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目录


国际海关政策动态

· “黑海谷物倡议"续期

· WTO 呼吁 G20 慎用贸易限制措施
·  WTO  货物贸易晴雨表显示全球贸易需求正在降温
· WCO 数据与统计工作组举行第一次会议
· 美继续延长对华新冠医疗用品 301 关税例外豁免
· 美国与东盟启动全面战略伙伴关系
· 欧盟通过关于跨国企业可持续性报告义务指令
· 欧盟 理事会决定将违反限制措施行为纳入欧盟犯罪
· 新加坡与韩国签署数字经济协定

国际组织《贸易便利化协定》(TFA)动态

· TFA 签订最新进展

· ATA 单证册将向数字化过渡
· UNECE 制定新的货物追踪国际标准
· 全球快递行业为海关贸易便利化能力打分
· 泰国启动首个区块链国家数字贸易平台试点
· 印度经验表明国际贸易便利化测评指标与其实际表现不符

报告及评论摘要

· UNCTAD 强调 NTFC 可持续的重要性

·《 2021 年太平洋发展中岛国(PIDEs)的数字和可持续贸易便利化》

· AEO 计划的真正价值


他山之石

·欧盟海关风险管理



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  国际海关政策动态

“黑海谷物倡议"续期

11 月 17 日,联合国秘书长古特雷斯对原将于 11 月中旬到期的“黑海粮食倡议"的续期表示欢迎,并表示联合国将致力于排除“阻碍俄罗斯粮食和化肥畅通出口的一切障碍",包括将继续支持该倡议下负责监督进出乌克兰船只的联合协调中心的工作,“以便这条至关重要的补给线平稳运行,确保其对降低粮食和化肥价格,避免全球粮食危机发挥重要作用"。
作为涉及土耳其、乌克兰、俄罗斯和联合国诸方协议的一部分,“黑海粮食倡议"自 7 月 22 日签署以来,已运送了 1110 多万吨谷物。
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WTO 呼吁 G20 慎用贸易限制措施

11 月 14 日,WTO 发布第 28 期《 WTO 贸易监测报告》,显示在俄乌冲突、疫情持续影响以及许多国家经历了几十年来最高通胀等情况下,迄今全球供应链总体上仍然具有韧性,虽然局部行业和地区受到不同影响。WTO 数据显示,二十国集团(G20)经济体 2022 年 5 月中旬至 2022 年 10 月中旬期间出台的出口限制增多,特别是在食品和化肥方面。G20 经济体在此期间出台了 66 项新的贸易便利化措施(覆盖贸易额约 4518 亿美元)和 47 项货物贸易限制措施(覆盖贸易额约 1601 亿美元)。WTO 总干事伊韦阿拉呼吁 G20 及所有 WTO 成员在当前困难经济形势下慎用限制贸易措施,以免进一步恶化全球经济前景。
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WTO 货物贸易晴雨表显示全球贸易需求正在降温

WTO 于 11 月 28 日发布的最新货物贸易晴雨表显示,全球货物贸易需求正在降温,货物贸易增速可能在 2022 年底和 2023 年进一步放缓。新出炉的 WTO 货物贸易晴雨表指数为 96.2 ,不仅低于该指数的基线值 100 ,也已经低于商品贸易量指数(图中黑线)。WTO 表示,出现这一现象的原因是,疫情以来供应链中断导致了货物运输延迟。WTO 货物贸易晴雨表是全球贸易的一个综合先导指标,提供货物贸易的实际轨迹相对于近期趋势的实时信息;而商品贸易量指数体现的是实际贸易数据。
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WCO 数据与统计工作组举行第一次会议

11 月 9-11 日,世界海关组织(WCO)召开第一次数据与统计工作组会议。该工作组是根据今年 6 月 WCO 理事会决定新成立的工作机构。WCO 秘书长御厨邦雄在会上重申海关数字转型过程中数据共享和统计的重要性,提及近来数字技术的迅速发展对社会和经济的影响,强调海关采取数字战略观的必要性。
会议讨论了统计的定义和标准、在交易层面的数据分享、统计和数据方面的技术协助和能力建设、同业者交流社区的建立、利益攸关者的参与和工作组工作计划等事项。会议同意建立两个分工作组就统计的定义和标准以及制订在交易层面分享数据的框架和建议指引开展工作。
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美继续延长对华新冠医疗用品 301 关税例外豁免

美国贸易代表办公室(USTR)近日宣布,考虑到当前新冠肺炎抗疫的持续需要,决定继续延长对中国与新冠相关的 81 项医疗产品免征 301 关税的做法,实施期为三个月,截至 2023 年 2 月 28 日,并表示到期后可能继续考虑延长对这些产品的 301 关税例外豁免。
自 2021 年 11 月以来,USTR 已两次宣布对这些产品延长 301 关税例外豁免,最近的一次于今年 11 月 30 日到期。
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美国与东盟启动全面战略伙伴关系

11 月 12 日,美国总统拜登和东盟国家领导人在美国-东盟峰会上宣布将美国与东盟关系升级为全面战略伙伴关系。美方重申对东盟中心地位的支持,提出若干支持双方在海事合作、互联互通、联合国可持续发展目标以及经济合作等四大支柱领域的新倡议。
相关倡议包括:互联互通领域的美国-东盟电动汽车倡议—双方在东南亚共同建立综合电动汽车生态系统,保证该地区实现减排目标;建立美国-东盟基础设施与互联互通平台,以需求为驱动共同支持东盟改善基础设施计划,便利区域基础设施项目的高质量投资;在数字经济与数字贸易标准方面,双方拟共同开发数字信任和网络安全标准项目,加强东盟数字贸易生态系统和区域互联互通。
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欧盟通过关于跨国企业可持续性报告义务指令

11 月 28 日,欧盟理事会通过《公司可持续性报告指令》(CSRD)。作为欧洲绿色协议(Green Deal)的一个基石,该《指令》旨在提高大型跨国企业在环境、社会和治理(ESG)方面的透明度,杜绝“漂绿"(greenwashing)行为,为引领全球可持续报告标准奠定基础。《指令》要求所有大型跨国企业定期披露其活动对社会和环境的影响及其存在的可持续性方面的风险。被要求履行报告义务的公司总数将达 5 万家,包括从事实质性活动(在欧盟营业额超过 1.5 亿欧元)的非欧盟企业和列入清单的中小企业。关于报告的具体要求将由欧盟委员会在 2023 年 6 月前根据符合欧盟气候目标的统一标准制订。
《指令》提案由欧委会于 2021 年 4 月提交,欧盟议会于今年 11 月 10 日通过。《指令》将在公布后 20 天生效,有关规则将在 2024 至 2028 年之间开始对不同类别企业分步实施。
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欧盟理事会决定将违反限制措施行为纳入欧盟犯罪

11 月 28 日,欧盟理事会一致通过一项决定,将违反欧盟限制措施行为纳入《欧盟运作条约》中的“欧盟犯罪"清单。
针对俄乌战争,欧盟采取了一系列制裁限制措施,保证这些措施完全实施至关重要。目前欧盟成员国之间对构成违反限制措施行为的定义和处罚不一,可能导致制裁执行程度差异和对制裁的规避。将违反限制措施行为列为“欧盟犯罪"是保证欧盟范围内对制裁的执行相类似以及防范规避的第一步。下一步将由欧委会提交关于违反限制措施行为的定义和处罚最低规则的《指令》草案,供欧盟理事会和议会讨论通过。
根据《欧盟运作条约》第 83 条(1)款,欧盟理事会和议会可以就纳入“欧盟犯罪"清单的违法行为的定义和处罚制订最低规则,包括恐怖主义、非法毒品和武器贩运等特别严重跨境犯罪。
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新加坡与韩国签署数字经济协定

11 月 21 日,新加坡贸工部、通信和信息部以及资讯通信媒体发展局联合宣布,新加坡与韩国签订《数字伙伴关系协定》以促进双边数字贸易和产业合作。依据协定,双方将共同协调数字规则和标准,提高系统间的可互操作性,为两国企业和消费者提供顺畅的跨境数据流动和可信任及安全的数字环境,包括无纸贸易、电子支付、人工智能、个人信息和源代码保护等方面。
这是首份在两个亚洲国家之间达成的数字经济协定,是韩国签署的第一份数字经济协定,也是新加坡签署的第四份数字经济协定。新加坡 2021 年为韩国第七大贸易伙伴,货物贸易总额达 562 亿美元,比前一年增长 26% 。
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  国际组织 《贸易便利化协定》
(TFA)动态

TFA 签订最新进展

TFA 的核准成员数为 156 ,占比率为 95.1% 。全部 WTO 成员国执行 TFA 承诺比率为 74% 。(自 2022 年 10 月 1 日起无变化)。
2022 年 11 月 15 日,阿联酋向 WTO 通报其信息公布及可获得性、单一窗口、关于报关代理的措施以及海关信息交换联络点等情况。11 月 21 日,新西兰向 WTO 通报其修订版的信息公布及可获得性、单一窗口、关于报关代理的措施以及海关信息交换联络点等情况。
来自 Trade Facilitation Agreement Database

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ATA 单证册将向数字化过渡

11 月 14 日,WCO ATA 公约/伊斯坦布尔公约管理委员会召开联席会议,国际商会以及公约缔约国参加了会议。会议批准了 ATA 单证册纸质系统向数字化系统过渡的计划,讨论了过渡路线图以及过渡期间相关问题,目标是在 2024 年开始正式使用电子 ATA 单证册。会议还听取了国际汽车联合会开发的电子通行证(eCPD)应用情况和挪威关于电子 ATA 单证册应用的经验介绍。会议选举中国陈建平先生为联委会主席。
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UNECE 制定新的货物追踪国际标准

欧洲经委会(UNECE)近期开发了一套新的端对端供应链追踪国际标准—“多式联运业务综合跟踪与追溯规范"(BRS),并提交给 10 月召开的联合国贸易便利化和电子商务中心(UN/CEFACT)第 28 届全会。该标准的开发依照 UN/CEFACT 的公开开发程序且获得了该机构的批准。新标准为如何通过唯一的“标识符"(identifier)来追踪经过多重边境的国际贸易货物提供了一个框架。这一新标准是支持对可持续性全球供应链进行端到端监测的至关重要的一步。新标准及其实施有助于实现供应链信息交流数字化。
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全球快递行业为海关贸易便利化能力打分

全球快递协会(GEA)海关能力数据库加强版近日上线。该数据库根据 GEA 会员公司在全世界边境的日常通关经历,提供快递行业对各国贸易便利化水平的看法。数据库涵盖 104 个国家和地区(将逐步扩大到 150 个)的海关绩效关键指标信息。
GEA 是总部设在日内瓦的非盈利组织,代表国际快递行业的头部企业,协调世界各区域快递协会。目前会员为敦豪、联邦、联合包裹和天地四大快递公司。
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泰国启动首个区块链国家数字贸易平台试点

泰国商业、工业和银行业联合常委会(JSCCIB)上周宣布启动泰国首个以区块链为基础的国家数字贸易平台(NDTP)试点项目。NDTP 是由泰国政府支持及由泰国贸易协会参与的私企项目,旨在将贸易过程数字化,缩短单证处理时间,加快进出口速度和改善中小企业获得贸易金融。项目的第一阶段将按照联合国UN/CEFACT标准对各种贸易单证(订单、发票、装箱单、提单以及海运单等)实施数字化。NDTP 项目单证的真实性可以通过与平台互联的泰国贸易单证登记处得到验证。该平台与日本的贸易华尔兹区块链平台和新加坡单一窗口互联贸易平台(NTP)互联。目前在泰国和新加坡之间已进行两笔试点交易,和日本之间已进行四笔交易的概念验证测试。

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印度经验表明国际贸易便利化测评指标与其实际表现不符

2022 年 10 月,印度代表向 WTO 贸易便利化委员会提交了题为《贸易便利化测评:印度的经验》的报告,作为印度的经验分享。
报告总结了六种国际贸易组织便利化测评指标中印度的表现,即:

(1)经济合作与发展组织(OECD)的贸易便利化指标(TFIs);(2)世界银行营商环境指数(EODB);(3)世界银行的物流绩效指数(LPI);(4)世界经济论坛的全球竞争力指数(GCI);(5)世界银行的世界治理指标(WGI);(6)联合国的全球贸易便利化和无纸化贸易实施调查(GSTF-PTI)。

报告通过分析这些指标和趋势,发现关于印度的贸易便利化表现与这些指标的结果并不一致,而且其中一些趋势显然违反常理,一些指标之间的比较甚至呈现截然相反的结果。
印度进口货物放行时间研究基于最大集装箱港口的样本分析,通过调取海关自动化数据以及使用射频识别(RFID)的跟踪系统进行。该研究显示自 2017 年以来,印度的进口货物放行时间持续缩短,呈改善趋势。报告最后强调,基于数据及技术,将 WCO 放行时间研究作为测评边境管理机构或贸易便利化表现的指标是更有意义的做法。

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  报告及评论摘要

UNCTAD 强调 NTFC 可持续的重要性

联合国贸发会议(UNCTAD)发布的一份关于国家贸易便利化委员会(NTFC)的报告显示,《贸易便利化协定》要求加入协定的 WTO 成员建立并/或设立国家贸易便利化委员会(NTFC),或指定一现有机构以促进国内协调和达成《协定》条款的实施。但是许多国家中类似的机构仍然缺乏保证其日常运作的基本条件和长期可持续性。报告根据今年来 UNCTAD 有关 NTFC 的研究,对 134 个国家的相关数据和情况进行了分析。报告还介绍了 UNCTAD 有关 NTFC 可持续性评分。评分标准涵盖了确保 NTFC 日常运作的各要素,如政治承诺、财政援助、各机构的参与等,并根据其相关性确定权重。报告指出 NTFC 最大的困难是财政和资源困难。报告呼吁提高对 NTFC 的认识并对不发达国家和发展中国家提供有关 NTFC 的技术援助。

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《 2021 年太平洋发展中岛国(PIDEs)的数字和可持续贸易便利化》

近期,亚太经社会(ESCAP)、联合国贸发会议(UNCTAD)、太平洋岛国论坛秘书处(PIFS)以及世界银行(WB)联合推出上述报告。这份报告介绍了 2021 年联合国 11 个太平洋发展中岛国(PIDEs)数字和可持续贸易便利化全球调查的结果,回顾了该区域贸易便利化改革的进展,并根据 58 项贸易便利化措施进行了详细分析。这些贸便措施涵盖了具有和不具有约束力的 TFA 措施,以及 TFA 范围之外的措施。报告中的分析证实,数字贸易便利化措施可以为次区域国家带来重大利益。全面实施具有约束力和不具约束力的 TFA 措施可将贸易成本降低约 14.8% 。数字贸易便利化措施使跨境贸易数据和文件无缝电子交换,将有助于将 PIDE 的贸易成本显著降低近 26% 。报告指出,《亚洲及太平洋跨境无纸贸易便利化框架协定》(CPTA)可以通过搭建一个专门、包容和注重能力建设的政府间平台,支持区域各国由“少纸化"逐步转向“无纸化"。

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AEO 计划的真正价值

日前,全球贸易便利化联盟项目负责人 Aurelio García-Navarrete 发表博客文章,提出人们对 AEO 在降低时间和经济成本方面进行了广泛分析,却很少关注 AEO 对海关转型的价值。作者认为,AEO 是一种基于监管和监测的准入方法,而非放松监管,有助于合规货物的流动,这一方式的出现改变了海关当局的思维方式。另一重大影响是改变了边境机构对私营部门的看法,双方不再是对立关系。监管部门寻求一种便利与管控之间的平衡,更专注于数据,更多采用后续稽查以及激励合规性。最后,作者认为海关 AEO 方案的成功鼓励了其他边境机构采用类似方法,例如巴西、哥伦比亚等国家的农业和卫生局也加入了当地海关制定的 AEO 方案。作者认为涵盖所有边境机构的“国家 AEO 计划"将有很大潜力。

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  他山之石

欧盟海关风险管理

欧盟海关认为风险管理可以保护欧盟及其公民的安全,保护和促进合法贸易,保护欧盟的经济利益。欧盟海关在风险管理方面的优先事项和战略包括:
1. 数据质量和“数据归档"安排:欧盟海关法授权欧盟海关对安全风险数据进行“多次归档",并要求提高数据质量,整合预先信息和安全风险分析,实施入境摘要申报 ENS 系统。
2. 信息共享:欧盟海关致力于确保获取供应链数据并共享监管信息和结果—欧盟海关开发了新的进口监管系统( ICS2 货物预报信息系统)、单一窗口系统、监视 3 期(SURV3)收集申报信息,欧洲海事安全局开发了共同信息共享系统(CISE),欧盟理事会创立了数字运输和物流论坛(DTLF)以及贸易监管和专家系统(TRACES)。
3. 监管和化解风险:该领域的核心理念是“提前评估,必要时监管"。确定重点监管领域,明确金融风险标准,允许成员国识别潜在金融风险。在产品安全和合规方面,欧洲议会和理事会关于市场监督和非食品产品是否符合欧盟立法的条例促进了海关与市场监管当局的合作。欧盟海关还在综合关税系统内引入信用审查以评估申报的有效性。
4. 能力建设:欧盟海关推出海关风险管理系统作为公共数据库,供成员国查询信息及进行沟通,并发布风险警报。此外,欧盟还成立专项工作组,包括机场联络小组、海关东部和东南陆地边境专家小组等。
5. 机构间合作:包括海关与欧盟其他部门之间的合作和信息共享,如加强海关与知识产权相关方的合作,加强海关与欧盟刑警组织合作等。欧盟海关还制定了海关合作工作组行动计划,内容包括知识产权、环境保护、犯罪等。
6. 与贸易商的合作: 包括加强海关与可靠贸易商的伙伴关系,加强和修订 AEO 方案,推广电子 AEO 等。
7. 国际海关合作: 包括积极参与《经修订京都公约》的审议,与中国进行安智贸试点,继续与其他国家开展 AEO 互认,与瑞士和挪威签订双边安全协议等。

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EUROPEAN COMMISSION Brussels, 18.1.2021 COM(2021) 9 final REPORT FROM THE COMMISSION TO THE COUNCIL AND THE EUROPEAN PARLIAMENT Third Progress Report on the implementation of the EU Strategy and Action Plan for customs risk management {SWD(2021) 2 final} EN EN 1. INTRODUCTION Customs authorities handle a substantial and constantly increasing volume of goods. They need to facilitate increasing amounts of legitimate trade and at the same time, they are continuously engaged in fighting fraud and the smuggling of illicit or unsafe goods. Meanwhile, major challenges such as the current public health crisis, the consequences of the UK’s departure from the EU's single market and Customs Union, and the rise of digitalisation and e-commerce affect the work of customs. Risk management allows customs authorities to better identify and target those consignments that present a risk. It allows addressing those risks at the best moment in the supply chain to ensure the security and safety of EU residents and the protection of the financial interest of the EU and its Member States. It also allows optimising the use of customs resources. In 2014, the Commission adopted an EU strategy and action plan for customs risk management1. The strategy applies to the 2014-2020 period and identifies seven key objectives underpinned by the overall aim of reaching a high quality, multi-layered approach to risk management. The action plan set out concrete measures for each objective. Following the Council’s request, the Commission presented a first progress report2 on the implementation of the strategy and action plan in July 2016, and a second one in July 20183. In its conclusions of January 2019 on the second progress report, the Council welcomed the progress made in implementing the strategy, including the strengthening of collaboration between all the actors involved, the launching of new initiatives – in particular the Commission’s decision on financial risk criteria – and the participation of customs administrations in security-related activities. It also underlined that risk management is an ongoing process - not limited to specific actions with clearly defined start and end dates - and that customs authorities must continue to innovate and be prepared to respond to new or emerging threats. In its January 2019 conclusions, the Council invited the Commission to present, within 2 years, a third and final progress report on the implementation of the current strategy covering the period 2019-2020. This third progress report is the Commission’s response to that request. Like the previous reports, it provides an overall qualitative assessment of the implementation of the strategy, setting out the progress made on each of the seven key objectives since the second report. It highlights, objective by objective, the most significant advances and the 1 COM(2014) 527 final. 2 First Progress report on the implementation of the EU strategy and action plan for customs risk management.https://eur-lex.europa.eu/legal-content/EN/TXT/PDF/?uri=CELEX:52016DC0476&from=EN (for the period 2015-2016). 3 Second progress report on the implementation of the EU strategy and action plan for customs risk management.: https://eur-lex.europa.eu/legal-content/EN/TXT/PDF/?uri=CELEX:52018DC0549&from=en (for the period 2017-2018). 1 problems encountered, while the accompanying Commission Staff Working Document provides a deeper analysis. 2. PROGRESS REPORT 2.1. Objective 1 - Improving data quality and filing arrangements The objective of setting up a comprehensive legal framework with requirements for ‘multiple filing’ of data for security risk analysis where entry summary declaration data will be provided in layers and for improving data quality has been reached, although its full implementation remains to be achieved. The legal framework The legal framework consists of the Union Customs Code (UCC) and the detailed rules contained in the delegated and implementing acts. The Code entered into force on 1 May 2016. In 2020, the UCC implementing and delegated acts were further updated to integrate the rules on advance information and the analysis of security and safety risks. The Union Customs Code evaluation The Commission has recently launched an evaluation of the UCC to be finalised by the end of 2021. It aims to establish whether the legislation and the operational electronic systems by that date are still appropriate for ensuring modernised, streamlined and simplified processes to assist compliant traders and customs authorities. The evaluation will inform future decisions on whether the Code and its implementing and delegated acts should be revised. It will in particular consider whether the UCC is flexible enough to deal with the management of customs formalities during crises such as the current pandemic and in light of new business models such as e-commerce. The development and implementation of appropriate IT solutions The full implementation of the UCC relies on 17 electronic systems. While tangible progress is being made in this area and eight systems have already been deployed and are now operational, nine are still under development. This is in line with the UCC work programme planning. For further details, see the next chapter. 2.2. Objective 2 - Ensuring availability of supply chain data, sharing of risk- relevant information and control results The Commission, together with the Member States and businesses, has continued to develop the IT systems that support the full implementation of the Code. Since the last progress report, important milestones have been reached in the development and deployment of the planned IT systems as well as on rules to provide or exchange information. The full set of IT systems will further modernise and harmonise import, export and transit processes, and introduce new concepts such as centralised clearance. 2 The new Import Control System (ICS2) For goods entering the EU, the reform of EU advance cargo information system (ICS) is progressing well. The system aims to inform customs authorities about the arrival of goods well before their actual shipment. The development of ICS2 is ongoing and a first delivery is expected in spring 2021. The full system will be delivered in three releases as detailed in the accompanying Staff Working Document. The system is expected to be fully operational in October 2024 and will significantly improve the analysis of safety and security risks. Other projects and systems The ‘Surveillance 3’ (SURV3) system collects information provided in customs declarations and stores it in a database. SURV3 upgrades the earlier (SURV2) system and aligns it with UCC requirements. The database records and centralises EU trade data (imports and exports) that national customs authorities extract from their systems and transmit to the Commission on a daily basis. The use of the data analytics platform began with the deployment of a Trade Flow dashboard in March 2020. More functionalities will be added in due course to allow the Commission to better exploit surveillance data. The Customs Union Performance (CUP) is used as a management/steering tool for evidence-based policy formulation and strategic decision-making as well as to evaluate performance and monitor trends. The CUP is gradually developing key performance indicators to evaluate how Member States are performing customs controls, to highlight the impact of Customs in collecting revenues for the EU budget, to ensure safety and security of the EU citizens, to protect the internal market, and to emphasise the importance of Customs administrations’ contribution to growth, competitiveness and innovation goals in line with the Europe 2020 agenda. The Common information-sharing environment (CISE) promotes the exchange of relevant maritime information between the different authorities involved. It has made significant progress by entering its transitional phase (2019–2021) managed and led by the European Maritime Safety Agency (EMSA) in close cooperation with the Member States. The Digital Transport and Logistics Forum (DTLF) led by the Commission brings together transport and logistics experts and stakeholders from both the private and the public sector, with a view to building a common vision and roadmap for digital transport and logistics. In April 2020, the Council adopted new rules, which will make it easier for freight transport companies to provide information to authorities in digital form. Increased digitalisation of freight transport and logistics will bring significant cost savings for businesses, and make the transport sector more efficient and sustainable. The Trade Control and Expert System (TRACES) is the European Commission’s multilingual online management tool for all sanitary and phytosanitary requirements on intra-EU trade and imports of animals, semen and animal embryos, food, feed and plants. Its main objective is to digitalise the entire certification process, in line with the Digital 3 Agenda for Europe4. The Commission has initiated a new project in the form of the development of an IT system for electronic submission and management of catch certificates under Regulation (EC) 1005/20085 on establishing a Community system to prevent, deter and eliminate illegal, unreported and unregulated fishing. This new system will assist Member States' authorities in carrying out their verification and risk management tasks in relation to imports of fishery products into EU. The EU Single Window Environment for Customs initiative aims to facilitate the automated verification of supporting documents provided with the customs declaration at customs clearance. As such, it will be an instrument to support the coordination of controls between customs and partner competent authorities at the border and to provide feedback to economic operators on controls. The Single Window links national customs systems and EU e-licensing solutions such as TRACES or the Dual Use Goods export system. 2.3. Objective 3 - Implementing control and risk mitigation measures where required (‘assess in advance - control where required’) The third objective (‘assess in advance - control where required’) is central to the strategy in the sense that all the other objectives should ultimately contribute to enabling custom authorities to better target their controls in terms of when and where they take place. Major progress has been made on Objective 3, notably on Priority Control Area (PCA), financial risks and product compliance and safety. The Commission is also further developing and expanding the use of Credibility Checks. Priority Control Area (PCA) PCA is a key mechanism in the Customs Risk Management Framework (CRMF) that enables the EU to designate specific areas to be treated as a priority for customs controls. The PCA tool has been used to coordinate EU customs actions in most major risk areas already since 2007, delivering operational results and providing strategic lessons. During crisis, priorities must change, and PCAs are therefore replaced by joint actions that focus on the particular crisis. This was the case for COVID-19 in 2020. Financial Risk Criteria (FRC) The Commission’s inspections on traditional own resources (TOR) as well as previous work on EU action to reduce the customs gap have pointed to a lack of harmonisation in the performance of customs controls for mitigating the risk of undervalued imports throughout the Customs Union. 4 https://ec.europa.eu/digital-single-market/ 5 OJ L 286, 29.10.2008, p. 1. 4 In May 2018, the Commission adopted an important implementing decision, which lays down measures for the uniform application of customs controls by establishing common financial risk criteria and standards (FRC)6. The FRC are a set of rules that allow the Member States customs clearance systems to systematically identify (or ‘flag electronically’) transactions that present a potential financial risks and that require further scrutiny and/or control action. They encompass the majority of known financial risks and help provide a more consistent approach to customs controls. The FRC decision, only available to customs risk management experts in the Member States, enables Member States to address financial risks in an equivalent manner at the external border, without placing an undue burden on legitimate trade. It also identifies the most opportune time and place of the control depending on the scope and nature of the risk and on the availability of data and documentation. Product safety and compliance In 2019, the European Parliament and the Council adopted Regulation 2019/1020 on market surveillance and compliance of non-food products with EU legislation7. This new legislation strengthens the legal framework for controls on goods entering the EU. It will significantly boost cooperation between customs and market surveillance authorities in view of more effective checks on imported products. The new regulation will apply in full from 16 July 2021. Preparations for its efficient implementation are under way. Credibility checks Credibility checks (CC) were introduced via TARIC in the Member States national systems in 2013 and are being continuously developed and expanded. They are automated checks introduced at the clearance stage of imports that assess the validity of the values declared. CC check the compatibility of entries in the customs declaration against specific parameters and, in the case of noncompliance, either block them or flag them - creating a warning so that Customs authorities may check the declaration. 2.4. Objective 4 - Increasing capacity to ensure effective implementation of the Common Risk Management Framework and to increase responsiveness to newly identified risks Improving the implementation of the Customs Risk Management Framework (CRMF) Member State customs administrations have prioritised the improvement of CRMF implementation, and have taken a number of actions in this area. This has increased 6 C(2018)3293 final. 7 Regulation (EU) 2019/1020 of the European Parliament and of the Council of 20 June 2019 on market surveillance and compliance of products and amending Directive 2004/42/EC and Regulations (EC) No 765/2008 and (EU) No 305/2011. OJ L 169, 25.6.2019, p. 1-44. 5 cooperation and the sharing of risk information between Member States, including through Customs Risk Management System (CRMS), and improved financial risk management. Several Member States have also reported an improvement in risk analysis, thanks to new or improved IT systems and the recruitment or training of staff. However, many Member States also reported obstacles that have kept them from implementing all the desired actions or making further progress. The biggest challenges are insufficient IT infrastructure, financial constraints, and lack of human resources and data availability. The Customs Risk Management System (CRMS) The CRMS is a common database where forms and messages are sent and stored. Member States can consult it to identify which information needs to be introduced into the national risk analysis system or communicated with each other. Since 2005, the CRMS has regularly been updated to add new functionalities and improve its user-friendliness. In 2016, a complete revision (‘CRMS2’) was decided based on the experience acquired with the Member States and users of the system. The first step (analysis of the CRMS 2 requirements) has now been completed and the development phase is under way. This will be followed by a testing phase, before CRMS2 is foreseen to go live in Q4 2021. A specific COVID-19 crisis alert was opened on 4 February 2020 in the CRMS/crisis management to allow Member States to share and receive information and guidance on prioritising risks for customs controls related to COVID-19. Since then, more than 400 Risk Information Forms (RIFs) were issued on dangerous and non-compliant medical products, medical devices and personal protective equipment. Thematic working groups Many EU-level working groups, comprised of representatives of the European Commission and the Member States, are actively working on key issues to improve customs controls and risk management capacities. Nearly all Member States participate in one or more contact or expert groups established under the Customs programme to increase cooperation on the ground and coordination between customs administrations at the EU’s external frontiers. Such groups include the European Land Frontier Contact Group (LFCG) and several ports and airports contact groups (RALFH, ODYSSUD and ICARUS). Several Member States also participate in the Customs Eastern and South-Eastern Land Border Expert Team (CELBET), which aims to strengthen and improve operational cooperation at this EU border. 2.5. Objective 5 - Promoting interagency cooperation and information sharing between customs and other authorities at Member State and EU level Interagency cooperation and information sharing between customs and other competent authorities at Member State and EU level is highlighted in the strategy as an important 6 means of ensuring more effective risk management and improving safety and supply chain security. Improving cooperation and information sharing with other authorities is a high priority for most Member States. While further progress has been made in setting up interagency agreements and memoranda of understanding, most Member States reported that improvements in integration of risk information or enhanced risk management practice has been limited due to legal constraints related to insufficiently aligned requirements for data privacy and the protection of fundamental rights, among other factors. The multiple legal frameworks at play in interagency cooperation are viewed as hampering coordination and common priority setting. The Commission department responsible for customs matters is actively involved in the Security Union activities, and the Customs Cooperation Working Party has been addressing a number of relevant priority areas. Safety The Official Controls Regulation (EU) 2017/6258 entered into force in December 2019 establishing an integrated approach to import controls of foodstuffs, feed and livestock. Furthermore, the Commission proposal for an EU Single Window Environment for Customs will allow collaborative processing, sharing and exchange of information and better risk assessment for government agencies. Intellectual property rights (IPR) In November 2020, the Commission adopted the IP Action Plan9, which aims, among others, to improve the enforcement of IPR, in particular by strengthening the capacity of law enforcement authorities, supporting Member States’ customs authorities in improving risk management and anti-fraud actions10, and establishing an EU Toolbox against counterfeiting. The Toolbox aims to (i) clarify roles and responsibilities of all involved players (right holders, suppliers, various sets of intermediaries11 and public enforcement authorities, including customs authorities), and (ii) identify ways to reinforce cooperation between them, in particular on sharing of relevant data on goods and traders. Improving cooperation with law enforcement authorities A large majority of Member States are carrying out or have completed activities to improve cooperation with law enforcement authorities. This includes participating in projects and joint operations with Europol and national law enforcement agencies, 8 OJ L 95, 7.4.2017, p. 1. 9 COM(2020)760. 10 COM(2020) 581 final 11 e.g. online platforms, social media, the advertising industry, payment services, domain name registrars/registries, and transport and logistics companies. 7 cooperation agreements and information sharing, and cooperating to prepare for the implementation of ICS2. Some Member States have however voiced difficulties - such as legal challenges, insufficient human and financial resources and lack of IT tools - that have kept them from implementing the desired actions or making more progress in cooperation with other authorities at Member State and EU level. The European agenda on security As gatekeeper for the flows of goods at the external EU borders, EU customs authorities play a crucial role in protecting the EU and its citizens, as well as protecting international supply chains from criminal activities and terrorist attacks. By implementing the EU strategy and action plan for customs risk management, the Commission contributes to the implementation of the European agenda on security. The new 2020-2025 EU Security Union Strategy12 adopted on 27 July 2020 refers to the importance of a secure external border and the crucial role of customs in the fight against cross-border crime and terrorism. It also refers to the action plan ‘Taking the Customs Union to the next level’ adopted on 28 September 202013, which has announced actions to strengthen risk management and to enhance internal security, including by assessing the feasibility of a link between relevant information systems for security risk analysis. The Customs Cooperation Working Party (CCWP) Action Plan The focus on IPR infringements continued under the CCWP’s 9th action plan (2018- 2019) and activities in this domain are expected to continue under the next action plan. Similarly, CCWP actions have been developed for environmental crimes. The 10th action plan for 2020-2021 includes actions focussed on the transboundary movement of hazardous and other waste, illegal trafficking in ozone-depleting substances and on trade restrictions, in order to promote environmental sustainability. Customs authorities have also been integrated into the Serious and Organised Crime Threat Assessment (SOCTA) reporting mechanism through a dedicated CCWP action on the "‘Better integration of customs in the EU SOCTA’. The 10th CCWP Action Plan includes a specific follow-up action in this area. At the same time the synergies between the EU Policy cycle 2018-2021 / EMPACT and the 10th CCWP Action Plan 2020-2021 are further strengthened with a view to align and, where appropriate, integrate CCWP actions under the EU Policy Cycle. 12 COM(2020) 605 final. 13 COM(2020) 581 final. 8 2.6. Objective 6 - Improving cooperation with trade Cooperation between customs and trade has mainly improved thanks to the strengthening of the Authorised Economic Operator (AEO) concept. Member States have broadly expressed that the results of this EU programme - including increased access to and quality of data and the increased awareness of the AEO programme and enhanced cooperation and communication with trade - have led to better-focused control activities and to the facilitation of legitimate trade. A minority of customs administrations have encountered significant challenges that have kept them from implementing desired actions or making more progress in their cooperation with economic operators. The few challenges broadly concerned IT systems, lack of human capacity and expertise, and legislation - including GDPR. Strengthening the EU AEO Programme The Commission and the Member States have agreed on a comprehensive strategy and methodology to improve the robust implementation of the programme, including by strengthening the links to customs risk management. There is also a plan to increase further the understanding of the programme through awareness raising-strategies, which are to be jointly developed with traders. These activities include in particular fact-finding visits by the Commission to all Member States to assess how the AEO programme is implemented and to identify best practices. These visits started in July 2019 but were put on hold in 2020 due to the COVID-19 situation. First findings include a number of best practices, which will be made available to all Member States. Moreover, there are a number of weaknesses, which have also been identified by the European Court of Auditors (ECA), particularly as regards internal controls, monitoring, cooperation between AEO and risk management services, and the specific situation of express couriers/postal services. These topics will be need to be addressed through inter alia an amendment of the AEO Guidelines and - where necessary - the legal provisions. The eAEO direct trader access The AEO module (e-AEO) of the EU Customs Trader Portal, designed by the Commission together with the Member States, started operating on 1 October 2019 (for its first phase) and 16 December 2019 (for its second phase). It provides a single point of access to the AEO and BTI systems. It facilitates and speeds up the exchange of information, communications and notifications related to AEO applications, authorisations and their management processes as set out in in the UCC and related delegated and implementing acts. The module aims to harmonise the access to different EU customs systems for economic operators. All other EU customs systems are expected to connect to this portal in the near future. 9 2.7. Objective 7 - Tapping the potential offered by international customs cooperation Cooperation and exchange of customs-related information with third countries play an important role in the area of the Customs Union and common commercial policy. The Commission represents the EU in the World Customs Organisation (WCO), ensuring that EU principles and rules are embedded in international standards, in particular in areas of importance for customs risk management such as nomenclature and classification of goods, e-commerce, and security and safety. The Commission also quite recently started actively participating in the revision of the Kyoto Convention and the Risk Management Compendium. China Smart and Secure Trade Lane Pilot (SSTL) During the recent period, the number of operators, SSTL ports and trade lanes has further increased and the pilot programme has been expanded to other transport modes under the current data exchange conditions. In particular, the number of rail lanes between the EU and China has expanded and several Member States have in addition started air lanes. Two e-Commerce platforms have also joined the SSTL, thereby facilitating tackling high volume items. AEO Mutual Recognition The Commission has continued the implementation of the existing mutual recognition agreements with China, Japan, US, Norway and Switzerland. In addition, the Commission has engaged in negotiations with Canada on a mutual recognition agreement, and has undertaken preparatory steps with Singapore. Bilateral customs security agreements The Commission has made progress in negotiating amendments to the bilateral customs security agreements with Switzerland and Norway to align them with latest changes in EU law. The Commission has also worked intensively with Switzerland and Norway on their participation in the ICS2 system and on all related legal, operational processes for economic operators and contracting parties. 3. MONITORING SYSTEM In its Conclusions of January 2019, the Council invited the Commission to develop, in close cooperation with the Member States, a performance and monitoring framework to monitor the strategy’s implementation more systematically and robustly in the future. While the current strategy runs from 2014 to 2020, this monitoring framework needs to cover its successor. Though all the details of this future strategy are currently in preparation, it is likely to address and follow up on many of the issues identified in the current strategy. The Commission has developed a draft monitoring framework (see the 10 Staff Working Document accompanying this report), but some operational aspects can only be defined when the new strategy is adopted. CONCLUSIONS This report and the accompanying Staff Working Document provide a picture of the state of implementation of the EU’s current customs risk management strategy and action plan as of end-2020. They show that significant progress has been made in the implementation of the Strategy and Action Plan since the publication of the previous report, both, by the Member States and the Commission. Member States have used the strategy to improve the management of customs risks and attribute many positive achievements to it. This includes increased awareness of risk management within national administrations and galvanised support for making risk management a bigger priority. Despite this progress, there is a need to further strengthen procedures and obligations under the current framework. This includes: (i) making better use of existing data to enable more and better risk analysis; (ii) more effective procedures to deal with the increasing amount of goods arriving through e-commerce; (iii) clearer rules; (iv) a more stringent control response by Member States when risks have been identified at EU level and communicated to Member States; (v) more systematic cooperation with other authorities; and (vi) better monitoring systems for AEOs. At the same time, customs authorities need to provide proactive and innovative responses to address new challenges that jeopardise traditional customs risk management and control approaches Risk analysis remains a crucial element of the efficiency of customs controls enabling customs authorities to target controls in a situation where the growing volume and pace of trade necessitate an even more than ever selective and targeted approach. 11
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Billing Code 3390-F3 OFFICE OF THE UNITED STATES TRADE REPRESENTATIVE Notice of Product Exclusion Extensions: China’s Acts, Policies, and Practices Related to Technology Transfer, Intellectual Property, and Innovation AGENCY: Office of the United States Trade Representative (USTR). ACTION: Notice. SUMMARY: In prior notices, the U.S. Trade Representative modified the actions in the Section 301 investigation of China’s acts, policies, and practices related to technology transfer, intellectual property, and innovation by excluding from additional duties certain medical-care products needed to address COVID, and subsequently extended certain of these exclusions. The current COVID exclusions — covering 81 medical-care products — are scheduled to expire on November 30, 2022. This notice announces the U.S. Trade Representative’s determination to further extend the 81 COVID exclusions for an additional three months. DATES: The modification announced in this notice extends the COVID exclusions through February 28, 2023. FOR FURTHER INFORMATION CONTACT: For general questions about this notice, contact Associate General Counsel Philip Butler or Assistant General Counsel Edward Marcus at (202) 395-5725. For specific questions on customs classification or implementation of the product exclusions, contact traderemedy@cbp.dhs.gov. SUPPLEMENTARY INFORMATION: A. Background 1 On December 29, 2020, USTR announced the extension of 80 product exclusions on medical-care and/or COVID response products; further modifications in the form of 19 product exclusions to remove Section 301 duties from additional medical-care and/or COVID response products; and that USTR might consider further extensions and/or modifications as appropriate. See 85 FR 85831. These 99 exclusions were later extended until September 30, 2021. 86 FR 13785. On August 27, 2021, USTR published a notice requesting public comments on whether any of these exclusions should be further extended for up to six months. 86 FR 48280. To provide time for USTR to review the comments it received in response to the August 27 notice, USTR announced the interim extension of these 99 exclusions through November 14, 2021, (86 FR 54011) and a subsequent extension, through November 30, 2021. 86 FR 63438. On November 16, 2021, USTR announced the extension of 81 of the COVID exclusions for an additional 6 months (until May 31, 2022) and that USTR might consider further extensions and/or modifications as appropriate. 86 FR 63438. On June 3, USTR announced a subsequent extension of 81 of the COVID exclusions for an additional 6 months (until November 30, 2022). 87 FR 33871. B. Determination To Extend COVID Exclusions In light of the continuing efforts to combat COVID, the U.S. Trade Representative has determined that a 3 month extension of the 81 COVID related product exclusions is warranted. The U.S. Trade Representative’s decision to extend the 81 product exclusions takes into account public comments previously provided, the advice of advisory 2 committees and the interagency Section 301 Committee, and the advice of the White House COVID-19 Response Team. As provided in the November 16 notice, the exclusion extensions in the annex to this notice are available for any product that meets the description in the product exclusion. Further, the scope of each exclusion is governed by the scope of the ten-digit Harmonized Tariff Schedule of the United States (HTSUS) subheadings and product descriptions set forth in U.S. note 20(sss) to subchapter III of chapter 99 of the HTSUS. U.S. Customs and Border Protection will issue instructions on entry guidance and implementation. The U.S. Trade Representative may continue to consider further extensions and/or additional modifications as appropriate. ANNEX The U.S. Trade Representative has determined to extend all exclusions previously extended under heading 9903.88.66 and U.S. notes 20(sss)(i), 20(sss)(ii), 20(sss)(iii), and 20(sss)(iv) to subchapter III of chapter 99 of the Harmonized Tariff Schedule of the United States (HTSUS). See 87 FR 33871 (June 3, 2022). The extension is effective with respect to goods entered for consumption, or withdrawn from warehouse for consumption, on or after 12:01 a.m. eastern standard time on December 1, 2022, and before 11:59 p.m. eastern standard time on February 28, 2023. Effective on December 1, 2022, the article description of heading 9903.88.66 of the HTSUS is modified by deleting “December 1, 2022,” and by inserting “February 28, 2023” in lieu thereof. Greta Peisch General Counsel Office of the United States Trade Representative. 3