2015年贸易便利化和无纸化贸易实施调查（翻译介绍）

Joint United Nations Regional Commissions 联合国区域委员会 Trade Facilitation and Paperless Trade Implementation Survey 2015 2015 年贸易便利化和无纸化贸易实施调查 Asia and the Pacific Report 亚太区域报告 Cross-border paperless trade 跨境无纸化贸 易 Paperless Trade 无纸化贸易 Formalities 相关手续 Transparency 透明化 Institutional arrangement and cooperation 机构安排与合作 ESCAP is the regional development arm of the United Nations and serves as the main economic and social development centre for the United Nations in Asia and the Pacific. Its mandate is to foster cooperation between its 53 members and 9 associate members. ESCAP provides the strategic link between global and country-level programmes and issues. It supports Governments of the region in consolidating regional positions and advocates regional approaches to meeting the region’s unique and socio-economic challenges in a globalizing world. The ESCAP office is located in Bangkok, Thailand. Please visit our website at www.unescap.org for further information. 作为联合国的区域发展组织，联合国亚洲及太平洋经济社会委员会（以下“简称亚太 经社会”）是联合国在亚洲及太平洋地区主要的经济和社会发展中心，其职责在于促进 53 个正式成员和 9 个准成员之间的合作，使全球层面和国家层面的相关项目和议题实现 战略对接。亚太经社会支持该区域各国政府整合区域立场，提倡采取区域化办法来应对该 区域在全球化世界中所面临的独特的社会和经济挑战。亚太经社会的总部位于泰国曼谷。 更多详情请访问 www.unescap.org。 Copyright © ESCAP 2015 All rights reserved 版权© 亚太经社会，2015 版权所有 The report is available at: http://unnext.unescap.org/UNTFsurvey2015.asp 可访问：http://unnext.unescap.org/UNTFsurvey2015.asp 参阅该报告 Disclaimers: 免责声明： 3 The designation employed and the presentation of the material in the Report do not imply the expression of any opinion whatsoever on the part of the Secretariat of the United Nations concerning the legal status of any country, territory, city or area or of its authorities, or concerning the delimitation of its frontiers or boundaries. The United Nations bears no responsibility for the availability or functioning of URLs. 本报告中所使用的名称和提供的材料并不代表联合国秘书处关于任何国家、领土、城 市、地区或其当局的法律地位，或关于其边界的划分等方面的任何意见。联合国不对本报 告中涉及网址的可用性负责。 Opinions, figures and estimates set forth in this publication are the responsibility of the authors, and should not necessarily be considered as reflecting the views or carrying the endorsement of the United Nations. Any errors are the responsibility of the authors. Mention of firm names and commercial products does not imply the endorsement of the United Nations. 本报告中出现的观点、图和估计仅代表作者的观点，不应被视为是联合国相关意见的 反映，也不代表获得了联合国的认可。如有任何错误也仅代表作者的观点。本报告提及的 任何公司及商品，并不意味着联合国对其的认可和支持。 The report has been issued without formal editing. 本报告在印发前未经正式编辑。 4 Preface 前言 In September 2014, the United Nations Regional Commissions (UNRCs) including ECA, ECE, ECLAC, ESCAP and ESCWA, initiated a global survey to collect data and information on trade facilitation and paperless trade implementation from their respective member states. Conducted in collaboration with UNCTAD, OECD, ITC, OCO and SELA, the results of the survey are expected to enable countries and their development partners to better understand and monitor progress in trade facilitation, support evidence-based policy-making, identify good practices and identify capacity building and technical assistance needs. 2014 年 9 月，联合国区域委员会，即非洲经济委员会、欧洲经济委员会、拉丁美洲 和加勒比经济委员会、亚洲及太平洋地区经济与社会委员会以及西亚经济社会委员会，发 起了一项全球性的调查，旨在向各自的成员国收集有关贸易便利化和无纸化贸易实施的数 据和信息。该项调查还获得了联合国贸发会议、经合组织、国际贸易委员会、大洋洲海关 组织以及拉丁美洲经济体系的支持。调查结果有望让各国及其发展伙伴能够更好地了解和 监测贸易便利化方面的进展情况，为循证决策提供依据，发现好经验、好做法以及能力建 设和技术援助方面的需要。 The global survey represents a key initiative under the framework of the Joint UNRC Approach to Trade Facilitation, which was agreed upon by the Executive Secretaries of the five UNRCs in Beirut (January 2010) to enable the UNRCs to present a joint (global) view on key trade facilitation issues. The questionnaire for the global survey was jointly prepared and finalized by UNRCs and OECD to ensure data could be shared and compared. 2010 年 1 月，联合国五大区域性经济委员会的执行秘书处在贝鲁特通过了《联合国 区域委员会贸易便利化联合方案》，旨在使各区域经济委员会能在贸易便利化关键性问题 上提出联合的（全球性的）意见。而上述全球性的调查是该联合方案框架下的一项重要举 措，其调查问卷由各区域性经济委员会和经合组织共同拟定和编制，以确保数据可以共享 和比较。 The global survey builds on an annual regional survey carried out by ESCAP since 2012. It covers not only implementation of some important measures included in the WTO Trade Facilitation Agreement (TFA) but also of measures aimed at enabling paperless trade, or the conduct of trade using electronic rather than paper-based data and documentation. Indeed, a recent ESCAP study found that “next generation” trade facilitation measures have just as much potential as more traditional measures to reduce trade costs and increase intra- and extra-regional 5 trade, with full implementation of cross-border paperless trade expected to generate USD 257 billion of additional export potential annually for the Asia-Pacific region alone.1 该项全球性调查是以亚太经社会自 2012 年以来每年进行的区域性调查为基础而开展 的，其调查内容涵盖了世贸组织《贸易便利化协定》中一些重要措施的实施情况以及旨在 实现无纸化贸易（即使用电子数据及文件代替纸质文件开展贸易业务）的措施的实施情 况。事实上，亚太经社会最近的一项研究发现，“下一代”的贸易便利化措施在减少贸易成 本以及增加区域内和区域外贸易量方面有着与传统措施相同的潜力，而跨境无纸化贸易的 全面实施预计每年仅亚太地区就可增加 2570 亿美元的出口贸易额。1 This regional report is part of this global survey effort. It was prepared by Yann Duval, Tengfei Wang and Dimitra Tsoulou Malakoudi, Trade Facilitation Unit, Trade and Investment Division, ESCAP. 作为上述全球调查工作的一部分，该区域性报告由亚太经社会贸易与投资司贸易便利 化部门的 Yann Duval、王腾飞、Dimitra Tsoulou Malakoudi 共同编制。 Abbreviations 缩略语 1 来源：http://www.unescap.org/resources/estimating-benefits-cross-border-paperless-trade 6 ADB……………………………………………………… Asian Development Bank 亚洲开发银行 AEO……………………………………………………… Authorized economic operator 经认证的经营者 APoA…………………………………………………….. Almaty Programme of Action 阿拉木图行动纲领 AU……………………………………………………….. Australia 澳大利亚 ASEAN…………………………………………………... Association of Southeast Asian Nations 东南亚国家联盟 ASYCUDA………………………………………………. Automated System for Customs Data 海关数据自动系统 ECA……………………………………………………… United Nations Economic Commission for Africa 联合国非洲经济委员会 ECE……………………………………………………… United Nations Economic Commission for Europe 联合国欧洲经济委员会 ECLAC………………………………………………….. United Nations Economic Commission for Latin America and the Caribbean 联合国拉丁美洲和加勒比经济委员会 ENEA……………………………………………………. East and North-East Asia 东亚和东北亚 ESCAP…………………………………………………… United Nations Economic and Social Commission for Asia and the Pacific 联合国亚太经社会 ESCWA………………………………………………….. United Nations Economic and Social Commission for Western Asia 联合国西亚经济社会委员会_ EU………………………………………………………... European Union 欧盟 GATT……………………………………………………. General Agreement on Tariffs and Trade 关税及贸易总协定 ICT……………………………………………………….. Information and communications technology 信息通信技术 IRU………………………………………………………. International Road Transport Union 国际道路运输联盟 ITC……………………………………………………….. International Trade Centre 国际贸易中心 Lao PDR…………………………………………………. Lao People’s Democratic Republic 老挝人民民主共和国 LDC……………………………………………………… Least developed country 最不发达国家 LLDC…………………………………………………….. Landlocked developing country 内陆发展中国家 NCA……………………………………………………… North and Central Asia 北亚和中亚 NTFC…………………………………………………….. National trade facilitation committee 贸易便利化国家委员会 NZ………………………………………………………... New Zealand 新西兰 OCO……………………………………………………… Oceania Customs Organization 大洋洲海关组织 OECD……………………………………………………. Organization for Economic Co-operation and 7 Development 经济合作与发展组织 PIDE……………………………………………………... Pacific island developing economies 太平洋岛国发展中经济体 SAARC…………………………………………………... South Asian Association for Regional Cooperation 南亚区域合作联盟 SEA……………………………………………………… South-East Asia 东南亚 SELA…………………………………………………….. Latin American and Caribbean Economic System 拉丁美洲和加勒比经济体系 SIDS……………………………………………………... Small island developing states 小岛屿发展中国家 SSWA……………………………………………………. South and South-West Asia 南亚和西南亚 TF………………………………………………………... Trade facilitation 贸易便利化 TFA……………………………………………………… Trade Facilitation Agreement 贸易便利化协定 UN/CEFACT…………………………………………….. United Nations Centre for Trade Facilitation and Electronic Business 联合国贸易便利化与电子业务中心 UNCTAD………………………………………………… United Nations Conference on Trade and Development 联合国贸易与发展会议 UNNExT…………………………………………………. United Nations Network of Experts for Paperless Trade and Transport for Asia and the Pacific 联合国促进亚太地区无纸化贸易和交通专家网络 UNRC……………………………………………………. United Nations Regional Commission 联合国区域委员会 USA……………………………………………………… United States of America 美利坚合众国 USD……………………………………………………… United States dollar 美元 WTO……………………………………………………... World Trade Organization 世界贸易组织 8 1. Introduction 简介 1.1 Background and objective 背景与目的 It is well understood that reducing trade costs is essential in enabling economies to effectively participate in regional and global value chains and continue to use trade as a main engine of growth and sustainable development. According to the latest data from the ESCAP- World Bank International Trade Cost Database, the overall cost of trading goods among the three largest European Union (EU) economies is equivalent to a 43% average tariff on the value of goods traded (see Table 1). China, the Republic of Korea and Japan (East Asia-3) come closest to matching the low intra-EU trade costs, with average trade costs among themselves amounting to a 51% tariff-equivalent, followed by the middle-income members of the Association of Southeast Asian Nations (ASEAN), whose intra-regional trade costs stand at 76% tariff- equivalent. 众所周知，降低贸易成本对于促进各经济体有效参与区域和全球价值链以及继续将贸 易作为带动经济增长和可持续发展的主要动力有着至关重要的作用。据亚太经社会与世界 银行联合构建的全球贸易成本数据库最新数据显示，欧盟中最主要的三大经济体之间商品 交易的总成本在数值上等同于所交易商品按 43%的平均关税率所应缴纳的税款（参见表 1）。与欧盟内部的低贸易成本最接近的是中国、韩国和日本（东亚三大经济体）之间的 贸易成本，其平均贸易成本相当于对所交易的商品征收 51%的关税。其次是东南亚国家 联盟中的中等收入国家，其区域内贸易成本相当于对所交易的商品征收 76%的关税。 Table 1: Intra- and extra-regional comprehensive trade costs in the Asia-Pacific region (excluding tariff costs), 2008-2013 表 1：2008-2013 亚太地区区域内及区域间综合贸易成本（不包括关税） AU-NZ North & Pacific South Asia ASEAN-4 East Asia- 澳大利 Islands-2 SAARC-4 (Sub-)Regions 东南亚国 3 亚-新西 EU-3 Central Asia-4 太平洋岛屿- 南亚区域合 （次）区域 家联盟-4 东亚-3 兰 欧盟-3 北&中亚-4 2 作联盟-4 ASEAN-4 东南亚国家联盟-4 76% (9%) East Asia-3 东亚-3 75% (5%) 51% (-5%) North & Central Asia-4 351 北&中亚-4 % (9%) 177% (-7%) 121 (9%) 9 Pacific Islands -2 175 368 太平洋岛屿-2 % (-11%) 174% (-9%) % (34%) 133% (-10%) South Asia SAARC-4 128 282 317 南亚区域合作联盟-4 % (2%) 125% (-0%) % (13%) % (2%) 114% (10%) AU-NZ 101 338 澳大利亚-新西兰 % (4%) 89% (-3%) % (-5%) 73% (-22%) 142% (-1%) 54% (1%) EU-3 欧盟-3 108% (2%) 85% (-4%) 152% (-8%) 211% (-6%) 114% (3%) 109% (0%) 43% (-4%) USA 美国 85% (11%) 63% (-0%) 180% (2%) 163% (-11) 109% (6%) 100% (4%) 67% (0%) Source: ESCAP-World Bank Trade Cost Database (June 2015 update). Available at: http://databank.worldbank.org/data/views/variableselection/selectvariables.aspx?source=escap- world-bank-international-trade-costs and http://www.unescap.org/tid/artnet/trade-costs.asp. 来源：亚太经社会—世界银行 贸易成本数据库（更新于 2015 年 6 月） 详情可访问： http://databank.worldbank.org/data/views/variableselection/selectvariables.aspx?source=escap- world-bank-international-trade-costs http://www.unescap.org/tid/artnet/trade-costs.asp. Notes: Trade costs may be interpreted as tariff equivalents. Percentage changes in trade costs between 2002-2007 and 2008-2013 are in parentheses. ASEAN-4: Indonesia, Malaysia, Philippines, Thailand; East Asia-3: China, Japan, Republic of Korea; North and Central Asia-4: Georgia, Kazakhstan, Kyrgyzstan, Russian Federation; Pacific islands-2: Fiji, Papua New Guinea; SAARC-4: Bangladesh, India, Pakistan, Sri Lanka; AU-NZ: Australia, New-Zealand; EU-3: Germany, France, United Kingdom; USA: United States of America. 注：贸易成本可能会被解释为关税等价物。括号内为 2002—2007 与 2008—2013 相比的贸 易成本变动率。东南亚国家联盟—4：印度尼西亚、马来西亚、菲律宾、泰国；东亚—3： 中国、日本、韩国；北亚&中亚：格鲁吉亚、哈萨克斯坦、吉尔吉斯斯坦，俄罗斯联邦； 太平洋岛屿—2：斐济，巴布亚新几内亚；南亚区域合作联盟—4：孟加拉国，印度，巴基 斯坦，斯里兰卡；AU—NZ：澳大利亚、新西兰；欧盟—3：德国、法国、英国；美国： 美利坚合众国 Other groups of Asia-Pacific economies face much higher costs of trading among each other, particularly in Central Asia, South Asia, and the South Pacific. However, the scope for further reducing trade costs among Asia-Pacific developing economies is best understood when looking at inter-regional trade costs with, for example, the trade costs between Southeast (ASEAN-4) and South (SAARC-4) Asian economies (128%), two neighboring Asian sub- regions, still much higher than those between ASEAN and the EU (108%) or between SAARC and the United States of America (109%). 10 其他亚太经济体组织之间的贸易成本则更高，尤其是在中亚、南亚和南太平洋地区。 然而，亚太地区区域间贸易成本，例如两个临近的亚洲次区域——东南亚经济体（东南亚 国家联盟—4）和南亚经济体（南亚区域合作联盟—4），它们之间的贸易成本是 128%， 要比东南亚国家联盟和欧盟之间 108%的贸易成本或是南亚区域合作联盟与美利坚合众国 之间 109%的贸易成本高出很多，所以进一步降低亚太地区发展中经济体之间的贸易成本 还是有很大的空间的。 Recent studies suggest that much of the trade cost reductions achieved over the past decade have been through elimination or lowering of tariffs.2 Further trade cost reduction therefore, will have to come from tackling non-tariff sources of trade costs, such as inefficient transport and logistics infrastructure and services, but also cumbersome regulatory procedures and documentation. Indeed, trade facilitation (the simplification and harmonization of import, export and transit procedures), including paperless trade (the use and exchange of electronic data and documents to support the trade transaction process), has taken increasing importance as evidenced by the successful conclusion of the negotiations on a WTO Trade Facilitation Agreement in December 2013, and the progress made at ESCAP on developing a complementary regional arrangement for the facilitation of cross-border paperless trade since 2012. 最近的研究表明，过去十年间，大部分贸易成本的下降都是通过取消或是降低关税来 实现的。2因此，要想进一步降低贸易成本，就必须要从非关税渠道着手了，例如低效的 运输和物流基础设施和服务以及繁琐的监管程序和文件。事实上，WTO《贸易便利化协 定》相关谈判于 2013 年 12 月圆满结束以及亚太经社会从 2012 年以来在出台促进跨境无 纸化贸易区域性补充安排方面所取得的成绩就能表明，贸易便利化（旨在简化和协调进出 口以及过境程序），包括无纸化贸易（旨在通过使用和交换电子数据和文件来简化贸易过 程），已经变得越来越重要了。 For the past several years, the ESCAP Secretariat has set out to systematically collect and analyze information on the implementation of trade facilitation measures in the region, to provide a basis for developing more relevant capacity building and technical assistance programs as well as for countries to design and prioritize their own trade facilitation implementation plans and strategies. Taking into account the interest of Member States from the region in the application of modern information and communication technologies (ICT) to trade procedures, a first regional survey on trade facilitation and paperless trade implementation was conducted in 2 For example, see ESCAP (2011), Asia-Pacific Trade and Investment Report 2011, United Nations. 参见联合国亚太经社会 2011 年亚太地区贸易和投资报告 11 2012, in conjunction with the Asia-Pacific Trade Facilitation Forum organized annually by ESCAP with the Asian Development Bank (ADB).3 在过去几年里，亚太经社会秘书处已经着手系统地收集和分析有关亚太地区贸易便利 化措施实施情况的信息，进而为制定更切合实际的能力建设计划和技术援助计划提供依 据，为各国制定和部署自己的贸易便利化实施计划和实施战略提供依据。考虑到会员国在 将现代信息和通信技术（ICT）应用于贸易程序方面的兴趣，亚太经社会于 2012 年开展 了第一次区域性贸易便利化和无纸化贸易实施调查，并协同亚洲开发银行（ADB）每年 举办一次亚太贸易便利化论坛。3 One conclusion from that first survey effort was that it “should be treated as a continuous, rather than an ad-hoc ‘one-off’ activity”.4 Accordingly, a second regional survey was conducted in 2013/14.5 第一次区域性调查所得出的一个结论是，该调查“应该被视为是一项连续的而非特别 的‘一次性’活动”。4因此，2013/14 又进行了第二次区域性调查。5 Following extensive discussions at the Global Trade Facilitation Forum 20136 on the lack of reliable and sufficiently detailed and regularly updated data on the implementation of trade facilitation in general - and single window and paperless trade in particular -, it was decided that the next survey (2014/15) should be conducted jointly by all United Nations Regional Commissions (UNRCs) at the global level, in cooperation with other interested international organizations.7 对于贸易便利化，特别是单一窗口和无纸贸易的实施情况，一直都没有可靠、详细和 定期更新的数据。2013 年全球贸易便利化论坛6在对这一现状进行了广泛的讨论之后决 定，下一次(2014/15)应由所有联合国区域委员会（UNRCs）协同其他感兴趣的国际组织7 在全球范围内开展贸易便利化实施调查。 3 The scope of the survey was based on the definition and list of trade facilitation measures being discussed by the WTO Negotiation Group on Trade facilitation, but also extended to paperless trade measures, i.e., measures enabling the conduct of trade transactions on the basis of electronic rather than paper-based data and documents. 调查范围是依据世贸组织贸易便 利化谈判组正在讨论的贸易便利化措施的定义与清单而决定的，同时还包括无纸化贸易相关措施，例如利用电子化数据 和文件代替纸质版数据和文件来开展贸易业务的措施。 4 来源：http://unnext.unescap.org/tfforum12-survey.asp. 5 More details are available at http://unnext.unescap.org/tfforum13-survey.asp. 更多详情请访问 http://unnext.unescap.org/tfforum13-survey.asp. 6 Organized jointly by all the UN Regional Commissions (UNRCs) in Bangkok in November 2013. See http://www.unescap.org/events/global-trade-facilitation-conference-2013 由联合国五大区域委员会于 2013 年在曼谷联合举办，详情参见 http://www.unescap.org/events/global-trade-facilitation- conference-2013。 7 The survey has been conducted in close collaboration with OECD, ITC and UNCTAD, as well as several sub-regional organizations, such as SELA in Latin America, and OCO in the South Pacific. 12 This report is therefore part of the new global effort and features the results of the 2015 UNRCs Joint Survey on Trade Facilitation and Paperless Trade implementation for the Asia- Pacific region. It covers 44 developed and developing economies from five 5 different sub- regions. In contrast with the 2012/13 and 2013/14 reports, this year’s report features data on the implementation of trade facilitation measures for Pacific islands and Central Asian economies members of ESCAP. This was achieved thanks to a close collaboration with relevant sub- regional organizations, in particular the Oceania Customs Organization (OCO). 因此，作为全球报告的一部分，该报告主要介绍了由相关联合国区域委员会于 2015 年在亚太地区联合开展的贸易便利化和无纸化贸易实施调查结果。该报告涵盖了来自 5 个 次区域的 44 个发达经济体和发展中经济体。与 2012/13 和 2013/14 的报告相比，今年的报 告主要介绍了太平洋岛屿和中亚地区的亚太经社会会员国的贸易便利化措施实施情况的数 据。这一成果得益于相关次区域组织，特别是大洋洲海关组织（OCO）的紧密配合。 Following an introduction to the survey instrument and methodology in the next section, the report first provides a region-wide overview of implementation of trade facilitation measures across countries, sub-regions and in countries with special needs. This is followed by a closer look at the implementation levels of various groups of trade facilitation measures, as well as a review of the main trade facilitation achievements reported in Asia-Pacific economies over the past year and key challenges faced. The report ends by highlighting some of the key findings and a brief discussion of the way forward towards trade facilitation excellence.8 1.2 章节介绍了调查问卷的编制和数据收集的方法。然后是该区域报告 的主体部分，首先是对亚太区域内各国、次区域和有特殊需求的国家的贸易 便利化措施实施情况的总体概述，随后详细阐述了不同类别的贸易便利化措 施的实施情况，然后是过去一年内亚太经济体就贸易便利化所取得的主要的 成就以及所面临的主要挑战，最后强调说明了主要调查结果，并简要讨论了 贸易便利化的发展前景。8 调查是在与经合组织、国际贸易委员会、联合国贸发会议以及多个次区域组织，例如拉丁美洲的拉丁美洲经济体系以及 南太平洋地区的大洋洲海关组织的密切合作下开展进行的。 8 Survey results for 5 sub-regions of Asia and the Pacific (South-East Asia, South and South-West Asia, North and Central Asia, Pacific Island Developing Economies, and North-East Asia) as well as for 3 groups of Asia-Pacific economies with special needs 13 1.2 Survey Instrument and Methodology 调查工具和方法 The survey instrument was prepared taking into account the final list of provisions included in the WTO Trade Facilitation Agreement (TFA) as well as the content of the draft text of the regional UN treaty on cross-border paperless trade facilitation under negotiation at ESCAP. It covers 38 trade facilitation measures divided into four groups, namely, General trade facilitation measures, Paperless trade, Cross-border paperless trade and Transit facilitation.9 本次调查以问卷的形式进行。问卷由相关方在亚太经社会共同协商编 制，编制过程中参考了世界贸易组织《贸易便利化协定》（TFA）的最终条 款以及亚太跨境无纸贸易便利化协定的草案。问卷共涵盖 4 组、38 项贸易便 利化措施，即一般贸易便利化措施、无纸化贸易、跨境无纸化贸易和过境便 利化。9 As can be seen from Table 2, the General trade facilitation measures – as well as Transit facilitation measures - are essentially measures featured in the WTO TFA. In contrast, most paperless trade and, in particular, cross-border paperless trade measures are not specifically featured in the WTO TFA, although their implementation in many cases would support the better implementation of many of the General trade facilitation measures. It is worth noting that, to ensure comparability of implementation levels across countries, two of the measures classified under Institutional arrangement and cooperation (No. 33, 34), one measure under Paperless trade (No. 20), and one measure under Transit facilitation (No. 35) are excluded from the regional analysis. (Least Developed Countries [LDCs], Landlocked Developing Countries [LLDCs], and Small Island Developing States [SIDs]) are discussed in more details in separate reports to be made available online at: http://unnext.unescap.org/UNTFsurvey2015.asp. We also make available the dataset for further analysis. 亚太地区五个次区域（东南亚、南亚和西南亚、北亚和中亚、太平 洋岛国发展中经济体和东北亚）以及三个特殊经济体（最不发达国家、内陆发展中国家和小岛屿发展中国家）的更多详 细调查结果可参见 http://unnext.unescap.org/UNTFsurvey2015.asp 我们仍会对数据进行进一步的分析。 9 The survey questionnaire is available in full at: http://unnext.unescap.org/tfforum14-survey.asp 调查问卷可查阅 http://unnext.unescap.org/tfforum14-survey.asp。 14 如表 2 所示，一般贸易便利化措施和过境便利化措施都是世界贸易组织 《贸易便利化协定》中的基本内容，而大部分的无纸化贸易，特别是跨境无 纸化贸易措施在该协定中却并没有明确列出，尽管它们的实施在很多情况下 都能促进大多数一般贸易便利化措施的实施。值得注意的是，在对亚太地区 各国的总体实施情况进行统计分析时，为了确保国家间实施水平的可比性， 未对机构安 排 与 合 作 中 的 两 项 （ No.33,34 ） 、 无纸化贸易中 的 一 项 （No.20）以及过境便利化中的一项措施（No.35）的实施情况进行统计。 15 Table 2: Grouping of trade facilitation measures included in the questionnaire Trade facilitation measure (and question No.) in the questionnaire Transparency 2. Publication of existing import-export regulations on the Internet 3. Stakeholder consultation on new draft regulations (prior to their finalization) 4. Advance publication/notification of new regulation before their implementation (e.g., 30 days prior) 5. Advance ruling (on tariff classification) 9. Independent appeal mechanism (for traders to appeal Customs and other relevant trade control agencies’ rulings) Formalities 6. Risk management (as a basis for deciding whether a shipment will be or not physically inspected) 7. Pre-arrival processing 8. Post-clearance audit 10. Separation of Release from final determination of customs duties, taxes, fees and charges 11. Establishment and publication of average release times 12. Trade facilitation measures for authorized operators General TF measures 13. Expedited shipments 14. Acceptance of paper or electronic copies of supporting documents required for import, export or transit formalities. Institutional 1. Establishment of a national trade facilitation committee or similar body arrangement 31. Cooperation between agencies on the ground at the national level and 32. Government agencies delegating controls to Customs authorities cooperation 33. Alignment of working days and hours with neighbouring countries at border crossings, and 34. Alignment of formalities and procedures with neighbouring countries at border crossings 15. Electronic/automated Customs System established (e.g., ASYCUDA) 16. Internet connection available to Customs and other trade control agencies at border- crossings 17. Electronic Single Window System 18. Electronic submission of Customs declarations Paperless trade 19. Electronic Application and Issuance of Trade Licenses 20. Electronic Submission of Sea Cargo Manifests 21. Electronic Submission of Air Cargo Manifests 22. Electronic Application and Issuance of Preferential Certificate of Origin 23. E-Payment of Customs Duties and Fees 24. Electronic Application for Customs Refunds 25. Laws and regulations for electronic transactions are in place (e.g. e-commerce law, e-transaction law) 26. Recognized certification authority issuing digital certificates to traders to conduct electronic transactions Cross-border 27. Engagement of the country in trade-related cross-border electronic data exchange with paperless trade other countries 28. Certificate of Origin electronically exchanged between your country and other countries 29. Sanitary & Phyto-Sanitary Certificate electronically exchanged between your country and other countries 30. Banks and insurers in your country retrieving letters of credit electronically without lodging paper-based documents 35. Transit facilitation agreement(s) with neighbouring country(ies) Transit facilitation 36. Customs Authorities limit the physical inspections of transit goods and use risk assessment 37. Supporting pre-arrival processing for transit facilitation 38. Cooperation between agencies of countries involved in transit 16 表 2：调查问卷中贸易便利化措施分组 调查问卷中的贸易便利化措施（及问题编号） 2. 在互联网公布现有进出口法规 透明化 新拟定法规正式生效前，利益相关方需对其进行磋商 3. 4. 新法规实施前需提前公示/通知（例如 30 天之前） 预裁定（税则归类） 5. 9.独立申诉机制（贸易商对海关及其他相关贸易管制机构裁决的申 诉） 6.风险管理（决定是否对货物进行实物检查的基础） 相关手续 7.抵达前业务办理 8.后续稽查 10. 将货物放行与关税、国内税、规费及费用的最终确定相分离 11. 确定和公布平均放行时间 对经认证的经营者的贸易便利化措施 贸易便利化措施 12. 13.快运 一般 14. 接受进口、出口或过境手续所要求的证明单证的纸质或电子副本。 1. 设立国家贸易便利化委员会或类似机构 31. 国家范围内实地机构之间的合作 机构安排 32. 政府机构下放权力给海关当局 与合作 33.边境邻国工作日和工作时间的协调 34 边境邻国程序和手续的协调 15.建立电子/自动化海关系统（例如海关数据自动化系统） 16.在过境点可通过互联网连接至海关和其他贸易管制机构 17.电子单一窗口系统 电子报关 18. 贸易许可证电子证书的申请和签发 19. 无纸化贸易 20.海运货物清单的电子提交 21.空运货物清单 的 电子提交 22．优惠原产地证书的电子申请和签发 23．关税及规费的电子支付 海关退税的电子申请 24 25.就电子交易出台相关的法律法规（如电子商务法，电子交易法） 26.经授权的证书颁发机构向贸易商颁发从事电子交易所需的数字证书 27. 国家之间贸易相关电子数据的跨境交换率 本国和其他国家间电子原产地证书的交换 28. 跨境无纸化贸易 本国与其他国家间电子卫生证书与电子植物检疫证书的交换 29. 30 本国银行和保险公司在不提供纸质文件的情况下电子查询信用证 35. 邻国间过境便利化协议 36.海关当局减少对过境货物的实物检查并采用风险评估 过境便利化 37.允许在货物抵达前开始办理业务，以实现过境便利化 38. 过境国家相关机构间的合作 17 The dataset was developed following a three-step approach: 数据收集按照三步走方法进行 Step 1. Data submission by experts: The survey instrument was sent by the ESCAP Secretariat to selected trade facilitation experts (from governments, private sector and/or academia) in Asia-Pacific countries as well as the participants to the Asia-Pacific Trade Facilitation Forum 2014,10 to gather preliminary information. The questionnaire was also made publicly available online and disseminated with the support of OECD, ITC, UNCTAD, IRU as well as the United Nations Network of Experts for Paperless Trade and Transport for Asia and the Pacific (UNNExT). In some cases, the questionnaire was also sent to relevant national trade facilitation authorities or agencies and regional trade facilitation partners or organizations. This first step took place essentially between September 2014 and March 2015. 第一步：专家提交数据。为了收集初步信息，联合国亚太经社会秘书处 将调查问卷发放给了特定的亚太国家的贸易便利化专家（来自政府、私营部 门和/或学术界）和 2014 年亚太贸易便利化论坛的与会人员。10同时也将该 调查问卷在网上公开发布，并在经济合作与发展组织、国际贸易中心、联合 国贸易与发展会议、国际道路运输联盟和联合国促进亚太地区无纸化贸易和 交通专家网络（UNNExT）的支持下公开传播。在一些情况下，调查问卷也被 发放给了相关的国家贸易便利化部门或机构以及区域性贸易便利化伙伴或组 织。这一阶段的数据收集工作主要于 2014 年 9 月到 2015 年 3 月进行。 Step 2. Data verification by the ESCAP secretariat: The ESCAP Secretariat cross-checked the data collected in Step 1. Desk research and data sharing among UNRCs and survey partners were carried out to further check the accuracy of data. Face-to-face or telephone interviews with key informants were arranged to gather additional information when needed. The outcome of Step 2 was 10 http://unnext.unescap.org/tfforum14.asp 18 a consistent set of responses per country. Step 2 took place as data was being received from individual experts, essentially between October 2014 and April 2015. 第二步：亚太经社会秘书处进行数据核查。亚太经社会秘书处对第一步 收集的数据进行交叉审核，并在联合国区域委员会和调查伙伴之间进行数据 分享和案头研究，以便进一步核查数据的准确性。必要时还会与关键信息提 供者进行面谈或电话联系以收集更多的信息。这一阶段的成果是为每个国家 建立了统一的数据集。第二步是在收到上述专家的反馈数据后进行的，主要 集中在 2014 年 10 月到 2015 年 4 月。 Step 3. Data validation by national governments: The ESCAP Secretariat sent the completed questionnaire to each national government to ensure that the country had the opportunity to review the dataset and provide any additional information. The feedback from national governments was incorporated to finalize the dataset. Step 3 took place between April and May 2015.11 第三步：各国政府进行数据核对。亚太经社会秘书处将完整的调查问卷 发放给每个国家政府以确保他们有机会审查数据集并能够提供额外的信息。 各国政府的反馈则被纳入最终的数据集中。该阶段的工作于 2015 年 4 月到 5 月期间进行。11 For the purpose of analysis and presentation of the results, General trade facilitation measures have been further divided into three sub-groups, namely, Transparency, Formalities, Institutional arrangement and cooperation, as shown in Table 2. Based on the data collected, each of the trade facilitation measures included in the survey and for which enough information was available was rated either as “fully implemented”, “partially implemented”, “on a pilot basis”, or “not implemented”. 11 Additional inputs on implementation of trade facilitation and paperless trade up to April 2015 in any of the countries covered are most welcome at any time to further improve the quality of the data and update the results to be maintained online.直达 2015 年 4 月对调查中国家贸易便利化和无纸化贸易措施的额外投入，在任何时候都是最受欢迎的，这能够进一步提高 数据质量并保持在线结果的更新。 19 如图 2 所示，为了调查结果的分析和呈现，一般贸易便利化措施被进一 步划分为三个部分，分别是透明化、相关手续和机构安排与合作。基于所收 集的数据和充足的信息，调查中的每一项贸易便利化措施的实施水平可以划 分为“全面实施”、“部分实施”、“试点阶段实施”以及“未实施”。 Definitions for each stage are provided in Annex 1. A score (weight) of 3, 2, 1 and 0 was assigned to each of the 4 implementation stages in order to calculate implementation scores for individual measures across countries, regions or categories. Country groupings used in the analysis are defined in Annex 2. 附录 1 为反映措施实施情况的不同阶段的定义。此外为了计算国家、区 域或者范围内单一措施的实施分数，每一阶段的分数分别定为 3、2、1、0。 附录 2 则介绍了是如何对本次调查分析所涉及的国家进行分组的。 20 [This page has been intentionally left blank] 6 21 2. Trade facilitation implementation in Asia-Pacific: Overview 2. 亚太地区贸易便利化实施情况综述 Figure 1 shows the overall implementation levels of all 44 Asia-Pacific countries based on a common set of 31 trade facilitation and paperless trade measures included in the survey12. The regional average implementation of this comprehensive set of trade facilitation measures stands at 46.5%. The implementation of trade facilitation measures in the region is very heterogeneous. Australia, Republic of Korea and Singapore achieve implementation rates in excess of 85%, while implementation in several other countries barely reaches 15%. 图 1 为本次调查所涉及的 31 项贸易便利化和无纸化贸易措施在各国（共计 44 个亚太国家）的总体实施水平。 12 而整个亚太地区的平均实施水平则为 46.5%。区域内各国在贸易便利化措施的实施水平上相差甚大，澳大利亚、韩国 和新加坡的实施水平超过了 85%，而其他多个国家则仅勉强达到 15%。 Figure 1: Overall implementation of trade facilitation measures in 44 Asia-Pacific countries 100% 80% 60% 40% 20% 0% Transparency Formalities Institutional arrangement and cooperation Paperless trade Cross-border paperless trade 12 Among 38 trade facilitation measures surveyed, three measures including 20. Electronic Submission of Sea Cargo Manifests, 33.Alignment of working days and hours with neighbouring countries at border crossings, and 34. Alignment of formalities and procedures with neighbouring countries at border crossings are excluded for calculating the overall score as they are not relevant to all countries surveyed. Similarly, four transit facilitation measures are also excluded. The overall score of each country is simply a summation of the scores of implementation (3,2,1 or 0) it receives for each trade facilitation measure. The maximum possible (full) score of a country is 93 and the average score across all 44 countries is 43.3 (or 46.5% in percentage term). 在调查的 38 项措施中， 有三项措施因为和受访国家无关，所以其实施分数未计算到总的分数中，分别是 20.海运货物清单电子申报，33.边境邻国工作时间的一致，34.边境 邻国相关手续和程序的一致 。同样的，还有四项运输便利化措施也被排除在外。每个国家总体分数是各项措施完成分数的相加（3、2、1、0）。其 中最高分为 93，44 个国家的平均分为 43.3（百分比为 46.5%）。 22 Source: ESCAP, UNRCs TF Survey 2015 图 1： 44 个亚太国家贸易便利化措施总体实施情况 100% 80% 60% 40% 20% 0% 透明化 相关手续 机构安排与合作 无纸化贸易 跨境无纸化贸易 来源：2015 年联合国亚太经济社会委员会和联合国区域委员会贸易便利化调查 23 In general, more advanced or larger economies are at a higher level of trade facilitation than many other countries in the region, while small or less developed countries, such as LDCs or small Pacific countries, lag behind in the implementation of trade facilitation measures, particularly those related to paperless trade. However, this is not always the case. For example, while both Cambodia and Lao PDR are LDCs, both countries achieve high scores of implementation. Similarly, Maldives achieves a relatively high score although it is a small island developing state (SIDS) that only recently graduated from the LDC group.13 一般来说，，更发达或更大的经济体的贸易便利化措施实施水平要比区域 内许多其他国家的实施水平要高，而欠发达或较小的国家，例如最不发达国家 或太平洋小国，在贸易便利化尤其是无纸化贸易措施的实施水平上则处于落后 位置。然而，情况也并非总是如此。比如说柬埔寨和老挝人民民主共和国都是 最不发达国家，但是他们的实施水平却很高。同样地 ，刚脱离最不发达国家 行列的小岛屿发展中国家马尔代夫也取得了相对较高的分数。13 Further investigation of the level of trade facilitation implementation in relation to economic development shows that, while high income economies systematically have achieved high levels of trade facilitation implementation, implementation levels in low income economies differ dramatically from one country to another, ranging from less than 15% to over 60% (see Figure 2). 有关贸易便利化实施情况同经济发展的关系的进一步调查发现，高收入经 济体均已实现了较高的贸易便利化实施水平，而低收入经济体彼此之间的实施 水平则差异很大，从低于 15%到高于 60%不等（见图 2）。 13 Maldives graduated in 2011. More information is available at: http://www.un.org/en/development/desa/policy/cdp/ldc/ldc_graduated.shtml 马尔代夫于 2011 年成为小岛屿发展中国 家。更多信息可参见 http://www.un.org/en/development/desa/policy/cdp/ldc/ldc_graduated.shtml。 24 Figure 2: Trade facilitation implementation and GDP per capita of 44 Asia-Pacific economies 100 90 (%) 80 70 60 50 implementation 40 30 facilitation 20 10 Trade 0 0 10000 20000 30000 40000 50000 60000 70000 GDP per capita (US$ 2013) Source: ESCAP, UNRCs TF Survey 2015; World Bank World Development Indicators, accessed 29 May 2015. 图 2:44 个亚太经济体的贸易便利化实施情况和人均国内生产总值 100 90 (%) 80 70 60 50 实施 化 40 30 易便利 20 贸 10 ， 0 0 10000 20000 30000 40000 50000 60000 70000 人均国内生产总值（2013） 来源：2015 年联合国亚太经济社会委员会和联合国区域委员会贸易便利化调查；世界银行于 2015 年 5 月 29 日发布的世界发展指标 2.1 Implementation in sub-regions and countries with special needs 2.1 次区域和有特殊需求国家的实施情况 25 Figure 3 presents an overview of the implementation of trade facilitation measures (measured by percentage) in the sub-regions (indicated by the blue diamonds) and the groups of countries with special needs, namely, LLDCs, LDCs and SIDS (indicated by the green triangles), as well as the average level of implementation of each group of countries (indicated by the red bars). Aside from Australia and New Zealand (AU&NZ), the highest average level of implementation is obtained by East and North-East Asia (ENEA) at 70%, followed by South-East Asia (SEA), North and Central Asia (NCA) and South and South-West Asia (SSWA). Pacific Island Developing Economies (PIDEs) average implementation lags far behind other sub-regions at only 25%. 图 3 概述了在次区域（用蓝色菱形表示）和有特殊需求的国家，即内陆发 展中国家、最不发达国家和小岛屿发展中国家（用绿色三角形表示），贸易便 利化措施的实施水平（以百分比衡量）以及各组国家的平均实施水平（用红色 条表示）。除了澳大利亚和新西兰（AU&NZ），东亚和东北亚（ENEA）的实施 水平最高，达到了 70%，紧随其后是东南亚（SEA）、北亚和中亚（NCA）以及 南亚和西南亚（SSWA）。太平洋岛国发展中经济体（PIDEs）的平均实施水平 则远远落后于其他次区域，仅达到了 25%。 26 Figure 3: Trade facilitation implementation in Asia-Pacific sub-regions and countries with special needs 100% 90% 80% 70% 60% 50% 40% 30% 20% 10% 0% Australia & East and South-East North and South and Pacific Island Landlocked Least Small Island New Zealand North-East Asia Central Asia South-West Developing Developing Developed Developing Asia Asia Economies Countries Countries States Trade Facilitation Implementation of individual economies (%) Average Trade Facilitation Implementation of the group (%) Source: ESCAP, UNRCs TF Survey 2015 图 3：亚太地区次区域和有特殊需求国家的贸易便利化实施情况 100% 90% 80% 70% 60% 50% 40% 30% 20% 10% 0% 澳大利亚 东亚和 东南亚 北亚和 南亚和 太平洋岛国 内陆发展中 最不发达 小岛屿 和新西兰 东北亚 中亚 西南亚 发展中 国家 国家 发展中 经济体 国家 单一经济体贸易便利化实施情况（ ） % 区域平均贸易便利化实施情况（ ） % 来源：2015 年联合国亚太经济社会委员会和联合国区域委员会贸易便利化调查 27 Trade facilitation implementation varies widely within each sub-regional grouping. Differences in trade facilitation implementation levels are widest in South-East Asia, but this is essentially due to Myanmar and Timor-Leste, two economies that have only recently been able to actively engage in international trade. In fact, regional integration processes appear to have played a significant and positive role in trade facilitation implementation, with several LDCs in ASEAN, where regional cooperation on trade facilitation has long been promoted, achieving higher implementation rates than LDCs in other sub-regions. Differences in trade facilitation implementation levels are smallest within PIDEs, which might also be explained by the strong emphasis of on-going economic cooperation initiatives in this sub-region on trade facilitation – but arguably more likely by the fact that these small and generally isolated economies all face relatively similar implementation constraints. 每个次区域内各国的贸易便利化实施情况存在着很大的差异。其中差异最 大的就是东南亚，但这主要是因为缅甸和东帝汶两个经济体最近才开始积极开 展国际贸易业务。事实上，区域一体化进程对于促进贸易便利化措施的实施似 乎有着积极而重要的作用，东南亚国家联盟长期致力于推进贸易便利化方面的 区域合作，因此这一区域的一些最不发达国家要比其他次区域的最不发达国家 的实施水平要高。而贸易便利化实施情况差异最小的是太平洋岛国发展中经济 体。这可能是因为该区域特别强调要在贸易便利化的实施过程中不断开展经济 合作，但更有可能是由于这些小而独立的经济体在贸易便利化的实施过程中都 面临着比较相似的约束条件。 Countries with special needs in the Asia-Pacific region face particular challenges in implementation of trade facilitation, in particular paperless trade and cross-border paperless trade measures. This is reflected in the average implementation level of these countries, which varies between 25 and 35% depending on the group of countries considered (see Figure 3). Interestingly, LLDCs 28 as a group appear to have achieved higher levels of trade facilitation on average than LDCs or SIDSs. This is welcome news given the particular importance of trade facilitation for these economies and the strong support of development partners to supporting implementation of trade and transport facilitation in LLDCs, including in the context of the Almaty Programme of Action (APoA).14 从亚太地区有特殊需求的国家的平均实施水平就能看出，它们在实施贸 易便利化尤其是无纸化和跨境无纸化贸易措施时面临着特殊的挑战，不同区 域的平均实施水平从 25%到 35%不等（见图 3）。有趣的是，与最不发达国家 和小岛屿发展中国家相比，内陆发展中国家的贸易便利化平均实施水平要相 对较高。考虑到贸易便利化对内陆发展中国家的特殊重要性，以及其发展伙 伴在《阿拉木图行动纲领》14的指导下，对于其贸易便利化和过境交通便利化 实施的大力支持来说，这无疑是一个好消息。 2.2 Most and least implemented trade facilitation measures 2.2 实施最多和最少的贸易便利化措施 All countries are engaged in implementation of various measures aimed at enhancing the transparency of trade procedures, as well as in reducing the formalities associated with them. While implementation levels vary greatly across countries for all categories of trade facilitation measures, differences in overall implementation scores across countries are exacerbated by wide differences among countries in the level of implementation of paperless trade measures, in particular cross-border paperless trade. Indeed, while all but two economies in the region have taken steps towards implementation of paperless trade, nearly a quarter of the countries have not implemented, even at the pilot stage, any measure related to cross-border paperless trade, i.e., the exchange and legal recognition of electronic trade data and documents across borders with trade partners. 14 http://www.unescap.org/events/final-regional-review-almaty-programme-action-addressing-special-needs-landlocked- developing 29 所有国家都在实施各项旨在提高贸易程序透明化以及减少相关贸易手续的 贸易便利化措施。各国在各类贸易便利化措施的实施水平上相差较大，而对于 无纸化贸易，特别是跨境无纸化贸易的实施则差异更大，进而加剧了各国在贸 易便利化和无纸化贸易总体实施水平方面的差异。事实上，尽管除了两个经济 体以外，该区域的所有国家都已经开始采取措施推进无纸化贸易的实施，但仍 有将近四分之一的国家还未实施任何与跨境无纸化贸易相关的措施，即跨境贸 易伙伴间电子数据和文件的交换及法律认证，甚至还未进入试点阶段。 Overall, as shown in Figure 4 and Table 3, “transparency” measures, including measures such as Stakeholder consultation on new draft regulations prior to implementation; or Publication of existing import-export regulations on the internet, have been the best implemented (regional average implementation > 60%), followed by “transit facilitation” measures (57%). Measures aimed at reducing or speeding-up “formalities”, in particular implementation of Risk management and Pre-arrival processing of documents, have also been given serious attention in many economies of the region, with the regional average implementation rate exceeding 50% in that category. Regional average implementation also reaches 50% for measures related to “institutional arrangements and inter-agency cooperation” (50%), in particular as many countries are working on Establishment of national trade facilitation committees. 总体而言，如图 4 和表 3 所示，包括例如新拟定法规正式生效前，利益相 关方需对其进行磋商或需在互联网上公布现有的进出口法规在内的“透明化” 措施的实施水平是最高的（区域平均水平大于 60%），其次是“过境便利化” 措施（57%）。此外，旨在减少或加快“相关手续”的措施，特别是风险管理 和抵达前单证处理，也得到了该地区很多经济体的高度关注，其区域平均实施 水平超过了 50%。因为很多国家都在致力于设立国家贸易便利化委员会，因此 30 “机构安排和机构间合作”（50%）相关措施的区域平均实施水平也达到了 50%。 The regional average level of implementation of “paperless trade” measures also stands close to 50%. However, implementation varies greatly depending on the individual measures considered. For example, while Internet connections available to Customs and other trade control agencies at border-crossings and Electronic/automated Customs System are partially or fully implemented in nearly all countries, facilities enabling the Electronic application and Issuance of Preferential Certificate of Origin have yet to be considered for implementation in many economies. Similarly, while many economies have developed legal frameworks to enable paperless trade, implementation of “cross-border paperless trade” has yet to begin in many developing countries. 就“无纸化贸易”措施整体而言，其区域平均实施水平也接近 50%了，然 而单个措施的实施水平却有着很大的差异。例如，在过境点可通过互联网连接 至海关和其他贸易管制机构和建立电子/自动化海关系统在几乎所有国家都已 开始部分或全面实施，而优惠原产地证书的电子申请和签发在很多国家还未被 列入考量范畴。同样地，很多经济体为实施无纸化贸易已经建立了相应的法律 法规框架，而“跨境无纸化贸易”在很多发展中国家却还未开始实施。 The next section reviews regional implementation of the 6 groups of measures featured in Figure 4 in more details. 下一节详细概述了图 4 中提及的 6 组措施的区域实施情况。 31 Figure 4: Implementation of different groups of trade facilitation measures: Asia-Pacific average 100% 80% 60% 40% 20% 0% Transparency Formalities Institutional Paperless trade Cross-border Transit facilitation arrangement and paperless trade cooperation Note: Blue dots show regional average implementation level of individual measures within each group. Average regional implementation level by groups of measures. Source: ESCAP, UNRCs TF Survey 2015 图 4：不同贸易便利化措施的实施情况：亚太地区平均水平 100% 80% 60% 40% 20% 0% 透明化 相关手续 机构安排 无纸化贸易 跨境无纸化 过境便利化 与合作 贸易 注：蓝色圆点为每组措施内单一措施的区域平均实施水平 每组措施整体的区域平均实施水平 来源：2015 年联合国亚太经济社会委员会和联合国区域委员会贸易便利化调查 32 Table 3: Most and least implemented measures in Asia-Pacific (within each group of trade facilitation measures) Most implemented Least implemented 1. Stakeholder consultation on new draft 1. Advance ruling (on tariff classification) regulations (prior to their implementation) 2. Advance publication/notification of new regulation Transparency 2. Publication of existing import-export before their implementation regulations on the internet 1. Risk management 1. Establishment and publication of average release Formalities 2. Pre-arrival processing times 2. Trade facilitation measures for authorized operators Institutional 1. Cooperation between agencies on the 1. Government agencies delegating controls to arrangement ground at the national level Customs authorities And 2. Establishment of National Trade cooperation Facilitation Committee 1. Internet connection available to Customs 1. Electronic Application and Issuance of Preferential Paperless and other trade control agencies at border- Certificate of Origin Trade Crossings 2. Electronic Application for Customs Refunds 2. Electronic/automated Customs System 1. Laws and regulations for electronic 1. Banks and insurers retrieving letters of credit Cross-border Transactions electronically without lodging paper-based documents paperless 2. Recognised certification authority 2. Electronic exchange of Sanitary & Phyto-Sanitary trade Certificate - Cooperation between agencies of countries 1. Supporting pre-arrival processing for transit involved in transit facilitation Transit - Customs authorities limit the physical facilitation inspections of transit goods and use risk Assessment Source: ESCAP, UNRCs TF Survey 2015 33 表 3：亚太地区实施最多和最少的贸易便利化措施（组内对比） 实施水平最高 实施水平最低 1. 新拟定法规正式生效前，利益相关方需 1. 预裁定（税则归类） 对其进行磋商 2. 新法规实施前需提前公示/通知 透明化 2. 在互联网公布现有进出口法规 1. 风险管理 1. 确定和公布平均放行时间 相关手续 2. 抵达前业务办理 2. 对经认证的经营者的贸易便利化措施 机构安排 1.国家范围内实地机构之间的合作 1. 政府机构下放权力给海关当局 和合作 2. 设立国家贸易便利化委员会 1. 在过境点可通过互联网连接至海关和 1. 优惠原产地证书的电子申请和签发 无纸化 其他贸易管制机构 贸易 2. 海关退税的电子申请 2.电子/自动化海关系统 1. 电子交易相关法律法规的出台 1. 银行和保险公司在不提供纸质文件的情况下电子查 跨境 询信用证 无纸化 2. 经授权的证书颁发机构 2. 电子卫生证书与电子植物检疫证书的交换 贸易 - 过境国家相关机构间的合作 1. 允许在货物抵达前开始办理业务，以实现过境便利 化。 过境 - 海关当局对过境货物实物检查的限制和风 险评估的采用 便利化 来源：2015 年联合国亚太经济社会委员会和联合国区域委员会贸易便利化调查 34 [This page has been intentionally left blank] 35 3. Implementation of trade facilitation measures: A closer look 3．各类别贸易便利化措施实施情况 3.1 “Transparency” measures 3.1 “透明化”措施 Five trade facilitation measures included in the survey can be categorized as “transparency” measures. They relate to Articles 1-5 of the WTO TFA and GATT Article X on Publication and Administration of Trade Regulations. Figure 5 confirms that the average level of implementation of all five “transparency” measures across the region is well in excess of 50%, indicating a significantly higher level of implementation as compared to other types of measures. It also shows that implementation levels of these measures across sub-regions vary widely, with East-Asia achieving near full implementation of these measures. Implementation of advance rulings is found to be particularly lacking in both North and Central Asia and the Pacific Islands Developing Economies. 本次调查所涉及的基本贸易便利化措施中，有五项可被归类为“透明化” 措施，该五项措施具体可参见世界贸易组织《贸易便利化协定》第 1-5 条和 《关税及贸易总协定》第十条贸易条例的公布和实施。由图 5 可见，五项“透 明化”措施在整个亚太地区的平均实施水平均超过了 50%，明显高于其他类型 的措施。从图中还可看出，该五项措施在次区域内的实施水平相差甚大，其中 东亚的实施水平几乎是 100%。而“预裁定”这项措施的实施水平，在北亚、中 亚和太平洋岛国发展中经济体中则普遍很低。 36 Figure 5: Implementation of “transparency” measures: Asia-Pacific average Publication of existing import-export regulations on the internet 100% 50% Stakeholder consultation on new draft regulations Independent appeal mechanism (prior to their finalization) 0% Advance publication/notification of new regulation Advance ruling (on tariff classification) before their implementation Asia-Pacific average South-East Asia average East and North-East Asia average North and Central Asia average South and South-West Asia average Pacific Island Developing Economies average Source: ESCAP, UNRCs TF Survey 2015 图 5：“透明化”措施实施情况：亚太地区平均水平 在互联网公布现有的进出口法规 100% 50% 新拟定法规正式生效前，利益相关方需对其进 行磋商 独立申诉机制 0% 新法规实施前需提前公示/通知 预裁定（税则分类） 亚太地区平均水平 东南亚平均水平 东亚和东北亚平均水平 北亚和中亚平均水平 南亚和西南亚平均水平 太平洋岛国发展中经济体平均水平 37 来源：2015 年联合国亚太经济社会委员会和联合国区域委员会贸易便利化调查 Figure 6 lists the number of countries that have fully and partially implemented “transparency” measures in descending order. Stakeholder consultation on new draft regulations (prior to their finalization) is the most implemented “transparency” measure in the region, as more than 95% of the 44 economies have either fully or partially implemented it. 图 6 纵坐标为整体实施水平从高到低的五项 “透明化”措施，横坐 标为符合相应实施情况的国家数量占亚太总国家数量的百分比。新拟定法 规正式生效前，利益相关方需对其进行磋商是该地区实施最好的措施，44 个国家中超过 95%的国家都全面或部分地实施了该措施。 Figure 6: State of implementation of “transparency” measures for trade facilitation in Asia- Pacific economies (in %) Stakeholder consultation on new draft regulations (prior to their finalization) Publication of existing import-export regulations on the internet Independent appeal mechanism Advance ruling (on tariff classification) Advance publication/notification of new regulation before their implementation 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% Fully Implemented Partially Implemented Pilot Stage of Implementation Not Implemented Don't Know Source: ESCAP, UNRCs TF Survey 2015 38 图 6：亚太经济体“透明化”措施实施情况（百分比） 新拟定法规正式生效前，利益相关方需对 其进行磋商 在互联网公布现有的进出口法规 独立申诉机制 预裁定（税则归类） 新法规实施前需提前公示/通知 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% 全面实施 部分实施 试点阶段实施 未实施 不清楚 来源：2015 年联合国亚太经济社会委员会和联合国区域委员会贸易便利化调查 The least implemented “transparency” measures are Advance ruling (on tariff classification) and Advance publication/notification of new regulation before their implementation. However, both have been already either fully or partially implemented by 75 per cent of the countries (or 33 countries) in the region. Two countries, namely Azerbaijan and Mongolia, are implementing these two measures on a pilot basis. Nine countries have not started implementing them yet. 实施情况最差的“透明化”措施是预裁定（税则归类）和新法规实施前 需提前公示/通知。然而，这两项措施其实也已经在该地区 75%的国家（即 33 个国家）中全面或部分实施。阿塞拜疆和蒙古正在试点阶段，还有九个国 家还未开始实施。 The other two measures in this group, Publication of existing import-export regulations on the internet and Independent appeal mechanism, have been implemented by most countries surveyed. Interestingly, although these two measures are not the most implemented measures in this group when partial 39 implementation is taken into account, they have been “fully implemented” in more countries than any other measures in this group. This may be partly due to the fact that it is indeed much easier to assess whether these two measures have been fully implemented than to determine whether sufficient and systematic consultations on trade regulations are taking place – in turn suggesting the possible need to develop more detailed implementation criteria or guidelines regarding that measure. 这组措施中的另外两项措施在互联网公布现有的进出口法规和独立申诉 机制在参与调查到的大部分国家中也都已开始实施。有趣的是，就实施国家 总数而言（包括部分实施的国家在内），这两项措施并不是该组中实施最多 的，但就全面实施的国家数量而言，它们却是组内最多的。部分原因可能是 评估这两项措施是否得到全面实施比确定是否就贸易法规开展了充分和系统 的磋商要更容易，而这也表明，就新拟定法规正式生效前，利益相关方需对 其进行磋商这项措施而言，可能还需要制定出更详细的实施标准或指导方 针。 40 3.2 “Formalities” facilitation measures 3.2“相关手续”便利化措施 Eight of the general trade facilitation measures included in the survey are categorized as “formalities” facilitation measures, aimed at streamlining and/or expediting regulatory trade procedures. They relate to Articles 6-10 of the WTO TFA and GATT Article VIII on “Fees and Formalities connected with Importation and Exportation”. The level of implementation at the regional level is found to vary significantly across measures in this group (Figure 7). Risk management, Pre- arrival processing and, to a lesser extent, Post-clearance audit, are well on their way to be implemented. In contrast, the implementation of Trade facilitation measures for authorized operators and Establishment and publication of average release times has been generally limited, although countries in both the East and North-East Asia and South-East Asia sub-regions seem to have implemented both of them to a significant extent. 本次调查所涉及的基本贸易便利化措施中，有八项可被归类为“相关手 续”便利化措施，旨在精简和/或加快监管类贸易程序。该八项措施具体可参 见世界贸易组织《贸易便利化协定》第 6-10 条和《关税及贸易总协定》第 八条“进出口相关的费用和手续”。调查发现，这八项措施在区域层面的实 施水平有着显著的不同（参见图 7）。其中，风险管理、抵达前业务办理以 及实施水平紧随其后的后续稽查措施都正在顺利推进。相比之下，对经认证 的经营者的贸易便利化措施以及确定和公布平均放行时间在整个亚太区域的 平均实施水平则较低，尽管东亚、东北亚以及东南亚这些次区域的国家都在 很大程度上执行了这些措施。 41 Figure 7: Implementation of trade “formalities” facilitation measures: Asia-Pacific average Risk management 100% Acceptance of paper or electronic copies of supporting documents required for import, export Pre-arrival processing or transit formalities 50% Expedited shipments 0% Post-clearance audit Trade facilitation measures for Separation of Release from final determination of authorized operators customs duties, taxes, fees and charges Establishment and publication of average release times Asia-Pacific average South-East Asia average East and North-East Asia average North and Central Asia average South and South-West Asia average Pacific Island Developing Economies average Source: ESCAP, UNRCs TF Survey 2015 图 7：“相关手续”便利化措施实施情况：亚太地区平均水平 风险管理 100% 接受进口、出口或过境手续所要求的证明单证 的纸质或电子副本 抵达前业务办理 50% 快运 0% 后续稽查 对经认证的经营者 的贸易便利化措施 将货物放行与关税、国内税、规费及费用的 最终确定相分离 确定和公布平均放行时间 亚太地区平均水平 东南亚平均水平 东亚和东北亚平均水平 北亚和中亚平均水平 南亚和西南亚平均水平 太平洋岛国发展中经济体平均水平 来源：2015 年联合国亚太经济社会委员会和联合国区域委员会贸易便利化调查 42 Figure 8 shows that Risk management has been implemented by 41 countries, or 93% of the Asia-Pacific countries surveyed, although in some cases only on a pilot basis. Pre-arrival processing has been partially or fully implemented by over 85% of the countries (38 countries). Two other measures, namely, Post-clearance audit and Separation of release from final determination of customs duties, taxes, fees and charges, have also been either fully or partially implemented by 75% of the countries surveyed. However, the latter is much less fully implemented than other popular measures in this group (i.e., by less than 25% of the countries), suggesting that countries may need relatively more support and guidance to complete implementation of that particular measure. 由图 8 可知，参与调查的国家中，有 41 个国家（即 93%的亚太国家）实 施了风险管理这一措施，尽管有些国家还只是试点阶段。有超过 83%的国家 （即 38 个国家）部分或全面实施了抵达前业务办理这一措施。其余两项措 施，后续稽查和将货物放行与关税、国内税、规费及费用的最终确定相分离 也已在 75％的国家中全面或部分实施。然而，就全面实施的国家数量而言， 后者相较于其他受欢迎的措施要明显偏少一点（少于 25%的国家执行了这一 措施），这表明各国可能需要相对更多的支持和指导才能完成将货物放行与 关税、国内税、规费及费用的最终确定相分离这一措施的实施。 43 Figure 8: State of implementation of trade “formalities” facilitation measures in Asia-Pacific economies (in %) Risk management Pre-arrival processing Post-clearance audit Separation of Release from final determination of customs duties, taxes, fees and charges Acceptance of paper or electronic copies of supporting documents required for import, export or transit formalities Expedited shipments Trade facilitation measures for authorized operators Establishment and publication of average release times 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% Fully Implemented Partially Implemented Pilot Stage of Implementation Not Implemented Don't Know Source: ESCAP, UNRCs TF Survey 2015 图 8：亚太经济体“相关手续”贸易便利化措施实施情况（百分比） 风险管理 抵达前业务办理 后续稽查 将货物放行与关税、国内税、规费及费用的 最终确定相分离 接受进口、出口或过境手续所要求的证明单证 的纸质或电子副本 快运 对经认证的经营者的贸易便利化措施 确定和公布平均放行时间 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% 全面实施 部分实施 试点阶段实施 未实施 不清楚 来源：2015 年联合国亚太经济社会委员会和联合国区域委员会贸易便利化调查 Acceptance of copies of supporting documents instead of originals as well as measures to facilitate Expedited (express) shipping is fully implemented in 30% of the countries, and is under implementation in a majority of countries of the region. This is a welcome finding, as both measures are particularly important facilitation 44 measures for small and medium size enterprises less frequently involved in trade transactions or shipping low volumes of goods. 就接受进口、出口或过境手续所要求的证明单证的纸质或电子副本以及 促进快运这两项措施而言，除了在 30％的国家中得到全面实施以外，该区域 大多数国家也都有在实施。这是一个令人可喜的发现，因为这两个措施对于 较少参与贸易交易或商品运送量较少的中小企业来说是尤为重要的促进措 施。 As mentioned earlier, two measures in this group particularly stand out as poorly implemented. Authorized economic operator programmes have been initiated in less than 50% of the countries. Similarly, a majority of countries have not initiated Establishment and publication of average release times, with only 14 countries considered to have partially or fully implemented this measure. The fact that a significant number of countries seem to have conducted time release studies on a pilot basis is encouraging, however. 正如前面所提到的，这组措施中有两项的执行力度明显欠佳。其中一项 是经认证的经营者，只在不到 50%的国家着手实施。同样地，大部分国家也 并未执行确定和公布平均放行时间这一举措，仅有 14 个国家被认为是有全 面或部分实施该措施的。但是，放行时间研究似乎在相当数量的国家已进入 试点阶段，这一发现还是很鼓舞人心的。 45 3.3 “Institutional arrangement and cooperation” measures 3.3 “机构安排与合作”措施 Three trade facilitation measures featured in the survey are grouped under “Institutional and cooperation” measures. These relate to the long-standing recommendation that a national trade facilitation body and other measures be implemented to ensure coordination and cooperation among the various government agencies and other stakeholders involved in facilitating trade.15 All three measures are also specified in various Articles of the WTO TFA. 本次调查所涉及的贸易便利化措施中，有三项可被归类为“机构安排与 合作”便利化措施。这些举措关乎一个长期建议，即设立国家贸易便利化委 员会以及采取其他相应措施来确保各政府机构和其他贸易便利化进程中的利 益相关者之间的协调与合作15。这三项措施在世界贸易组织《贸易便利化协 定》中的相关条款中也有详细说明。 Figure 9: Implementation of “institutional arrangement and cooperation” measures: Asia-Pacific average National Trade Facilitation Committee 100% 50% 0% Government agencies delegating Cooperation between agencies on the controls to Customs authorities ground at the national level Asia-Pacific average South-East Asia average East and North-East Asia average North and Central Asia average South and South-West Asia average Pacific Island Developing Economies average 15 See, for example, UN/CEFACT Recommendation No. 4 on establishment of national trade facilitation bodies, first issued in 1974. 参见 1974 年首次发布的联合国贸易便利化与电子商务中心四号建议书中有关设立国家贸易便利化机构的内容。 46 Source: ESCAP, UNRCs TF Survey 2015 图 9：“机构安排与合作”措施的实施情况：亚太地区平均水平 设立国家贸易便利化委员会 100% 50% 0% 政府机构下放权力给海关当局 国家范围内实地机构之间的合作 亚太地区平均水平 东南亚平均水平 东亚和东北亚平均水平 北亚和中亚平均水平 南亚和西南亚平均水平 太平洋岛国发展中经济体平均水平 来源：2015 年联合国亚太经济社会委员会和联合国区域委员会贸易便利化调查 Figure 9 shows that National Trade Facilitation Committee and Cooperation between agencies on the ground at the national level have already been quite extensively implemented in the region and most sub-regions. In contrast, implementation levels of mechanisms enabling Government agencies to delegate controls to Customs authorities remain well under 50%. This is particularly the case in North and Central Asia and South and South-West Asia where the implementation level of this measure is near 0%. 图 9 表明，设立国家贸易便利化委员会和国家范围内实地机构之间的合 作已经在亚太区域和大多数次区域得到了广泛的实施。相比之下，让政府机 构下放权力给海关当局的相关机制的执行水平却仍处于 50%以下。特别是在 北亚、中亚、南亚和西南亚地区，该举措的执行水平几乎是 0%。 47 Figure 10: State of implementation of “institutional arrangement and cooperation” measures for trade facilitation in Asia-Pacific economies (in %) Cooperation between agencies on the ground at the national level National Trade Facilitation Committee Government agencies delegating controls to Customs authorities 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% Fully Implemented Partially Implemented Pilot Stage of Implementation Not Implemented Don't Know Source: ESCAP, UNRCs TF Survey 2015 图 10：亚太经济体 “机构安排与合作” 贸易便利化措施的实施情况（百分比） 国家范围内实地机构之间的合作 设立国家贸易便利化委员会 政府机构下放权力给海关当局 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% 全面实施 部分实施 试点阶段实施 未实施 不清楚 来源：2015 年联合国亚太经济社会委员会和联合国区域委员会贸易便利化调查 48 While Cooperation between agencies is being implemented by almost all countries (97%), the results show that implementation has been essentially partial. In fact, only 7 countries have fully implemented that measure, highlighting the fact that strengthening cooperation among agencies is an on-going process. Arguably, the ultimate form of inter-agency collaboration is the delegation of authority by one or more agencies to another, as suggested by the measure Government agencies delegating controls to Customs authorities. Not surprisingly, this latter measure has only been implemented in very few countries and over 70% of the countries (33 of 44) have yet to take any action towards its implementation. 虽然几乎所有亚太国家（97%）都实施了机构间合作这一举措，但是调 查结果表明，绝大多数国家都只是部分而未全面实施。事实上，只有 7 个国 家全面实施了这一措施，进一步突出了这样一个事实：加强机构间的合作是 一个需要不断付出努力的持续过程。正如政府机构下放权力给海关当局这一 措施中所建议的，机构间合作的最终形式是由一个或多个机构向另一个机构 进行授权。鉴于机构间合作的实施情况，政府机构下放权力给海关当局这一 措施也不出意外地仅在很少几个国家得到了实施，超过 70%的国家（即 44 个 国家中的 33 个）目前尚未采取任何行动去执行这一措施。 The most fully implemented measure of the three measures considered in this group is Establishment of National Trade Facilitation Committee. Establishment of such a committee is mandatory for all countries intent on ratifying the WTO TFA.16 Approximately 75% of the countries have already established such a body, although it remains often unclear whether that body is fully operational or has the authority and membership necessary to support effective trade facilitation reforms. 这三项措施中被全面实施最多的就是设立国家贸易便利化委员会。设立 这样一个机构对所有打算接受世界贸易组织《贸易便利化协定》的国家来说 49 都是强制性的要求。16大约有 75%的国家已经设立了这样的一个机构，但在大 多数情况下都无法评估该机构是否已开始全面运作或者是否具备有效支持贸 易便利化改革的权力和资格。 16See Article 23.2 of the WTO TFA. 参见世界贸易组织《贸易便利化协定》第 23 条第 2 项。 50 3.4 “Paperless trade” measures 3.4 “无纸化贸易”措施 Nine of the trade facilitation measures included in the survey are categorized as “paperless trade” measures. All these measures involve the use and application of modern information and communications technologies (ICT) to trade “formalities”, starting from the availability of internet connections at border- crossings and customs automation to full-fledge electronic single window facilities. Many of the measures featured here are closely related to those specified in the WTO TFA, although the new WTO agreement typically only encourages economies to work towards implementation of such measures, rather than make them a requirement.17 本次调查所涉及的贸易便利化措施中，有九项可以归类为“无纸化贸易” 措施。从在过境点可通过互联网连接至海关和其他贸易管制机构、建立自动化 海关系统到全面的电子化单一窗口设施，所有“无纸化贸易”措施都涉及了在 贸易“相关手续”中使用和应用现代信息和通信技术（ICT）。本次调查所涉及 的多项“无纸化贸易”措施都与世界贸易组织《贸易便利化协定》中的措施密 切相关，尽管后者只是鼓励而并未强制要求各经济体去执行这些措施。17 17 An example of this is the WTO TFA Article 10.3 on Single Window, which reads as follows: “Members shall endeavour to establish or maintain a single window, enabling traders to submit documentation and/or data requirements for importation, exportation, or transit of goods through a single entry point to the participating authorities or agencies... Members shall, to the extent possible and practicable, use information technology to support the single window.” 例如世界贸易组织《贸易便利化协定》第 10 条第 3 点对 于单一窗口是这样规定的：“各成员应努力建立或设立单一窗口，使贸易商能够通过一单一接入点向参与的主管机关或机构 提交货物进口、出口或过境的单证和/或数据要求。……各成员应在可能和可行的限度内，使用信息技术支持单一窗口。” 51 Figure 11: Implementation of “paperless trade” measures: Asia-Pacific average Electronic/automated Customs System 100% Internet connection available to Customs and Electronic Application for Customs Refunds other trade control agencies at border-crossings 50% E-Payment of Customs Duties and Fees Electronic Single Window System 0% Electronic Application and Issuance of Electronic submission of Customs declarations Preferential Certificate of Origin Electronic Application and Issuance of Trade Electronic Submission of Air Cargo Manifests Licenses Asia-Pacific average South-East Asia average East and North-East Asia average North and Central Asia average South and South-West Asia average Pacific Island Developing Economies average Source: ESCAP, UNRCs TF Survey 2015 图 11：“无纸化贸易”措施实施情况：亚太地区平均水平 电子/自动化海关系统 100% 海关退税的电子申请 在过境点可通过互联网连接至海关和其 他贸易管制机构 50% 关税及规费的电子支付 电子单一窗口系统 0% 优惠原产地证书的电子申请和签发 电子报关 贸易许可证的电子申请和发放 空运货物清单的电子提交 亚太地区平均水平 东南亚平均水平 东亚和东北亚平均水平 北亚和中亚平均水平 南亚和西南亚平均水平 太平洋岛国发展中经济体平均水平 来源：2015 年联合国亚太经济社会委员会和联合国区域委员会贸易便利化调查 52 The regional and sub-regional average levels of implementation of the nine measures considered under “paperless trade” vary widely, as shown in Figure 11. At the regional level, Internet connection available to Customs and other trade control agencies at border-crossings, availability of Electronic/automated Customs System, along with Electronic submission of Customs Declarations, are among the most implemented measures of all trade facilitation measures included in the survey. In contrast, regional implementation of almost all other measures, including Electronic application and issuance of Preferential Certificates of Origin and Trade Licenses are well below the overall regional implementation average. The implementation levels of “paperless trade” measures in South-East Asia and East and North-East Asia exceed those in the other sub-regions, especially for Electronic Single Window System, Electronic application and issuance of trade licenses and Electronic submission of air cargo manifests (particularly in East and North-East Asia’s case). 正如图 11 所示，“无纸化贸易”项下的九项措施在整个亚太区和各次区域 的平均实施水平彼此差异很大。从整个亚太区层面来说，在过境点可通过互联 网连接至海关和其他贸易管制机构、有效的电子/自动化海关系统和电子报关均 为本次调查中被实施最多的措施。相比之下，包括优惠原产地证书和贸易许可 证的电子申请和签发在内的几乎所有其他的措施的区域实施水平则远远低于 “无纸化贸易”措施在亚太区域的整体平均实施水平（参见图 4）。就“无纸化 贸易”各项措施在次区域的平均实施水平而言，东南亚、东亚和东北亚要高于 其他次区域，尤其是就电子单一窗口系统、贸易许可证的电子申请和发放以及 空运货物清单的电子申提交这三项措施而言（特别是东亚和东北亚区域）。 53 Recognizing the importance of having the basic ICT infrastructure and services in place to enable “paperless trade”, nearly all countries (96%) have fully, partially, or on a pilot basis, made available Internet connection to trade control agencies at border-crossings (see Figure 12). Electronic/automated Customs System are fully implemented in more than half of the countries of the region, and are in any case available at the main Customs station(s) of 39 of 44 countries included in the survey. Similarly, Electronic submission of Customs Declaration has been fully or partially implemented by 14 and 24 countries, respectively (or 86% of the countries surveyed). Electronic payment of Customs duties is also at least partially available in a majority of the countries surveyed, with a significant number of countries currently pilot testing e-payment systems. 因为意识到具备信息通信技术基础设施和服务对实现“无纸化贸易”起 着重要的作用，几乎所有的国家（96%）已开始全面、部分或在试点阶段有 效实施了过境点贸易管制机构网络连接措施（见图 12）。此外，有超过一半 的亚太国家全面实施了电子/自动化海关系统这一措施，而且调查中 44 个国 家中的 39 个国家的主要海关站点都使用了该系统。同样地，全面以及部分 实施电子报关的国家数量分别为 14 和 24 个（86%的受访国家）。同时，大 多数接受调查的国家都已部分或全面实施了关税的电子支付这一措施，其中 相当数量的国家目前正在试行电子支付系统。 54 Figure 12: State of implementation of “paperless trade” measures in Asia-Pacific economies (in %) Internet connection available to Customs and other trade control… Electronic/automated Customs System Electronic submission of Customs declarations E-Payment of Customs Duties and Fees Electronic Submission of Air Cargo Manifests Electronic Single Window System Electronic Application and Issuance of Trade Licenses Electronic Application for Customs Refunds Electronic Application and Issuance of Preferential Certificate… 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% Fully implemented Partially implemented Pilot stage of implementation Not Implemented Don't know Source: ESCAP, UNRCs TF Survey 2015 图 12：亚太经济体“无纸化贸易”措施实施情况（百分比） … 在过境点可通过互联网连接至海关 和其他贸易管制机构 电子/自动化海关系统 电子报关 关税和其他规费的电子支付 空运货物清单的电子提交 电子单一窗口系统 贸易许可证的电子申请和发放 海关退税电子申请 优惠原产地证书的电子申请和签发… 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% 全面实施 部分实施 试点阶段实施 未实施 不清楚 来源：2015 年联合国亚太经济社会委员会和联合国区域委员会贸易便利化调查 Beyond the use of electronic data and documents for customs procedures, Electronic Single Window System has been implemented fully, partially, or on a pilot basis by 17 countries, or nearly 40% of all the Asia-Pacific countries surveyed. Clearly, benchmarked against the high implementation rate of customs automation, Electronic Single Window System implementation remains at a relatively early stage, with a majority of the countries not having taken any significant steps towards its implementation yet. 55 除了在通关过程中使用电子数据和电子文件之外，电子单一窗口系统也 已经在 17 个国家全面或部分或试点实施了，几乎占所有受访的亚太国家的 40%。毫无疑问，相比海关自动化的高实施水平，电子单一窗口系统的实施 仍处于一个相对早期的阶段，大多数的国家还未就此采取任何重大措施。 56 Interestingly, relatively simpler measures such as Electronic application and Issuance of Trade Licenses and Electronic application and Issuance of Preferential Certificate of Origin are even less implemented than Single Window. This may be explained in part because such agency-specific system may become redundant as single window systems are implemented. However, this also highlights the fact that Customs in most countries are indeed much more advanced than other trade-related agencies in developing and using electronic and automation system for trade facilitation and compliance. 有趣的是，相对而言比较方便实施的贸易许可证电子申请和发放和优惠 原产地证书的电子申请和签发的实施水平却比单一窗口还要低很多。部分原 因可能是，随着单一窗口系统得以实施，像这种针对某一特定机构的系统可 能就会变得多余了。然而，这也突出了一个事实，就是大多数国家的海关在 开发和使用贸易便利化和贸易合规相关的电子/自动化系统方面确实比其他贸 易相关机构要先进很多。 3.5 “Cross-border paperless trade” measures 3.5 “跨境无纸化贸易”措施 Six of the trade facilitation measures included in the survey are categorized as “cross-border paperless trade” measures, as shown in Figure 13. Two of the measures, Laws and regulations for electronic transactions and Recognized certification authority, are basic building blocks towards enabling the exchange and legal recognition of trade-related data and documents not only among stakeholders within a country, but ultimately also between stakeholders along the entire international supply chain. The other four measures relate to the implementation of systems enabling the actual exchange of trade-related data and documents across borders to remove the need for sending paper documents. 如图 13 所示，调查中有六项便利化措施可以归类为“跨境无纸化贸 易”措施。其中就电子交易出台相关的法律法规和经授权的证书颁发机构这 57 两项措施，不仅是国内利益相关者之间顺利进行贸易相关数据和文件的交换 和法律认可的基本构件，也是整个国际供应链中利益相关者彼此之间顺利进 行贸易相关数据和文件的交换和法律认可的基本构件。其他四项措施则是关 于建立相关系统进而在跨境贸易中用电子数据和文件来取代纸质文件。 Figure 13: Implementation of “cross-border paperless trade” measures: Asia-Pacific average Laws and regulations for electronic transactions 100% Recognised certification authority Banks and insurers retrieving letters of 50% credit electronically without lodging paper-based documents 0% Electronic exchange of Sanitary & Phyto- Engagement in trade-related cross-border Sanitary Certificate electronic data exchange Electronic exchange of Certificate of Origin Asia-Pacific average South-East Asia average East and North-East Asia average North and Central Asia average South and South-West Asia average Pacific Island Developing Economies average Source: ESCAP, UNRCs TF Survey 2015 58 图 13：“跨境无纸化贸易”措施实施情况：亚太地区平均水平 就电子交易出台相关的法律法规 100% 银行和保险公司 在不提供纸质文件的情况下电子查询 50% 经授权的证书颁发机构 信用证 0% 电子卫生证书与电子植物检疫证书的交换 跨境贸易相关电子 数据的交换 电子原产地证书的交换 亚太地区平均水平 东南亚平均水平 东亚和东北亚平均水平 北亚和中亚平均水平 南亚和西南亚平均水平 太平洋岛国发展中经济体平均水平 来源：2015 年联合国亚太经济社会委员会和联合国区域委员会贸易便利化调查 Figure 13 shows the average regional scores for “cross-border paperless trade” measures, along with the sub-regional ones. At the regional level, the implementation of these measures is very low, with the exception of Laws and regulation for electronic transactions whose implementation level is slightly over 50%. The pattern is very similar at the sub-regional level, apart from East and North-East Asia whose implementation levels far exceed those of other sub- regions for most of the “cross-border paperless trade” measures. 图 13 显示了“跨境无纸化贸易”各项措施的区域平均实施水平和次区 域平均实施水平。就区域的平均实施水平而言，除了就电子交易出台相关的 法律法规的实施水平略微超出了 50%，其他措施的实施力度都非常差。而次 区域的平均实施水平也基本符合这一规律，但东亚和东北亚例外，其大多数 措施的实施水平均远远超过了其他次区域。 59 Figure 14 shows that about 68% of the countries surveyed in the Asia-Pacific have at least partially developed the legal and regulatory frameworks needed to support electronic transactions, but that these frameworks remain incomplete and may not readily support the legal recognition of electronic data or documents received from stakeholders in other countries. This is also true for Certification Authorities (CAs) needed to issue traders with recognized electronic signature certificates, which have yet to be established, even on a pilot basis, by a large majority of countries in the region. 图 14 表明，68%的参与调查的亚太国家均已就电子交易至少出台了部分 法律和监管框架，但是这些框架还不完整，就对其他国家利益相关者提交的 电子数据或文件进行法律认可而言，可能还无法给予很好的支持。而就旨在 向获得认证的贸易者颁发电子签署证书的证书颁发机构而言，大多数亚太国 家还未建立这样的机构，甚至还未进入试点阶段。 Figure 14: State of implementation of “cross-border paperless trade” measures in Asia-Pacific economies (in %) Laws and regulations for electronic transactions Recognised certification authority Engagement in trade-related cross-border electronic data exchange Electronic exchange of Certificate of Origin Electronic exchange of Sanitary & Phyto-Sanitary Certificate Banks and insurers retrieving letters of credit electronically without lodging paper-based documents 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% Fully implemented Partially implemented Pilot stage of implementation Not Implemented Don't know Source: ESCAP, UNRCs TF Survey 2015 60 图 14：亚太经济体“跨境无纸化贸易”措施实施情况（百分比） 就电子交易出台相关的法律法规 经授权的证书颁发机构 跨境贸易相关电子数据的交换 电子原产地证书的交换 电子卫生证书与电子植物检疫证书的交换 银行和保险公司在不提供纸质文件的情况下电 子查询信用证 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% 全面实施 部分实施 试点阶段实施 未实施 不清楚 来源：2015 年联合国亚太经济社会委员会和联合国区域委员会贸易便利化调查 In part as a result of the lack of institutional and legal frameworks to support cross-border paperless trade, Engagement in trade-related cross-border electronic data exchange has remained limited, typically conducted on a limited basis with a few specific trade partners, and often only on a pilot basis. Indeed, Electronic exchange of Certificates of Origin and Electronic exchange of Sanitary & Phyto- Sanitary Certificates have been implemented on a limited basis by less than 10% of the economies of the region. Similarly, in all but 3 Asia-Pacific countries included in the survey, it is not yet feasible for banks and insurers to retrieve letters of credit electronically without lodging paper-based documents. 在某种程度上，由于缺乏支持跨境无纸化贸易的体制和法律框架，跨境 贸易相关电子数据的交换的实施水平还是很有限的，通常仅限于少数几个特 定的贸易伙伴之间，而且大多数还处于试点阶段。事实上，仅有不到 10%的 亚太经济体在有限的基础上实施了电子原产地证书的交换和电子卫生证书与 电子植物检疫证书的交换这两项措施。同样地，除了三个国家以外，所有参 与调查的亚太国家的银行和保险公司，在不提供纸质文件的情况下，是无法 以电子方式查询信用证的。 61 3.6 “Transit facilitation” measures 3.6 “过境便利化”措施 Three trade facilitation measures included in the survey relate specifically to transit facilitation and WTO TFA Article 11 on Freedom of Transit.18 The intent of these measures is to reduce as much as possible all the formalities associated with traffic in transit, allowing goods from one country destined to another country to be seamlessly transported through one or more other transit countries. These measures are particularly important to landlocked developing countries, whose goods typically need to go through a neighboring country’s territory before reaching a sea port for onward transportation to their final destination. 调查中有三项贸易便利化措施与过境便利化以及世界贸易组织《贸易便 利化协定》第十一条过境自由的内容紧密相关。18这些措施主要是为了尽可 能地减化与过境运输相关的手续，从而使跨境货物能够顺畅地通过一个或多 个中转国而最终抵达目的地国家。这些措施对于内陆发展中国家来说尤为重 要，因为他们的货物通常需经邻国的领土才能被运送到一个海港，然后才能 被继续运输到目的地。 18 These measures are not directly applicable to all countries in the region, as some countries are unlikely to see any traffic in transit in their territory. This is particularly the case of “island” countries but also of other countries facing specific geographical constraints. Therefore, only 23 or 44 countries are included in the analysis of transit measures, as follows: Afghanistan, Armenia, Azerbaijan, Bangladesh, Brunei Darussalam, Cambodia, China, India, Indonesia, Kazakhstan, Kyrgyzstan, Lao PDR, Malaysia, Mongolia, Myanmar, Pakistan, Russian Federation, Singapore, Tajikistan, Thailand, Turkey, Uzbekistan and Viet Nam.这些措施 并不是对该区域所有国家均适用，因为有些国家不太可能在他们的领土内看到任何的过境运输，尤其是“岛屿”国家以 及有着特殊地理限制的国家。因此，本次调查只分析了 44 个国家中的 23 个的过境措施的实施情况，如下：阿富汗，亚 美尼亚，阿塞拜疆，孟加拉国，文莱达鲁萨兰国，柬埔寨，中国，印度，印度尼西亚，哈萨克斯坦，吉尔吉斯斯坦，老 挝人民民主共和国，马来西亚，蒙古，缅甸，巴基斯坦，俄罗斯联邦，新加坡，塔吉克斯坦，泰国，土耳其，乌兹别克 斯坦和越南。 62 Figure 15: Implementation of “transit facilitation” measures: Asia-Pacific average Customs Authorities limit the physical inspections of transit goods and use risk assessment 100% 50% 0% Cooperation between agencies of Supporting pre-arrival processing for countries involved in transit transit facilitation Asia-Pacific average South-East Asia average East and North-East Asia average North and Central Asia average South and South-West Asia average Source: ESCAP, UNRCs TF Survey 2015 图 15：“过境便利化”措施实施情况：亚太地区平均水平 海关当局减少对过境货物的实物 检查并采用风险评估 100% 50% 0% 过境国家相关机构间的 允许在货物抵达前开始办理业务， 合作 以实现过境便利化 亚太地区平均水平 东南亚平均水平 东亚和东北亚平均水平 北亚和中亚平均水平 南亚和西南亚平均水平 来源：2015 年联合国亚太经济社会委员会和联合国区域委员会贸易便利化调查 63 As shown in Figure 15, the implementation level of “transit” measures in the region slightly exceeds 50% across all measures. The same holds true in all sub- regions but North and Central Asia, where the implementation level is just under 50%. In South-East Asia and East and North-East Asia, these levels are higher and oscillate around 70%. 如图 15 所示，“过境便利化”各项措施在整个亚太区域的平均实施水平均 略微超出了 50%。次区域也基本是这样的情况，但北亚和中亚例外，其平均 实施水平要低于 50%。而东南亚、东亚和东北亚的实施水平则相对较高，均 为 70%左右。 Unfortunately, as shown in Figure 16, much remains to be done to achieve full regional implementation, despite the fact that most of the countries involved in transit have already concluded specific transit agreements with each other at the bilateral or regional level. 尽管大多数参与跨境贸易的亚太国家彼此之间已经达成了双边或多边过 境协议，但不幸的是，如图 16 所示，要想实现各项“过境便利化”措施在 整个亚太区域的全面实施，还要做很多工作。 Figure 16: State of implementation of “transit facilitation” measures in Asia-Pacific economies (in %) Cooperation between agencies of countries involved in transit Customs Authorities limit the physical inspections of transit goods and use risk assessment Supporting pre-arrival processing for transit facilitation 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% Fully implemented Partially implemented Pilot stage of implementation Not Implemented Don't know Source: ESCAP, UNRCs TF Survey 2015 64 图 16：亚太经济体“过境便利化”措施实施情况（百分比） 过境国家相关机构间的合作 海关当局减少对过境货物的实物检查并采用风险评估 允许在货物抵达前开始办理业务，以实现过境便利化 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% 全面实施 部分实施 试点阶段实施 未实施 不清楚 来源：2015 年联合国亚太经济社会委员会和联合国区域委员会贸易便利化调查 The relatively low average implementation scores for transit facilitation can be explained by the patterns in Figure 16. Indeed, while all three transit facilitation measures have been implemented by more than 70% of the countries involved, implementation has mainly been partial. Indeed, Cooperation between agencies of countries involved in transit is considered fully implemented in only 15% of the countries involved. Similarly, Limited physical inspection of goods in transit and pre-arrival processing of documents for goods in transit are fully in place in less than 25% of the countries. 图 16 解释了过境便利化措施平均实施水平相对较低的原因。事实上， 在所有参与调查的国家当中，有超过 70%的国家已经实施了这三项措施，但 大多数国家都只是部分实施。其中，过境国家相关机构间的合作这一措施仅 仅在 15%的国家中得到了全面实施。同样地，海关当局减少对过境货物的实 物检查并采用风险评估这一措施也仅在不到 25%的国家中得到了全面实施。 65 4. Notable achievements and common challenges in the implementation 4.实施过程中的显著成就和共同挑战 As part of the data collection process, experts were asked to identify the trade facilitation measures on which their country has made the most progress over the past 12 months. Responses received from experts from 27 countries in Asia-Pacific are summarized in Figure 17. 作为数据收集过程中的一部分，专家们需要回答出他们各自所在的国家 在过去的 12 个月里在哪项贸易便利化措施上取得了最大的进展。图 17 总结 了来自亚太地区 27 个国家的专家的反馈信息。 Figure 17: Trade facilitation measures on which most progress was made in Asia-Pacific economies since 2013/14 Automated Customs System Risk management Single Window and other paperless trade measures Legislation and regulations on trade facilitation Post-clearance audit National Trade Facilitation Committee Trade facilitation measures for AEOs Cross-border paperless trade Clearance procedures Border agency cooperation Advance rulings Stakeholder consultation on new draft regulation Pre-arrival processing Publication of information Rules of origin Appeal procedures 0 2 4 6 8 10 12 14 Number of countries where implementation of a measure has progressed most Source: ESCAP, UNRCs TF Survey 2015 66 图 17：2013/14 年以来亚太经济体取得最大进展的贸易便利化措施 自动化海关系统 风险管理 单一窗口及其他无纸化贸易措施 贸易便利化相关法律法规 后续稽查 设立国家贸易便利化委员会 对经认证的经营者的贸易便利化措施 跨境无纸化贸易 清关程序 边境机构合作 预裁定 新拟定法规正式生效前,利益相关方需对其进行磋商 抵达前业务办理 信息的公布 原产地规则 申诉程序 0 2 4 6 8 10 12 14 措施实施取得最大进展的国家数量 来源：2015 年联合国亚太经济社会委员会和联合国区域委员会贸易便利化调查 While the data remains anecdotal in nature, it suggests that many countries across the Asia-Pacific region put the most emphasis over the past year on improving their Automated customs systems and related Risk management systems. Many also worked on implementing Single Window and other paperless trade measures, as well as in adopting new legislation and regulations for trade facilitation (e.g., adoption of new or amended Customs laws). Finally, implementation of Post-clearance audit, a measure very much complementary to that of risk management, and establishment of National Trade Facilitation Committees, a measure required in the WTO TFA finalized in December 2013, 67 also received particular attention over the past 12 months across the Asia-Pacific region. 尽管这些数据只是来源于各个国家的专家们，但依旧可以说明，在过去 的一年中，亚太地区的很多国家都将主要精力放在了改进自动化海关系统和 相关的风险管理系统方面。很多国家也致力于实施单一窗口和其他无纸化贸 易措施，同时还就贸易便利化出台了相关的法律法规（例如采用新的海关法 或修订现有的海关法）。此外，作为风险管理补充性措施的后续稽查以及 2013 年 12 月通过的世界贸易组织《贸易便利化协定》中规定的设立国家贸 易便利委员会这两项措施在过去的 12 个月里也都受到了亚太国家的特别关 注。 68 Experts involved in the survey were also requested to identify the three key challenges faced by their countries in the implementation of trade facilitation measures. Responses were received from 30 countries. Lack of coordination between government agencies and Limited human resource capacity were put forward as the most serious challenges faced for the implementation of trade facilitation measures in 21 of 30 countries. Lack of political will, No clearly designated lead agency and Financial constraints were also each mentioned in at least 16 countries. 参与调查的专家还需列出其所在国家在实施贸易便利化措施的过程中所 面临的三个主要挑战。最终一共收到了来自 30 个国家的专家的反馈。其 中，有 21 个国家所面临的最严峻的挑战是政府机构间缺乏合作和人力资源 能力不足。此外，政治意愿的缺失、没有明确指定的领导机构和财务能力限 制每一项也都至少被 16 个国家的专家所提及。 Figure 18: Challenges faced by Asia-Pacific LDCs, LLDCs, SIDSs and other developing countries in implementing trade facilitation measures Financial constraints 9 6 Lack of coordination between 3 No clearly designated lead agency government agencies 0 Limited human resource capacity Lack of political will LDCs LLDCs SIDSs Developing countries Note: Data shown refers to the number of countries in each group where a particular challenge was identified. Source: ESCAP, UNRCs TF Survey 2015 69 图 18：亚太地区最不发达国家、内陆发展中国家、小岛屿发展中国家和其他发展 中国家在贸易便利化措施实施过程中所面临的挑战 财务能力限制 9 6 政府机构间 3 没有明确指定的领导机构 缺乏合作 0 人力资源能力不足 政治意愿的缺失 最不发达 内陆发展 小岛屿发 国家 中国家 展中国家 发展中国家 注：数据所显示的是每组国家中面临特定挑战的国家数量 来源：2015 年联合国亚太经济社会委员会和联合国区域委员会贸易便利化调查 Interestingly, the importance of the 5 most common challenges associated with trade facilitation varies significantly across groups of countries. As shown in Figure 18, while all five challenges seem to be equally important in LDCs, Limited human resource capacity seems to be relatively more important than other challenges in SIDSs. In LLDCs, Lack of coordination between Government agencies seems to be relatively less important than other challenges such as Financial constraints or Lack of political will to facilitate trade. In contrast, in other developing countries, Lack of coordination between government agencies seems to be the main challenge for making further progress on implementation of trade facilitation. 有趣的是，上述五项最常见的挑战在不同类别的国家组内的突出程度存 在着很大的差异。如图 18 所示，在最不发达国家中，面临每项挑战的国家 数量基本相同，而在小岛屿发展中国家中，面临人力资源能力不足的国家要 相对较多一些。在内陆发展中国家中，相比例如财务能力限制或政治意愿缺 70 失等其他挑战，面临政府机构间缺乏合作的国家要相对较少一些，而对于其 他发展中国家而言，政府机构间缺乏合作似乎却是他们在贸易便利化方面取 得进一步进展的过程中遇到的最主要的挑战。 71 5. Conclusions and Way Forward 5.结论和发展前景 This report presented data on trade facilitation and paperless trade implementation collected from 44 economies across the Asia-Pacific region and covering 5 different sub-regions. The survey covered not only implementation of general trade facilitation measures, including most of those featured in the WTO TFA, but also more advanced ICT-based trade facilitation measures aimed at making data and documents needed to support trade transactions flow seamlessly among stakeholders within a country, as well as across countries. Figure 19 confirms the strong relationship between Asia-Pacific countries international trade costs and their level of trade facilitation implementation as revealed by the survey.19 本调查报告展示了来自亚太地区和五个次区域的 44 个国家的贸易便利 化和无纸化贸易的实施数据。这项调查不仅涵盖了包括《贸易便利化协定》 中的大部分措施在内的一般贸易便利化措施的实施情况，而且涵盖了更先进 的、依托于信息通信技术的贸易便利化措施的实施情况，其中后者的作用在 于使贸易相关数据和文件能在国内和国家之间的利益相关方之间无缝流通。 调查发现，亚太国家国际贸易成本与其贸易便利化措施实施水平之间存在着 密切的关系19，而图 19 也证实了这一发现。 19 A simple linear regression of trade costs against trade facilitation implementation – estimated using Ordinary Least Squares (OLS) - shows that trade facilitation implementation levels explain about 45% of the variations in trade costs; and that a 5% increase in the level of trade facilitation implementation is associated with a decrease in trade costs of 11.6%.贸易成本与贸易 便利化实施之间简单的线性回归（使用普通最小二乘方估算）表明，大约 45%的贸易成本的变化是由于贸易便利化措施 的实施所导致的。此外，当贸易便利化措施的实施水平增长 5%时，贸易成本会相应下降 11.6%。 72 Figure 19: Trade facilitation implementation and Trade Costs of Asia-Pacific economies 400% 350% 300% tariff) 250% 200% (excluding 150% Costs 100% Trade 50% 0% 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% Trade facilitation implementation (%) Notes: Countries’ trade costs are based on average comprehensive bilateral trade costs with Germany, China and the USA (2008-13) and expressed as ad valorem equivalents (%). Source: ESCAP-World Bank International Trade Cost Database and ESCAP, UNRCs TF Survey 2015 图 19：亚太经济体贸易便利化措施实施水平和贸易成本 400% 350% 300% 关税） 250% 200% （不含 150% 成本 100% 贸易 50% 0% 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% 贸易便利化实施水平（百分比） 注：各经济体的贸易成本是以其与德国、中国和美国（2006-13）的平均综合双边贸易成本为基础所计算 的，并换算为了从价税等值（百分比）。 来源：亚太经社会与世界银行联合构建的全球贸易成本数据库和 2015 年联合国亚太经济社会委员会和联合 国区域委员会贸易便利化调查 Based on an ambitious package of more than 30 trade facilitation measures included in the survey, regional average trade facilitation implementation is found 73 to be nearing 50%, suggesting that significant room remains for progress in many Asia-Pacific economies.20 The assessment confirms that a large majority of countries in the region has been actively engaged in implementing measures to improve transparency, enhance inter-agency coordination and cooperation, and streamline fees and formalities associated with trade. While Customs in essentially all countries have been actively developing paperless systems to speed up customs clearance while also improving control, nearly 40% of the economies are now also engaged in implementation of more advanced national multi-agency paperless systems, such as national electronic single windows. 本次调查共涵盖了多达 30 多项的贸易便利化措施，最终结果显示，亚 太地区贸易便利化措施的平均实施水平基本接近 50%，这也就意味着很多亚 太经济体还有很明显的进步空间。20该报告证实了大部分亚太国家都积极致 力于执行相关措施来提高透明度，加强机构间的协调合作，并简化与贸易有 关的费用和手续。基本上所有亚太国家的海关都有积极开发无纸化贸易系统 来加快清关速度并改善管理，此外，有将近 40%的亚太国家目前正在建设更 先进的、涵盖国内多个机构的无纸化贸易系统，例如国家电子单一窗口系 统。 However, implementation of cross-border (bilateral, sub-regional or regional) paperless trade systems remains mostly at the pilot stage. This is certainly not surprising given that, on one hand, many less advanced countries in the region are at an early stage of development of national paperless systems and that, on the 20 At the same time, it is worth noting that full implementation of only the trade facilitation measures specified in the WTO TFA, arguably now the baseline set of trade facilitation measures to be implemented, would bring a country to an implementation level of 55 to 60% within the context of this survey. This suggests that, on average, the region is well on its way to fully implementing the WTO TFA. It further suggests that, based on the relationship identified in Figure 19 and average regional trade costs of about 150% across Asia-Pacific Developing Countries, fully implementing the WTO TFA in Asia-Pacific could reduce trade costs by 16 to 17%. 同时，值得注意的是，世界贸易组织《贸易便利化协定》中所规定的各项贸易便利化措 施仅是促进贸易便利化最基础的措施，所以即使是全面实施了所有这些措施，在本次调查中的实施水平得分也只是 55% 到 60%之间。这也就表明，平均来说亚太地区正在全面实施世界贸易组织《贸易便利化协定》中所规定的各项贸易便利 化措施。基于图 19 所显示的贸易便利化措施实施水平与贸易成本之间的关系以及亚太地区发展中国家平均 150%左右 的贸易成本，这也进一步表明，亚太地区全面实施世界贸易组织《贸易便利化协定》所规定的各项措施可将该地区的贸 易成本降低 16%到 17%。 74 other hand, more advanced countries have paperless systems in place that are not fully interoperable with each other. In that regard, given the large potential benefits associated with the implementation of these “next generation” trade facilitation measures,21 it is in the interest of countries from all groups to work together and develop the legal and technical protocols needed for the seamless exchange of regulatory and commercial data and documents along the international supply chain. Some work has already been done bilaterally as well as in several Asian sub-regions (e.g., in ASEAN as part of implementation of the ASEAN Single Window). This work can be further leveraged at the regional level through adoption and implementation of the intergovernmental agreement for the facilitation of cross-border paperless trade currently under negotiation at ESCAP.22 然而，跨境（双边、次区域或区域）无纸化贸易系统的实施在大多数国 家仍处于试点阶段。其实这一情况并不令人惊讶，一方面，亚太地区很多较 落后的国家仍处于国内无纸化贸易系统的初级开发阶段，另一方面，较先进 的亚太国家虽然已完成了国内无纸化贸易系统的建设，但这些系统还无法完 全实现彼此协作。在这一点上，考虑到实施这些“下一代”贸易便利化措施 可带来的巨大的潜在好处，21所有亚太国家都应为了国家的利益而合作制定 出相应的法律和技术协议，以便在全球供应链交易中无缝交换相关监管、商 业数据和文件。部分工作已经在双边层面上以及一些亚洲次区域内着手开展 了（例如东南亚国家联盟已将上述事项作为建设东南亚国家联盟单一窗口的 一部分在着手推进了）。目前，有关促进跨境无纸化贸易政府间协议的谈判 正在亚太经社会举行，执行和实施该项协议可在整个亚太区域层面上进一步 推进这项工作。22 21 See ESCAP (2014) at http://www.unescap.org/resources/estimating-benefits-cross-border-paperless-trade 访问 http://www.unescap.org/resources/estimating-benefits-cross-border-paperless-trade 参阅亚太经社会（2014） 22 Full implementation of cross-border paperless trade is expected to generate USD 257 billion of additional export potential annually for the Asia-Pacific region alone. See http://www.unescap.org/resources/estimating-benefits-cross-border-paperless- trade.跨境无纸化贸易的全面实施预估仅亚太地区每年就可增加 2570 亿美元的出口额。 75 Remarkably, the only trade facilitation performance “monitoring” measure included in the survey (Establishment and publication of average release times), remains one of the least implemented measure across the region. This is worth highlighting, as what ultimately matters is not how many measures one implements, but how effective they have been in reducing the time and cost of trade transactions. Indeed, it is important to realize that trade facilitation and paperless trade measures are very much inter-related and that the effect of a particular measure on trade transaction costs depends on whether, and how well, other measures have been implemented. 值得注意的是，作为调查中唯一一项可反映贸易便利化成效的措施，确 定和公布平均放行时间仍是亚太地区实施水平最低的措施之一。这一现象是 需要特别关注的，因为最终要考量的不是每个国家实施了多少项措施，而是 他们在减少贸易活动中的交易时间和成本方面取得了多少成效。事实上，意 识到贸易便利化措施和无纸化贸易措施在很大程度上是相辅相成的是非常重 要的，而且它们其中的某一项措施在降低贸易成本方面的成效往往取决于其 他措施是否有被实施以及实施的力度如何。 In that regard, Figure 20 shows implementation of trade facilitation as a step- by step process, based on the groups of measures included in this survey. Trade facilitation begins with the setting up of the Institutional arrangement needed to prioritize and coordinate implementation of trade facilitation measures. The next step is to make the trade processes more Transparent by sharing information on existing laws, regulations and procedures as widely as possible and consulting with stakeholders when developing new ones. Designing and implementing simpler and more efficient trade Formalities is next. The re-engineered and streamlined processes may first be implemented based on paper documents, but can then be further improved through ICT and the development of Paperless trade systems. The ultimate step is to enable the electronic trade data and documents exchange by 76 traders, government and service providers within national (single window and other) systems to be used and re-used to provide stakeholders in partner countries with the information they need to speed up the movement of goods and reduce the overall costs of trade.23 鉴于上述情况，图 20 以本次调查所涉及的五组措施为基础，循序渐进 地呈现出了贸易便利化的实施过程。贸易便利化的第一步是机构安排，即设 立相应的机构来优先安排并协调贸易便利化措施的实施。下一步就是通过尽 可能广泛地分享现有法律法规及相关程序并在制定新法律法规时与利益相关 者进行磋商来使贸易过程更加透明化。接下来，就是设计并采用更简单、更 有效的贸易手续。重新设计并简化后的相关贸易手续在初始阶段可能还是要 依托于纸质文件，但随着无纸化贸易系统的发展和信息通信技术的采用，可 对这些手续进行进一步的改进。最后一步就是使贸易商、政府和服务供应商 彼此之间利用国内相关系统（单一窗口或者其他）交换的电子贸易数据和文 件能够被合作国家的利益相关者所使用，以使他们获得必要的信息，进而减 少货物的滞留时间，降低贸易的总成本。23 23 This step-by-step process is inspired from and generally consistent with the UN/CEFACT step-by-step approach to trade facilitation towards a single window environment.这个分步过程的灵感来自于联合国贸易便利化与电子商务中心在建设单 一窗口的过程中所采取的分步方法，并基本与其一致。 77 Figure 20: Moving up the trade facilitation ladder towards seamless international supply chains 100 Cross-border paperless trade Performance area 80 Frontier (full Paperless trade implementation) East and North-East Asia 60 South-East Asia Asia-Pacific Formalities 40 North and Central Asia South and South-West Asia Transparency 20 Pacific Island Institutional Developing Economies Arrangement And cooperation 0 Note: the figure shows cumulative trade facilitation implementation scores of Asia-Pacific sub-regions for five groups of trade facilitation measures included in the survey. Full implementation of all measures = 100. Source: ESCAP, UNRCs TF Survey 2015 78 图 20：逐步推进贸易便利化，实现无缝国际供应链 100 跨境无纸化 贸易 实施区域 80 边界 （全面实施） 无纸化贸易 东亚和东北亚 60 东南亚 亚太地区 相关手续 40 北亚和中亚 南亚和西南亚 透明化 20 太平洋岛国发展中 机构安排 经济体 与合作 0 注：该图显示了调查中五组贸易便利化措施在亚太地区次区域实施水平的累积得分。所有措施的全面实施水平 总分为 100. 来源：2015 年联合国亚太经济社会委员会和联合国区域委员会贸易便利化调查 The regional and sub-regional cumulative trade facilitation implementation levels shown in Figure 20 show that, while East and Southeast Asia are performing well above the Asia-Pacific average and cross-border paperless trade facilitation is the least implemented of all groups of measures, all sub-regions still have significant room to make progress in all areas of trade facilitation, starting with institutional arrangements and further enhancing inter-agency cooperation. 图 20 所示的亚太地区和次区域贸易便利化措施累计实施水平表明，东 亚、东南亚的表现要高于亚太地区的平均水平，而跨境无纸化贸易则是几组措 施中执行力度最不佳的，但所有次区域在图中各项贸易便利化措施的实施上仍 有很大的上升空间，第一步便是机构安排，然后需进一步加强机构间的合作。 Annex 1: Definition of the different stages of implementation 79 附录 1：实施情况不同阶段定义 Definition of stage of implementation Coding/ Scoring 实施情况阶段定义 代码/分数 Full implementation: the trade facilitation measure implemented is in full compliance with 3 commonly accepted international standards, recommendations and conventions (such as the Revised Kyoto Convention, UN/CEFACT Recommendations, or the WTO Trade Facilitation Agreement); it is implemented in law and in practice; it is available to essentially all relevant stakeholders nationwide, supported by adequate legal and institutional framework, as well as adequate infrastructure and financial and human resources. 全面实施：某项贸易便利化措施的全面实施意味着该项措施完全按照普遍认可的国际标 准、建议和惯例（例如《经修订的京都公约》，联合国贸易便利化与电子商务中心建议 书，或者世界贸易组织《贸易便利化协定》）被实施；意味着该项措施已被写入相关法律 并在实践中得以实施；意味着该项措施适用于全国范围内几乎所有的利益相关者，有充分 的法律框架、制度框架、基础设施、财政资源和人力资源的支持。 Partial implementation: a measure is considered to be partially implemented if at least 2 one of the following is true: (1) the trade facilitation measure is not in full compliance with commonly accepted international standards, recommendations and conventions; (2) the country is still in the process of rolling out the implementation of measure; (3) the measure is practiced on an unsustainable, short-term or ad-hoc basis; (4) the measure is not implemented in all targeted locations (such as key border crossing stations); or (5) not all targeted stakeholders are fully involved. 部分实施：如果以下条件至少满足一项，那么一个措施就可被认定为是部分实施： （1）该项贸易便利化措施并未完全按照普遍认可的国际标准、建议和惯例被实施； （2）该项措施在某个国家还处于持续推进阶段；（3）该项措施的实施只是短期的、 难以持续的或仅适用于某一特定情形，难以被推广；（4）该项措施并未在所有的目标 区域实施（比如说重要的边境站）；（5）并不是所有的利益相关者都有参与。 Pilot stage of implementation: A measure is considered to be at the pilot stage of 1 implementation if, in addition to meeting the general attributes of partial implementation, it is available only to (or at) a very small portion of the intended stakeholder group (location) and/or is being implemented on a trial basis. When a new trade facilitation measure is under pilot stage of implementation, the old measure is often continuously used in parallel to ensure the service is provided in case of disruption of new measure. This stage of implementation also includes relevant rehearsals and preparation for the full- fledged implementation. 试点阶段实施：除了满足部分实施的一般条件之外，如果一项措施的实施还满足以下 条件的话，就可被认定为是处于试点阶段：该项措施仅适用于预期利益相关者群体中 的一小部分（或仅在很小的区域内实施）以及/或正在被试验性地推进。当一个新的贸 易便利化措施在试点实施时，旧措施通常仍继续使用，以确保在新措施出现问题时， 仍有措施可发挥作用。这一实施阶段也包括对全面实施相应的预演和准备。 Not implemented: simply means a trade facilitation measure has not been implemented. 0 However, this stage does not rule out initiatives or efforts towards implementation of the measure. For example, under this stage, (pre)feasibility or planning of implementation can be carried out; and consultation with stakeholders on the implementation may be arranged. 80 未实施：就是说某项贸易便利化措施还未被实施。但该阶段也包括为实施某项贸易便 利化措施而采取的举措或做出的努力，例如对某项措施的实施进行可行性研究或计 划；也可能安排了同利益相关者之间就措施的实施进行的协商。 81 Annex 2: Grouping of the countries surveyed24 24 附录 2：调查国家分组 The survey covers 44 Asia-Pacific countries, which can be divided into the following six sub- regions: 调查中包括的亚太地区 44 个国家，可划分为以下六个次区域： East and North East-Asia (ENEA): China, Japan, Mongolia and Republic of Korea;  东亚和东北亚：中国，日本，蒙古和韩国；  North and Central Asia (NCA): Armenia, Azerbaijan, Kazakhstan, Kyrgyzstan, Russian Federation, Tajikistan and Uzbekistan;  北亚和中亚：亚美尼亚，阿塞拜疆，哈萨克斯坦，吉尔吉斯斯坦，俄罗斯联邦，塔 吉克斯坦和乌兹别克斯坦；  Pacific Island Developing Economies (PIDEs): Fiji, Kiribati, Micronesia, Nauru, Palau, Papua New Guinea, Samoa, Solomon Islands, Tonga, Tuvalu and Vanuatu;  太平洋岛国发展中经济体：斐济，基里巴斯，密克罗尼西亚，瑙鲁，帕劳群岛，巴 布亚新几内亚，萨摩亚，所罗门群岛，汤加，图瓦卢和瓦努阿图；  South and South-West Asia (SSWA): Afghanistan, Bangladesh, Bhutan, India, Maldives, Nepal, Pakistan, Sri Lanka and Turkey; 南亚和西南亚：阿富汗，孟加拉国，不丹，印度，马尔代夫，尼泊尔，巴基斯坦， 斯里兰卡和土耳其；  Pacific developed countries(AU&NZ): Australia and New Zealand;  太平洋发达国家：澳大利亚和新西兰；  South-East Asia (SEA): Brunei Darussalam, Cambodia, Indonesia, Lao PDR, Malaysia, Myanmar, Philippines, Singapore, Thailand, Timor-Leste and Viet Nam.  东南亚：文莱达鲁萨兰国，柬埔寨，印度尼西亚，老挝人民民主共和国，马来西 亚，缅甸，菲律宾，新加坡，泰国，东帝汶和越南； Analysis is also extended to the following group of countries with special needs25: 调查分析也扩大到以下有特殊需要的国家25： 24 This grouping is largely in line with the Economic and Social Survey of Asia and the Pacific 2015. 这一分组大体同 2015 年亚 太地区经济与社会调查报告中的分组相一致。 25 More details are available at http://unohrlls.org/UserFiles/1_countries_with_special_needs.pdf. 更多信息可 访问 http://unohrlls.org/UserFiles/1_countries_with_special_needs.pdf. 82  Least Developed Countries (LDCs): Afghanistan, Bangladesh, Bhutan, Cambodia, Kiribati, Lao PDR, Myanmar, Nepal, Solomon Islands, Timor-Leste, Tuvalu and Vanuatu;  最不发达国家：阿富汗，孟加拉国，不丹，柬埔寨，基里巴斯，老挝人民民主共和 国，缅甸，尼泊尔，所罗门群岛，东帝汶，图瓦卢和瓦努阿图；  Landlocked Developing Countries (LLDCs): Afghanistan, Armenia, Azerbaijan, Bhutan, Kazakhstan, Kyrgyzstan, Lao PDR, Mongolia, Nepal, Tajikistan and Uzbekistan;  内陆发展中国家：阿富汗，亚美尼亚，阿塞拜疆，不丹，哈萨克斯坦，吉尔吉斯斯 坦，老挝人民民主共和国，蒙古，尼泊尔，塔吉克斯坦和乌兹别克斯坦；  Small Island Developing States (SIDSs): Fiji, Kiribati, Maldives, Micronesia, Nauru, Palau, Papua New Guinea, Samoa, Solomon Islands, Timor-Leste, Tonga, Tuvalu and Vanuatu.26  小岛屿发展中国家：斐济，基里巴斯，马尔代夫，密克罗尼西亚，瑙鲁，帕劳群 岛，巴布亚新几内亚，萨摩亚，所罗门群岛，东帝汶，汤加，图瓦卢和瓦努阿图。 26 26 It is important to note that Afghanistan, Bhutan and Lao PDR are both LDCs and LLDCs, while Kiribati, Solomon Islands, Timor-Leste, Tuvalu and Vanuatu are both LDCs and SIDSs. 值得注意的是，阿富汗、不丹和老挝既是最不 发达国家也是内陆发展中国家，而基里巴斯、所罗门群岛、东帝汶和瓦努阿图既是最不发达国家也是小岛屿发 展中国家。 83 United Nations Economic and Social Commission for Asia and the Pacific Trade and Investment Division 联合国亚洲及太平洋经济社会委员会贸易 与投资司 United Nations Building, Rajadamnern Nok Avenue Bangkok 10200, Thailand 泰国曼谷 Rajadamnern Nok 大道 10200 号联合国大楼 Email: escap-tid@un.org 邮箱：escap-tid@un.org Website: www.unescap.org 网址：www.unescap.org 84