) 110

Temporary Importations

15 min 1 day 15-20 min

>50 20 20

Total transit consignments 300 215

Immigration

Official/Transit travellers

5-10 min

10-15 min

2-5 min

>100 150-200 150-200

Informal travellers 2-5 min 5-10 min 1-2 min

>200 300 300

Other Agencies

National Bureau of Standards

Drugs Authorities

1hr

N/A

6 hrs.

N/A

Appendix 2: OSBP Necessary Equipment Assessed

Items/Systems NIMULE BIBIA/ELEGU

Non-intrusive Inspection Equipment

1 Unit

1 Unit 2 Units

2 Units

N/A

1 Unit 1 Unit

2 Units

Large Scanner (Trucks & Container)

Medium Scanner(Cargo: Carton box, Crate, Bundle) Small Scanner (Passengers’ belongings)

Smart Body Scanners

ICT Models & Systems Needed

Needed

1Unit 3Unit

1Unit

N/A

Needed

Exist

1Unit 4Unit

1Unit

N/A

Real Time Monitoring System & Cargo Control System

Internet Connection

Laptops/personal computers Desk Computers

Landline phones and intercoms linking all agencies

Cell phone connection

Efficient Physical Examination 1 unit

Needed

2 Sheds 1 Shed

1 unit

Needed

N/A 1 Shed

Forklift & Pallets for Cargo

Level Adjuster & Platform for verification on different vehicles

Verification Sheds for Cargo & Scanners (where applicable) Passenger Sheds for 50-100 people

Border Surveillance

1 Unit 1 Unit

1 Unit 1 Unit

Patrol Cars (4WD)/Vehicles Radio Communication system

Cargo Security

Needed Needed

Needed Needed

Lighting System

CCTV (Surveillance camera)

Private Sector Stakeholders

Banks

Insurance

Customs Agents

>1 >1

>1 >1

>4 c/agent firms >4 c/agent firms

Parking System, Security & Safety Requirements

Other Benchmarks System needed Need Parking Areas & system

(i) Parking and holding Zones

Intelligent Parking can use multiple methods to detect and direct vehicles.

The following technologies are used:

Ultrasonic Parking Sensors

Wireless Outdoor Parking System

Alarm system and bells

Parking Data Concentrators

Needed in units/systems

according to vendors

specifications

Needed in units/systems according to the vendors specifications

(ii) Mobile Applications Intelligent Devices

These can provide open standard, end-to-end solutions to manage and monitor the unique, complex challenges of traffic signalization and signage

systems.

Fire system needed All border officials

require uniforms &

other gear

Fire system needed All border officials require uniforms &

other gear

(iii) Safety Precaution and Identification

Hydrants for fire extinguishing system

Safety gear for staff handling corrosive and inflammable

products. E.g. Chemical, fuel, acids

Uniforms for easy of identification

Tags, badges, Ids, passes,

2 Units

Integrated

1 Unit

As per staff numbers

(3 prs each)

2 Units

Integrated

1 Unit

As per staff numbers (3prs each)

(iv). Security Equipment & Facilities

Body screeners for people accessing the CCZ

cargo tracking systems

Holding cells for offenders under police

4

1

1

4

1

1


Appendix 3: OSBP Space and Personnel Minimum Requirements

NIMULE ELEGU

Customs –Office Sections/Space Estimated Personnel Required Under OSBP

AS IS Reviewed

Receiving, Face Vetting & Manifest 2 N/A N/A

Receiving, Face Vetting & Releasing (AEO + Blue) N/A 3 2

Tariff (Verification & Estimation) 8 N/A N/A

Accounts & Cash Office 3 2 N/A

Documentary Check 6 2

Examination/Verification 10 N/A

Compliance Desk/Offence Management 2 2 N/A

Export & Transit Desk 6 2 2

Bond Securities and warehouse 5 4 N/A

Information Technology- Systems Administrators 1 1 1

Separation Desk 2 2 N/A

Station Manager (General Administration Office) 1 1 1

Support Staff Office Administrators 2 2 N/A

Archives- stores 2 2 N/A

Estates Staff- Technicians 2 2 N/A

Office Attendants- Messengering and cleanliness 4 2 1

Casual Staff 5 5 1

Other N/A N/A N/A

Total 45 46* 11

Immigration

Station Head (SH) 1

1

1

Deputy SH 1

1

1

Officers 6

6

6

Support Staff 2 2 2

Total 10 10 10

Police/Security Office –In –Charge Police 1 1 1

Chief Military Intelligence 1 1 1

Border Intelligence Security Off 1 2 2

Assistant OIC of Police 1 1 1

CID –OC of Police 1 1 N/A

Head of Traffic Police 1 1 1

Police/Security Officers 10 10 6

Total 16 16 11

Other

Government

Agencies

Taxation 2 2 N/A

Central Equatorial State RA 8 2 N/A

Eastern Equatorial State RA N/A N/A N/A

Commerce/trade Statistics 5 2 N/A

Agriculture 4 2 2

Standards 4 2 2

Forestry 2 2 2

Veterinary 2 2 2

Total 25 14 8

Grand Total 96 86 40

Notes referred to Appendices 1, 2 & 3:

Staff will multiply by three shifts if 24/7 operations are introduced under the OSBP concept.

*Staff numbers appear to have increased due to the projected 24/7 operational activities.

Elegu officers are less due to low clearance activities. Their main business is exiting and export clearances and processes.

During implementation of OSBP, it is inevitable that process and procedures will be reviewed and re-engineered hence indicated ‘AS IS’ or ‘reviewed’. The review exercise will reduce the personnel numbers but introduce new customs nomenclature/procedures. N/A (Not Applicable) means that such sections

don’t exist and require staff at the moment. In instances of the personnel from both Elegu, such services are delivered centrally from URA head offices.

When other border management tools such as the Single Window, sharing of facilities and legal framework are put in place, numerous agencies may find it

cost effective to delegate authority than congest themselves at the borders.

The other private sector agencies such as trade hubs, etc. should be located outside the Common Control Zone but get interconnected to the operating systems if they need data or information.


Appendix 4: Roles of Border Agencies

AGENCIES LEGAL BASIS/MANDATE ROLE IN THE CLEARANCE PROCESS

Customs EAC-Customs Management Act- 2004, EAC-

Regulation - 2005 & National Laws on Income

Tax, Value Added Tax for Uganda. S. Sudan

apply Tax National Laws & Regulations

The role of customs is to ensure that goods and passengers

entering the country are accounted for and that they meet

national requirements. Others:- Pursues revenue collection,

trade facilitation, social and environmental protection

Immigration Citizenship and Immigration Control Acts),

Aliens (Registration and Control) Acts,

National Constitutions

Control of Alien Refugees Acts, Criminal

Procedure Code Acts, Immigration Acts,

Passports Acts, Penal Code Acts.

Regulates entry and exit of persons, issuance of visas, permits

and border passes issuing temporary permits and chits against

national identity cards for local communities, maintenance of

border security and coordinator of the border.

Police/Security Police Acts & Statutes for Uganda and S.

Sudan.

The Eastern Africa Police Chiefs Cooperation

Organization (EAPCCO) was created in 1998,

in Kampala, Uganda, as a regional practical

response to the need to join police effort against

transnational and organized crime

The role of police is to keep law and order. The police roles

will include Interpol, drug squads and prevention of crime.

There is an emergency of border security regarding counter-

terrorism and insurgency and rebel activities which are being

handled by the internal security and the army.

Interpol As Above International Police organization with 186 members worldwide.

Its purpose is to support law enforcement agencies police to

fight crime globally but specifically at these border posts.

Pursues intelligence gathering (mainly Human trafficking ,

Drugs and organized crimes, Financial and high-tech crimes,

Motor vehicle theft crimes, Public safety and terrorism,

Environmental crime)

Bureau of

Standards

Acts of Parliament, Bur eau of Standards Acts,

Weights and Measures Acts, Anti-

Counterfeiting Goods Bill,EAC

Standardization, Quality Assurance, Metrology

and Testing (SQMT) Act-2007, World Trade

Organization (WTO) legal framework are

provisions relating to the use of international

standards and contained in the General

Agreement on Tariffs and Trade (GATT),

Agreement on Technical Barriers to Trade

(TBT), Agreement on Sanitary and

Phytosanitary Measures (SPS), the Agreement

on Pre-Shipment Inspection, and the General

Agreement on Trade in Services (GATS).

Formulates and enforces national standards, implements quality

standards through product certification and import and export

inspections.

Drug

Enforcement

Commission

Drugs Acts Controls the importation, exportation, production, possession,

sale, distribution, and use of narcotic drugs and psychotropic

substances.

Ministry of

Agriculture

Seed and Plant Acts, Agriculture Chemicals

Act

Regulates the importation and exportation of agricultural

products

Forestry

Department -

Sanitary and

Phytosanitary

Forestry Acts. Regulates the import and export of plant or timber of all

forestry produce

Health National Medicines Regulatory Authorities

(NMRAs)

Enforces international health standards, prevention and

suppression of diseases and protecting the public against health

hazards and fraud in the sale and use of food, drugs, cosmetics,

and medical devices


Appendix 5: procedure illustrations of the existing conditions (Elegu & Nimule) and the proposed under osbp arrangement

(Nimule/Elegu)

Bibia/Elegu Border Post Procedures

Nimule Border Post Procedures

border post assessment for osbp establishment- a case of numule-s.sudan and elegu-uganda-2012

Documents

draft report

border procedures

final draft survey report

elegu border posts

base line survey

stop border posts osbp

use of information

stop border post concept