WTO-世界海關(guān)組織-世貿(mào)組織關(guān)于顛覆性技術(shù)的研究報(bào)告

WCO/WTO

StudyReportonDisruptiveTechnologies

JUNE2022

WCO/WTOStudyReportonDisruptiveTechnologies

JUNE2022

4|WCO/WTO

Contents

Acknowledgements6

ForewordbytheWCOSecretaryGeneral8

ForewordbytheWTODirectorGeneral9

Background10

ExecutiveSummary13

I.Introduction:“disruptive…”18

or(just)“emerging”technologies?

II.Holisticuseoftechnologies26

forSmartCustomsofthefuture

III.Thetechnologies30

1.Blockchainanddistributedledger31

technology(DLT)

A

.Whatisblockchaintechnology?31

B.PotentialuseinCustomsand37

bordermanagement

C.ImplementationbyCustomsin45

2021

2.InternetofThings(IoT)51

A

.WhatisIoT?51

B

.LinksbetweenIoTandother52

technologies

C

.Currentuseinlogisticsand55

supplychainmanagement

D

.PotentialuseinCustomsand56

bordermanagement

E

.ImplementationbyCustomsin58

2021

5

StudyReportonDisruptiveTechnologies|

3.Bigdata,dataanalytics,artificial63

intelligence(AI)andmachine

learning(ML)

A.Whatisbigdataanddata63

analyticsandhowcantheybe

usedinCustomsandborder

management?

B.Whatisartificialintelligence?64

C.Howcanbigdata,dataanalytics,65

artificialintelligenceand

machinelearningbeusedin

Customsandborder

management?

D.BenefitsandRisks67

E.PotentialFutureUse68

F

.ImplementationbyCustoms72

in2021

4.Biometrics76

A.Whatarebiometrics?76

B.CurrentuseinCustomsand

bordermanagement77

C.Potentialfutureuse79

D.Considerationsforestablishing

abiometricsprogramme80

E.Concernsaboutsecurityanduse

ofbiometricdata:81

F.OngoingprojectsinCustoms83

5.Drones84

A.Whataredrones?84

B.Useofdronesforcross-border85

deliveryofgoods

C.Regulatoryissues86

D.PotentialimpactonCustoms86

6.Virtual,augmentedandmixedreality90

A.Whatarevirtualreality,90

augmentedrealityandmixed

reality?

B.Existingpractices92

C.PotentialfutureuseinCustoms92

andbordermanagement

7.3Dprinting94

A.Whatis3Dprinting?94

B.PotentialimpactonCustoms96

andbordermanagement

IV

.Strategybehindtechnology

100

A.Developingandimplementingnew101

technology

B.Cooperationwithother103

stakeholders

V

.Recommendations

104

VI.Conclusion107

ANNEX-Thecasestudies109

ThispublicationhasbeenpreparedundertheWCOandWTOSecretariats’ownresponsibilitiesandwithoutprejudicetothepositionofWCOandWTOMembersandtotheirrightsandobligationsundertheWCOandtheWTO.ThedesignationsemployedinthispublicationandthepresentationofmaterialthereindonotimplytheexpressionofanyopinionwhatsoeveronthepartoftheWCOandtheWTOconcerningthelegalstatusofanycountry,areaorterritoryorofitsauthorities,orconcerningthedelimitationofitsfrontiers.

ThecasestudiespresentedintheAnnexarebasedonreportssubmittedbytheCustomsauthorities.Theyhavebeenlightlyeditedandremaintruetotheoriginalsubmissions.

6|WCO/WTO

Acknowledgements

TheupdatedStudyReportonDisruptiveTechnol-ogies(2022)istheresultofthecollectiveeffortoftheWorldCustomsOrganization(WCO)andtheWorldTradeOrganization(WTO)SecretariatsworkingcloselywiththeMemberCustomsad-ministrations,privatesectorrepresentativesandotherstakeholders.TheReportwaspreparedbyMilenaBudimirovic,?zlemSoysanl?,VyaraFilipo-vaandLesegoMmolaifromtheWCOandEmma-nuelleGanneandSheriRosenowfromtheWTO.ResearchassistancewasprovidedbyZakariaIm-essaoudenefromtheWTO.

ThefinalizationoftheStudyReportin2019anditsupdatein2022wasmadepossiblethankstothecontributionsandsupportfrom:AngeloAl-bergo(ItalianCustoms),SaraAlsuwaidi(Feder-alCustomsAuthorityofUnitedArabEmirates),FerdinandAmaumo(KenyaRevenueAuthority),AudreyAndré(BelgianCustoms),BlancaLuisaBarandiaranAsparrin(PeruvianCustoms),ChahidAzarkan(DutchCustoms),NogaBalaban(Wave),KellyBelanger(CanadaBorderServicesAgency),JohnBescec(InternationalChamberofCommerce/Microsoft),EltonCarlosBusarello(BrazilCus-toms),JohnByrne(IrishTaxandCustoms),LeonelAlbertoMolinaCabrera(GuatemalaCustoms),MiJangHongyYuangCho(RegionalTrainingCenterKorea),WilsonChow(HongKongChinaCustoms),WooYongChung(KoreaCustomsService),LoreCloots(BelgianCustoms),SandraCorcuera(In-ter-AmericanDevelopmentBank),EmmanueldeKerchove(EuropeanUnion,DGTAXUD),PascaleDehon(CanadaBorderServicesAgency),Lies-bethDeprez(BelgianCustoms),Maria-LuisaEich-horst(USCustomsandBorderProtection),JorgeEduardodeSchoucairJambeiroFilho(BrazilianCustoms),MarceloFiotto(ArgentinianCustoms),Muriel-GabrielleFranchomme(EuropeanUnion,DGTAXUD),MaríaFernandaGiordano(Argen-tinianCustoms),BenoitGosselin(CanadaBorder

ServicesAgency),SamuelGreene(USCustoms

andBorderProtection),FrankHeijmann(Dutch

Customs),ErickaMarielaBarillasHerrera(Guate-

malaCustoms),TheoHesselink(DutchMinistry

ofFinance),JuhaHintsa(Cross-BorderResearch

Association),AlfaIbrahim(NigeriaCustoms),Colm

Leonard(IBM),Dr.EdwardKafeero(MünsterUni-

versity),InnaKhorsheva(RussianCustoms),Georg

Kotschy(EuropeanUnion,DGTAXUD),André

Lamoureux,(CanadaBorderServicesAgency),

SharonLim(GeTSAsiaPteLtd),DanaLorenze(Ex-

peditors),CristinaMartínLorenzo(Usyncro),Toni

M?nnist?(Cross-BorderResearchAssociation),

MatomeMathole(SouthAfricaRevenueService),

MarcoMattiocco(ItalianCustoms),IvyMilimo

(ZambiaRevenueAuthority),MarcelMolenhuis

(DutchCustoms),JonathanMorten(NewZealand

Customs),GustavoAntonioRomeroMurga(Pe-

ruvianCustoms),ChandaMwenechanya(Zam-

biaRevenueAuthority),Chun-WahLawrenceNg

(HongKongChinaCustoms),ShirleyNg(Hong

KongChinaCustoms),MaureenOjowi(Kenya

RevenueAuthority),AbrahamOmonya(Kenya

RevenueAuthority),FrankOrondo(KenyaRev-

enueAuthority),JonathanPage(CanadaBorder

ServicesAgency),SangyongPark(KoreaCustoms

Service),MarcusViniciusVidalPontes(Brazilian

Customs),ZahouaniSaadaoui(EuropeanUnion-

DGTAXUD),AliyuGaladimaSaidu(NigeriaCus-

toms),SaraSekimitsu(JapanCustoms),LatifaAl

ShamsiandMozaAlShamsi(DubaiCustoms,Unit-

edArabEmirates),WeijianShao(ChinaCustoms),

MichaSlegt(DutchCustoms),AdamSulewski(US

CustomsandBorderProtection),KeithTan(Sin-

gaporeCustoms),RaoulTan(PortofRotterdam

International),AndreaTang(InternationalFeder-

ationofFreightForwardersAssociations,FIATA),

TaksachanTangsuphoom(ThailandCustoms),An-

gieTeo(SingaporeCustoms),LuceliaTinembart

(InternationalFederationofFreightForwarders

Associations,FIATA),HelenTse(HongKongChi-

naCustoms),SamsonUridia(RevenueServiceof

Georgia),RafaelMalleaValdivia(PeruvianCus-

toms),AlfredoVolpicelli(ItalianCustoms),Carol

West(InternationalFederationofCustomsBro-

kersAssociations,IFCBA),StellaWong(Hong

KongChinaCustoms),YuriYanai(JapanCustoms),

KayRenYuh(Info-communicationsMediaDevel-

opmentAuthorityofSingapore).

ThanksalsogotoalltheCustomsadministrations

whorespondedtotheWCO’s2021AnnualCon-

solidatedSurvey,andthuscontributedtoboththe

WCO/WTOpaper“TheRoleofAdvancedTech-

nologiesinCross-borderTrade:ACustomsPer-

spective”andtothisStudyReport.

TheupdatedStudyReporton

DisruptiveTechnologies(2022)is

theresultofthecollectiveeffortof

theWorldCustomsOrganization

(WCO)andtheWorldTrade

Organization(WTO)Secretariats

workingcloselywiththeMember

Customsadministrations,private

sectorrepresentativesandother

stakeholders.

StudyReportonDisruptiveTechnologies|

7

Forewordby

theWCOSecretaryGeneral

“InsightsonthetechnologiesusedtodigitalizeglobalsupplychainsisanindispensablepartofthediscussionsarounddigitalizationofCustomsandbordermanagementandmustbeviewedwithinabroaderframeworkofpaperlesscross-bordertrade.”

Dr.KunioMikuriya

WCOSecretaryGeneral

Understandingtheneedtokeepabreastofdevel-

opmentsinthefieldofdisruptivetechnologiesand

toseektounderstandthechallengesandoppor-

tunitiestheybringtoCustomsandborderman-

agement,wearepresentinganupdatedversion

oftheStudyReportonDisruptiveTechnologies.

Inthethreeyearssinceitwasfirstpublished,it

hasservedasanimportantsourceofinformation.

However,consideringthenumerouspilotprojects

andprogressthathasbeenachievedinthemean-

time,webelievethetimeisrighttoprovidean

updatetoensurethatMembers,thetradingcom-

munityandotherstakeholdersarewellinformed

aboutthelatestdevelopmentsontheground,

thatcanfurthersupportimplementationofWCO

standards,suchastheRevisedKyotoConvention.

IampleasedthattheStudyReportcomesasare-

sultofafruitfulpartnershipwiththeWorldTrade

Organization(WTO),withwhichwehavelong-

standingcooperationinmanydifferentfields,and

mostrecentlyinthefieldofdisruptivetechnolo-

gies.Customs,eventhoughanimportantinterna-

tionaltradestakeholder,isneverthelessonlyone

stakeholderintheglobalsupplychain.Insightson

thetechnologiesusedtodigitalizeglobalsupply

chainsisanindispensablepartofthediscussions

arounddigitalizationofCustomsandborderman-

agementandmustbeviewedwithinabroader

frameworkofpaperlesscross-bordertrade.

The2022StudyReportbuildsontheonepub-

lishedin2019withlessonslearntandnewexpe-

riencesgained.InthespiritofCustoms-Business

partnership,andpublic-privatepartnershipmore

broadly,wehaveprovidedcasestudiessubmitted

notonlybyCustoms,butalsobytheprivatesec-

tor.Thetimeisripetoconsideralloptionsandthe

overallcontextbeforeoptingforthemostsuitable

solutions.

TheWCOhasdedicated2022toscalingupCus-

tomsDigitalTransformationbyembracingadata

cultureandbuildingadataecosystem.Iamcon-

fidentthatthisStudyReportwillcomplementthe

WCO’sextensiveeffortsinbuildingadata-driven

cultureinCustoms.

8|WCO/WTO

Forewordby

theWTO

DirectorGeneral

Weliveinatimeofrapidtechnologicalchangethathasthepossibilityofprofoundlyalteringtheconductofinternationaltrade.Formanypeo-plekeepinguptodatewiththelatesttechnol-ogyandfullyunderstandingitsimplicationscanbedaunting.Thisreportwillhelpilluminatetheso-called“disruptivetechnologies”thataremostrelevanttobordermanagement,aswellasassistgovernmentstobetterunderstandthechalleng-esandbenefitsoftheirusebyCustoms.

Technologiesofthekindreferredtointhispublica-tionholdenormouspotentialtoaidgovernmentsinefficientandeffectiveadministrationofWTOtraderules.Asthispublicationshows,ourMem-bershavefoundthattheuseofblockchainandtheinternetofthingscanplayaninstrumentalroleinimplementingtheWTOTradeFacilitationAgree-ment,forexample,throughimprovedtransparen-cyandinter-agencycooperation,andtheuseofdataminingformoreeffectiveriskmanagement.Thesetechnologiescanalsoenhanceadministra-tionofhealthandsafetyrequirementsthroughbettermonitoringthemovementofperishablegoodstodetectandavoidspoilage,andtheycanenableimplementationofelectroniccertificationsuchase-Phytocertificatesinamoreefficient,se-cureandtrustedmanner.Inaddition,thesetech-nologiescanallowCustomsandotheragenciestocapturemassiveamountsofdatathatcanbeusedtosupporttheadministrationoftraderules.

TheWTOisverypleasedtohavethisopportuni-tytocollaboratewiththeWCOonthispublica-tion.BothofourorganizationsareinterestedinprovidinginformationtoourMembersabouttheimpactofdigitaltechnologiesontradeanditsad-ministration,theopportunitiestheyopenandthechallengesthatstandonthewaytotheirbroaderadoption.TogetherweareinauniquepositiontogathertheexperienceofourMemberstoprovideaglobalpictureoftheuseofthesetechnologiestoenhancebordermanagement.

“Technologiesofthekind

referredtointhispublication

holdenormouspotentialtoaid

governmentsinefficientand

effectiveadministrationofWTO

traderules.”

Dr.NgoziOkonjo-Iweala

WTODirectorGeneral

Ihopethatthispublicationwillprovideauseful

resourcetoinformpolicydebateandguideMem-

bersonhowtheymightharnessthebenefitsof

thesetechnologies.

9

StudyReportonDisruptiveTechnologies|

Background

10|WCO/WTO

Itwasthereforedeemedrelevanttocarryoutfurtherexploratoryworkandresearchonthesetopics,andtoprovidemoreinformationontheiruse,benefits,risksandroleinthesupplychain,inCustomsetc.Theaimwasalsototakeintocon-siderationtheinterlinkagesbetweenthedifferenttechnologiesandtogainamoreholisticpictureofhowtheyimpactorsupportCustomswork.

ThePTCmovedontothedevelopmentoftheStudyReportonDisruptiveTechnologies,collatingalltheworkalreadycarriedout,includingpapers

BasedontheproposalsubmittedbytheWCO

PermanentTechnicalCommittee(PTC)delegates,

theFutureofCustomstopicwaslaunchedatthe

207th/208thSessionsofthePTCinMarch2015.

Thiscameasaresultofdiscussionsontheroleof

thePTC,whereitwasagreedthattheCommittee

wouldtakeamoreactiveroleindiscussingstrate-

gicmattersandfuture-orientedtopics.

TheMarch2015PTCdiscussednewandemerg-

ingthreats,andhowthesewouldaffecttheroles

andresponsibilitiesofCustomsinthefuture.The

developedbyanum-berofitsMembers,and,morebroadly,bringingtogetherrelevantopen-sourceinformation,aswellastheoutcomesofdiscussionsinthePTCandotherWCOworkingbodiesandmeetings,in-cludingtheWCOITCon-ferences.

ThefirstversionoftheStudyReportwaspub-lishedin2019,andhadtheobjectiveofraisingawarenesswithinthe

ThefirstversionoftheStudyReportwaspublishedin2019,andhadtheobjectiveofraisingawarenesswithintheCustomscommunityofthelatesttechnologiesandtheirpotentials,providingpracticalexamplesandcasestudies.

discussionsresultedinthe

establishmentofaVirtual

WorkingGroupontheFu-

tureofCustoms(VWGFC)

underthePTC,consisting

ofCustomsadministra-

tions,theprivatesector,

internationalorganiza-

tionsandacademia.

TheGroup,whichconsist-

edofoverthirtyMembers,

workedonpapersthat

steereddiscussionsinthe

PTCmeetingsonanum-

beroftopics,suchasthe

Customsinthe21stCen-

Customscommunityofthelatesttechnologiesandtheirpotentials,providingpracticalexamplesandcasestudies,butalsosharingsomemoreas-pirationalandinnovativepropositionsontheiruseinthefuture.

Bearinginmindthefluidityofthetopic,theStudyReportismeanttobealivingdocument,tobeup-datedonaregularbasistoincludelessonslearntandrecommendationsstemmingfromongo-ingdiscussions.Hence,this2022versionoftheStudyReportincorporatessomeofthedevelop-mentsandfindingscollectedinthecourseofthepastthreeyears.

turystrategicdocument,3Dprinting,drones,bi-

ometrics,theInternetofThings(IoT),etc.

Atits215th/216thSessionsinApril2017,the

PTCdiscussedthewayforwardfortheGroup,

twoyearsafteritsestablishment,toensuremore

focusedandresults-orienteddiscussions.Con-

sequently,andbearinginmindtheimportanceof

exploringnewandemergingtrendsforsuccessful

policymaking,thePTCdecidedthattheGroup

would,amongstotherthings,focusonexploring

disruptivetechnologies,whichweregraduallybe-

comingpartofpeople’slives.However,thebene-

fitsofthesetechnologiesforCustomsandborder

managementhadnotyetbeenfullyexplored.

StudyReportonDisruptiveTechnologies|

11

12|WCO/WTO

Background

Inearly2021,theWCOpartneredwiththeWorldTradeOrganization(WTO)intheworkondisrup-tivetechnologies,whichresultedinthecollectionofsurveyresultsontheuseofparticulardisruptivetechnologiesbyCustomsandthedevelopmentofajointpaper,“TheRoleofAdvancedTechnologiesinCross-borderTrade:ACustomsPerspective”,thatissummarizedinmoredetailbelowinthesectiononjointWCO-WTOinitiatives.

Duringthecourseof2021and2022,twoTECH-CONsandanumberofWCOregionalworkshopsondisruptivetechnologieswereheldwiththeaimoffurtherraisingawarenessofthepossibilitiesthesetechnologiesofferinfacilitatingandbettercontrollingthecross-bordermovementofgoods

throughthesharingofrecommendationsandles-sonslearnt.

Theresultsofthesurvey,thepaper,andthere-gionalworkshopshavebeenincorporatedintothisupdateoftheStudyReport,whichhasbeencarriedoutjointlybytheWCOandtheWTO.

Lastly,thecasestudiesfromthe2019versionwereupdated,whererelevant,orremovedifcon-sideredredundant.Newcasestudiesthatde-scribesomeofthelatestprojectsusingdisruptivetechnologieswereprovidedbyMembersandoth-erstakeholdersandannexedtotheStudyReport.

ExecutiveSummary

StudyReportonDisruptiveTechnologies|

13

collectionandpost-clearanceaudit.Throughthistechnology,thesamecopyofaledgerisinstant-lyavailabletoallpartiesatdifferentnodesinthemostupdated,trusted,secureandimmutablemanner,obviatingtheneedtomaintainseparateledgersbyeachpartyasperthecurrentpractice.

Consideringthepotentialofblockchain,theWCOandtheWTOhavebeenexploringtheuseofthistechnologyintheCustomsdomainforthelastfewyears.AccordingtotheresultsreceivedthroughtheWCO’s2021AnnualConsolidatedSurvey(ACS),blockchainanddistributedledgertechnol-ogy(DLT)isstillinanexperimentalphaseforCus-toms,witharoundathirdofCustomsauthoritieswhorespondedtothesurveytestingitthroughproofsofconcept(22Members)andpilotpro-jects(15Members)usingmainlyprivate(permis-sioned)blockchains,whileonlytwoCustomsad-ministrationshavereportedafulldeploymentof

thistechnology.26Customsauthoritieshaveplansforthistechnologyinthenextthreeyears,whileanother45haveindicatedthattheyhavenoplansinplaceforitasyet.

2.InternetofThings

Statistaestimatesthat,by2025,theInternetofThings(IoT)willbemadeupofover30billiondevicesworldwide(morethanfourdevicesperperson).Customscanworktowardsstrengtheningco-

Tomakeglobalsupplychainsofthefuturemoreefficient,SmartCustomshavetominimizeCustomsclearancetimeandcosts,whileintelligentlymanaginginboundandoutboundgoodsandvehicles.Disruptivetechnologiesneedtobeusedincombination.

ExecutiveSummary

I.Introduction:disruptive...or(just)

emergingtechnologies?

Therehasbeenasignificantuptakeofdisruptivetechnologies,inparticularblockchain,theInternetofThings,artificialintelligenceandmachinelearn-ing,sincetheStudyReportwasfirstpublishedin2019,includingintheCustomsdomain.However,therearestillopportunitiesforbroaderimplemen-tation,whichiswhytheWCO,theWTOandoth-erstakeholdersarelookingintotheseandothertechnologies,withaneyetowardsidentifyingthekeybenefitsforsupportinginternationaltradeandeconomiesmorebroadly,aswellasidentifyingwaysinwhichtheycanassistCustomsadministra-tionsinfulfillingtheirobjectives,suchasensuringtradefacilitation,safety,security,andfairrevenuecollection.Numerousinitiatives,includingwebi-nars,onlineconferences,policydocumentsandcapacitybuildingwork,havebeencarriedoutby

bothorganizationsinthepastthreeyearswiththeaimofsupportingtheirMember-shipsintheseendeavours.

II.Holisticuseof

technologiesfor

SmartCustomsof

thefuture

2021hashighlightedthecrit-icalrolethatCustomsplayinenablingglobaltrade.Tomakeglobalsupplychainsofthefuturemoreefficient,SmartCustomshavetomin-

operationwithcertainstakeholders(shippers,carriers,forwardersetc.)thathaveemployedIoTapplications,withaviewtopromptlyobtaininganyinformationthatcorrespondstocertainriskfactors.Thus,Customsadministrationswouldbeabletofocusonusinganalyticaltoolstoidenti-fyhigh-riskandlow-riskshipmentsandsupplychainsbasedoninformationcollectedthroughIoTtechnology.

ThefactthateverythingthatisconnectedtotheInternetorinteractingwithitcanbegeo-locatedisnowanimportantnewparameterwhichmayalsoprovidenewopportunitiestoCustoms.HalfoftherespondentstotheabovesurveyindicatedthattheyusedIoTinCustomsbusinessprocess-es,and9percentplannedtodeploythem.How-ever,asmanyas40percenthadnoplanstouse

imizeCustomsclearancetimeandcosts,whilein-

telligentlymanaginginboundandoutboundgoods

andvehicles.Disruptivetechnologiesneedtobe

usedincombination.Furthermore,numerousel-

ementssuchascybersecurity,datacollaboration,

identifiersandothersneedtobeconsideredwhen

implementinginnovativesolutions.

III.Thetechnologies

1.Blockchaintechnology

Blockchain’spotentialtofacilitateCustomspro-

cessesismultifaceted,fromCustomsclearance

tointer-agencycooperation,certification,identity

management,compliancemanagement,revenue

14|WCO/WTO

ExecutiveSummary

thetechnology,fornow.Ofthe72respondentsdeployingIoT,themajorityindicatedthatthiswasinrelationtoX-rayorcomputedtomography(CT)scanning,andsignificantnumbersusedQRcodeandbarcodereaders,automatedlicenceplatereadersandcameras,aswellaselectronicseals(e-seals).

3.Bigdata,dataanalytics,artificialintelligenceandmachinelearning

Useofbigdata,dataanalytics,artificialintelli-gence(AI)andmachinelearning(ML)inCustomsandbordermanagementpresentsatremendousopportunityinthecross-bordermovementofpeopleandonthecommercialside.Ashugevol-umesofdataaregeneratedbypeopleandgoodsmovingacrossborders,thisgroupoftechnologiesprovidestheabilitytomakesenseofth