拉丁美洲經(jīng)濟(jì)委員會(huì)-亞洲四大先進(jìn)單一窗口的比較分析：中國香港；日本；大韓民國和新加坡（英）

Comparative

analysisoffouradvancedsinglewindowsinAsia

HongKong,China;Japan;RepublicofKorea

andSingapore

JonathanKoh

UNITEDNATIONS

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ProjectDocuments

ComparativeanalysisoffouradvancedsinglewindowsinAsia

HongKong,China;Japan;

RepublicofKoreaandSingapore

JonathanKoh

ThisdocumentwaspreparedbyJonathanKoh,aconsultantwiththeInternationalTradeandIntegrationDivisionoftheEconomicCommissionforLatinAmericaandtheCaribbean(ECLAC),withintheframeworkofthecooperationprogrammebetweenECLACandtheRepublicofKorea,aspartoftheproject“PromotingdigitalandinclusivetradeinLatinAmericaandtheCaribbean:learningfromsinglewindowsintheRepublicofKoreaandotherAsiancountries”.

TheUnitedNationsandthecountriesitrepresentsassumenoresponsibilityforthecontentoflinkstoexternalsitesinthispublication.

MentionofanyfirmnamesandcommercialproductsorservicesdoesnotimplyendorsementbytheUnitedNationsorthecountriesitrepresents.

Theviewsexpressedinthisdocument,whichhasbeenreproducedwithoutformalediting,arethoseoftheauthoranddonotnecessarilyreflecttheviewsoftheOrganizationorthecountriesitrepresents.

UnitedNationspublication

LC/TS.2024/85Distribution:L

Copyright?UnitedNations,2024Allrightsreserved

PrintedatUnitedNations,SantiagoS.2400613[E]

Thispublicationshouldbecitedas:J.Koh,“ComparativeanalysisoffouradvancedsinglewindowsinAsia:HongKong,China;Japan;RepublicofKoreaandSingapore”,ProjectDocuments(LC/TS.2024/85),Santiago,EconomicCommissionforLatinAmericaandtheCaribbean(ECLAC),2024.

ApplicationsforauthorizationtoreproducethisworkinwholeorinpartshouldbesenttotheEconomicCommissionforLatinAmericaandtheCaribbean(ECLAC),DocumentsandPublicationsDivision,publicaciones.cepal@.MemberStatesandtheirgovernmentalinstitutionsmayreproducethisworkwithoutpriorauthorization,butarerequestedtomentionthesourceandtoinformECLACofsuchreproduction.

ECLACComparativeanalysisoffouradvancedsinglewindowsinAsia...3

Contents

Introduction 7

I.Frameworktocharacterizesinglewindowsaccordingtotheirmaturitylevel 9

A.Stage1:customsautomation 10

B.Stage2:tradepointportals 10

C.Stage3tradeelectronicdatainterchange/valueaddednetwork 10

D.Stage4:customssinglewindow/portcommunitysystems 10

E.Stage5:nationalsinglewindow 11

F.Stage6:extendednationalsinglewindowswithbusiness-to-businessservices 11

G.Stage7:regionalsinglewindows 12

II.HistoricalbackgroundofthefourAsiansinglewindows 13

III.IntegrativeanalysisofmainfunctionalitiesofthefourAsiansinglewindows 17

A.Partiesinvolvedintradeandtransport 17

B.Standardisedinformationanddocuments 18

C.Tradeprocessintegration 18

1.Electronicdatasubmission 18

2.Interconnectivity 18

D.Fulfillingregulatoryrequirements 19

E.Singlesubmissionofindividualdataelements 20

IV.MainfeaturesofselectedAsiansinglewindows 21

A.Generalcharacteristics 21

B.Legalframework 25

C.Institutionalarrangements 26

D.Financialsustainabilityandoperationalcontinuity 27

E.Servicesprovidedtothetradecommunity 28

F.FacilitiesforMicro,Small,andMediumEnterprises(MSMEs) 30

G.HowdotheAsiansinglewindowshandlee-commerce? 31

ECLACComparativeanalysisoffouradvancedsinglewindowsinAsia...4

V.SpecifictechnologycharacteristicsofthefourAsiansinglewindows 33

A.

Authenticationmechanisms 33

B.Digitalsignature 34

C.Electronicpayment 35

D.Riskmanagement 35

E.Useofemergingtechnologies 36

F.Connectivitywithothersinglewindows 38

VI.CharacterizingthefourAsiansinglewindowsaccording

totheirstageofdevelopment 39

Bibliography 41

Table

Table1HistoricalantecedentsofthefourAsiansinglewindows 13

Diagrams

Diagram1Stagesinthedevelopmentofasinglewindow 9

Diagram2Exampleofdatareuseinsingaporetradenet/NTP 20

Diagram3TradeNet,TradeXchangeandecustomssystems

(priortonetworkedtradeplatform) 22

Diagram4HongKongSARtradesinglewindow 23

Diagram5NipponAutomatedCargoClearanceSystem(NACCS)singlewindow 24

Diagram6UNIPASSsinglewindow 24

Diagram7RiskmanagementintheNipponAutomatedCargoClearanceSystem(NACCS) 36

ECLACComparativeanalysisoffouradvancedsinglewindowsinAsia...5

Acr6nimos

ACCSAirCargoClearanceSystem

ACIAdvanceCargoInformationAIArtificialintelligence

AMSASEANMemberStates

ASEANAssociationofSoutheastAsianNations

ASWASEANSingleWindow

ATIGAASEANTradeinGoodsAgreement

B/LBillofLading

B2BBusiness-to-Business

B2GBusiness-to-Government

C&EDCustomsandExciseDepartment

C&SDCensusandStatisticsDepartment

CACompetentAuthorities

CCMCargoClearanceModule

CCPCargoClearancePermit

CEDBCommerceandEconomicDevelopmentBureau

CETSCommunityElectronicTradingService

CNMCertificateofNon-Manipulation

COCertificateofOrigin

DCPDutiableCommoditiesPermit

e-B/LElectronicBillofLading

EDIElectronicDataInterchange

e-L/CElectronicLetterofCredit

EMANElectronicServiceonManifests

EODESElectronicOriginDataExchangeSystem

FTAFreetradeagreement

G2GGovernment-to-Government

GETSGovernmentElectronicTradingServices

HSHarmonizedSystem

IRMIntegratedRiskManagement

ITInformationTechnology

KCNETKoreaCustomsNetwork

KCSKoreaCustomsService

KITAKoreaInternationalTradeAssociation

KTNETKoreaTradeNetworkCo.Ltd.

L/CLetterofCredit

MSMEMicro,Small,andMediumEnterprises(MSMEs)

N2NNation-to-Nation

NACCSNipponAutomatedCargoClearanceSystem

NTPNetworkedTradePlatform

OGAOtherGovernmentAgencies

PCOPreferentialCertificateofOrigin

ECLACComparativeanalysisoffouradvancedsinglewindowsinAsia...6

PCS

PortCommunitySystems

PGA

ParticipatingGovernmentAgency

PPP

Public-PrivatePartnership

ROCARS

RoadCargoSystem

SAR

SpecialAdministrationRegion

SNS

SingaporeNetworkServicesPteLtd

SP

ServiceProvider

SW

SingleWindow

TFA

TradeFacilitationAgreement

TID

TradeandIndustryDepartment

TSW

TradeSingleWindow

UN/CEFACT

UnitedNationsCentreforTradeFacilitationandElectronicBusiness

UNCITRAL

UnitedNationsCommissiononInternationalTradeLaw

UNECE

UnitedNationsEconomicCommissionforEurope

VAN

Value-AddedNetwork

VASP

Value-AddedServiceProviders

WCO

WorldCustomsOrganization

WoG

Whole-of-Government

WTO

WorldTradeOrganization

ECLACComparativeanalysisoffouradvancedsinglewindowsinAsia...7

Introduction

Inthelasttwodecades,theconceptoftheSingleWindowforForeignTrade(SW)hasacquiredincreasingimportanceintheglobaltradefacilitationagenda.ThemaingoaloftheSWistoenhancetradefacilitation,reduceadministrativeburdens,andpromoteefficientandsecuretradeprocesses.TheUnitedNationsEconomicCommissionforEurope(UNECE)UN/CEFACTRecommendationNo.33-“RecommendationandGuidelinesonEstablishingaSingleWindow-ToEnhancetheEfficientExchangeofInternationalTradeInformationBetweenTradeandGovernment”wasfirstpublishedin2005andupdatedin2020,tofactorthevariousdevelopments—includingtechnologicalones—thattookplaceintheinterveningperiod.Thislatestversion(UN/CEFACT,2020)definesaSingleWindowas:

“afacilityprovidingtradefacilitationthatallowspartiesinvolvedintradeandtransporttolodgestandardizedinformationanddocumentswithasingle-entrypointtofulfilallimport,export,andtransit-relatedregulatoryrequirements.Individualdataelementsshouldonlybesubmittedonceelectronically”.

TheestablishmentofaSingleWindowplaysacrucialroleinthemovetowardspaperlesstrade,generatingsignificantsavingsintimeandmoneyforbothcompaniesandthedifferentpublicbodiesinvolvedinforeigntradeoperations.TheTradeFacilitationAgreementoftheWorldTradeOrganization(WTO),whichenteredintoforcein2017,establishesthecommitmentofallitsmemberstomaintainorestablishaSingleWindow.

Asiaishometosomeoftheworld’slargesttradingeconomiesandalsotoseveralofthemostadvancedSingleWindows.Thisreportanalysesandcomparesthemainfunctionalitiesoffourofthem:thoseofHongKong(SpecialAdministrativeRegionofChina),Japan,theRepublicofKoreaandSingapore.TheexperienceoftheseeconomiesoffersimportantinsightstopolicymakersinLatinAmericaandtheCaribbean,whereSingleWindowsaregenerallyatamuchearlierstageofdevelopment.OfparticularinterestistheinclusioninadvancedAsianSingleWindowsofseveralfunctionalitiesaimedatpromotingtheinternationalizationofmicro,smallandmedium-sizedenterprises(MSMEs),includingbyfacilitatingtheirparticipationine-commerce.

ECLACComparativeanalysisoffouradvancedsinglewindowsinAsia...8

Thisdocumentisstructuredasfollows.Afterthisintroduction,sectionIprovidesaframeworkforthecharacterizationofSingleWindowsaccordingtotheirstageofmaturity.sectionIIpresentsabriefhistoricalaccountofthefoureconomies’effortsindevelopingtheirrespectiveSingleWindows.sectionIIIprovidesanoverviewofthefourSingleWindowsaccordingtothefivekeyelementsoutlinedinRecommendationNo.33:thepartiesinvolvedintradeandtransport,standardizedinformationanddocuments,asingleentrypoint,thefulfilmentofregulatoryrequirements,andthesinglesubmissionofindividualdataelements.sectionIVfocusesonthemainfunctionalitiesofeachSingleWindowandontheirlegal,institutional,andfinancialarrangements,whilesectionVlooksatsomeoftheirtechnologicalcharacteristics.Finally,sectionVIcharacterizeseachofthefourSingleWindowsaccordingtotheirstageofmaturity,usingtheframeworkpresentedinsectionI.

ECLACComparativeanalysisoffouradvancedsinglewindowsinAsia...9

I.Frameworktocharacterizesinglewindowsaccordingtotheirmaturitylevel

Diagram1providesausefulandsimplifiedwaytocharacterisethedifferentstagesinthedevelopmentofatradeSingleWindow,basedonthetaxonomyproposedbyKoh(2011).

Diagram1

Stagesinthedevelopmentofasinglewindow

Source:Author,adaptedfromJ.Koh,“TenYearsofSingleWindowImplementation:LessonsLearnedfortheFuture”,DiscussionPaper,UNGlobalTradeFacilitationConference(2011)[online]

/fileadmin/DAM/trade/

Trade_Facilitation_Forum/BkgrdDocs/TenYearsSingleWindow.pdf.

ECLACComparativeanalysisoffouradvancedsinglewindowsinAsia...10

A.Stage1:customsautomation

Thepre-SingleWindowevolution’sfirststepinadvancingelectronictradefacilitationisthedevelopmentofapaperlesscustomsdeclarationsystem,transitioningfrommanualortraditionalElectronicDataInterchange(EDI)systemstoelectroniccustomsdeclarationsystems.AnelectronicautomatedcustomssystemisthefoundationalsteptowardsestablishinganationalSingleWindow,andtypicallyshouldincludefeatureslikeelectroniccustomsdeclarations,e-payment,automatedriskassessment,andrisk-basedinspections.

B.Stage2:tradepointportals

FollowingthiswastheeraofthedevelopmentofnationalTradePoints.Theseserveasaninformationsourcefortrade-relatedinformation,providingtraderswithdataaboutbusinessandmarketopportunities.Theyalsofunctionastrade-facilitationcentres,whereplayersintradetransactions(e.g.Customs,banks,chambersofcommerce,freightforwarders,transportandinsurancecompanies)aregroupedtogetherunderasinglephysicalrooforlinkedvirtuallytotheTradePointtoprovidealltheservicesrequiredfortradetransactions.TradePointswereoriginallyconceptualizedtoserveasgatewaystoglobalelectronicnetworks,withallnationalTradePointsinterconnectedinaworldwideelectronicnetwork.

C.Stage3:tradeelectronicdatainterchange/valueaddednetwork

Inpaperlesscustomsenvironments,secureelectronicdatainterchange(edi)andvalue-addedNetworks(VANs)facilitateelectroniccustomsdocumentexchange,eliminatingtheneedforphysicalvisitsorpapersubmissions.Thesesystemsoftenexpandtocoverothercustoms-relatedtaskslikeonlinedutypayment,electronicriskassessment,containerloadingdocumentation,andinformationexchangebetweencustomsandterminaloperatorstoexpeditecustomsclearanceatportsorborders.Oneevolutionarydevelopmentistheuseofvalue-addednetwork(VAN)providersasintermediariesinelectronicdataexchanges.AValue-AddedNetwork(VAN)providerfacilitatessecureandefficientelectronicdataexchangesbetweenbusinesses.Theyhandledatatransmissionacrossdifferentcommunicationprotocols,offertranslationservicesforvaryingdataformats,andensurerobustdatasecurity.VANsalsoenableinteroperabilitybetweendisparatesystems,providedatastorageandarchiving,andofferadditionalserviceslikeintegrationwithenterprisesystems.Theyensurenetworkreliabilityandprovidesupportfortechnicalissues,oftenusingamailboxapproachforreceiving,storing,andforwardingelectronicdata,thussimplifyingandstreamliningbusinesscommunications.

D.Stage4:customssinglewindow/portcommunitysystems

Stage4involvestheconceptsofCustomsSingleWindowandPortCommunitySystems.Typically,thedevelopmentandimplementationofaSingleWindowinsomecountrieshavetobegradualanddependonagencycollaboration,willingness,andcost-benefitjustification.Toaddresschallengesresultingfromtheinvolvementofmultipleothergovernmentagencies(OGAs)

,1

avariationknownasthe"CustomsSingleWindow"hasemerged.Itfocusesprimarilyoncustoms-relatedinteractionsbutdoesnotcoverallregulatoryprocessesoutlinedinUN/CEFACTRecommendation33.

1InthecontextofaSingleWindowsystemfortradefacilitation,theexpression“OtherGovernmentAgencies”(OGAs)referstovariousgovernmententitiesorauthoritiesthathaveregulatoryresponsibilitiesandareinvolvedintheimport,export,ortransitofgoods.Theseagenciesplayaroleinensuringthatimportedorexportedgoodscomplywithspecificregulations,standards,andrequirementsrelatedtohealth,safety,security,environment,andotheraspects.ThetermParticipatingGovernmentAgencies(PGAs)isalsosynonymouslyused.

ECLACComparativeanalysisoffouradvancedsinglewindowsinAsia...11

Otherauthoritieswithsignificantrolesintrade,suchasPortAuthorities,haveestablishedlimited,port-centric"SingleWindows"referredtoaseither"PortSingleWindows"or"PortCommunitySystems"(PCS).PortSingleWindowsprovidelocal-levelvesselinformationtoportauthorities,whilePCSfacilitatesdataexchangeintheportenvironmentwithaBusiness-to-Business(B2B)character.APortCommunitySystemservesasacentrallyoperatedsystemfordatatransfer,enablingpartiesinterestedinsea-bornetransportinformationtoavoidbilateraldatatransfers.

TheselimitedformsofSingleWindowsystems,whetherCustoms-centricorport-centric,serveasvaluablelearningexperiencesformanycountriesastheyworktowardsachievingthefullvisionofa"NationalSingleWindow"fortradefacilitation.

E.Stage5:nationalsinglewindow

Atthisstage,thefocusisonintegratingtheautomatedcustomssystemwithallothergovernmentagencies(OGAs)responsibleforissuingtrade-relatedpermits,certificates,anddocuments.Thisintegrationstreamlinesinteractionsbetweentradersandmultiplegovernmentagenciesinvolvedintrade,import,export,andtransitregulations.AfullnationalSWallowsfortheelectronicapplicationandissuanceofpermitsandcertificates,facilitatingtheirexchangeamonggovernmentagencies.Thiseliminatestheneedfortraderstovisitmultipleregulatoryofficesphysically.Inthebeginning,priorityisoftengiventotheinvolvementofagencieshandlinghightransactionvolumes,numerousdocuments,andthoseimpactingnationaldevelopmentagendas,likeagenciesissuingcertificatesoforiginandexportpermitsforstrategicproducts.

AfullSWisachievedwhenallOGAsandalltheirpermitsareincluded.ItneedstobeabletointerfaceorintegratethevariousOGAs’needsandrequirementsintheSWtofacilitatetrade.Thechallengeisthatgovernmentagenciesaretraditionallyorganizedinsiloeddepartmentalfashion,whichcreateslimitedconnectionwitheachothereithertechnologicallyorinthewaytheirservicesaredelivered.Therefore,projectteamsimplementingnationalsinglewindowsoftenfoundthemselvestobepioneersinestablishinga“wholeofGovernment”framework.Few,ifany,otherelectronicgovernmentinitiativeshaveaswideascopeandbreadthasanationalSWprojectthatnecessitatestheinterfacingorintegrationofmanygovernmentbackendsystems.ThismakesnationalSWprojectsevenmorechallenging.Onlycountriesthatalreadyhaveastrongelectronicgovernmentfoundationareabletobuilduponittowardsthe“wholeofGovernment”connectedgovernmentstructure.

F.Stage6:extendednationalsinglewindowswithbusiness-to-businessservices

AnationalSW,bydefinition,catersforBusiness-to-Government(B2G)andGovernment-to-Government(G2G)connectivity.AninterestingextendedvariantofNSWprovidesfortheextensionoftheservicestoofferBusiness-to-Business(B2B)servicesaswell,suchastrade-financinginstruments(letterofcredit,letterofguarantee,billofladings),commercialdocuments(purchase/salesorder,orderconfirmation,packinglist,advancedshipmentnotice,commercialinvoices),etc.Theseserviceshingeontheconceptofanational“paperlesstrade”ecosystem.ExamplesofsuchextendedpaperlesstradeecosystemsincludetheRepublicofKorea’su-TradeHub,Singapore’sNetworkedTradePlatform,andIndonesia’sNationalLogisticsEcosystem.

ECLACComparativeanalysisoffouradvancedsinglewindowsinAsia...12

G.Stage7:regionalsinglewindows

AsmorenationalSingleWindowsarecreated,thereisconsiderableimpetusinregionalandinternationalforaforgreaterconnectivitybetweencountries,regionsandacrosscontinents.Themodelcurrentlybeingcontemplatedforeseessupra-nationalNation-to-Nation(N2N)exchangeoftradeinformationbetweenNationalSingleWindows.

TheASEANSingleWindow(ASW)isthefirstregionalinitiativethatseekstoenhanceregionalconnectivity.Itisdefinedas:“ThesecuredenvironmentwhereNationalSingleWindows(NSWs)integrateandoperate”.OtherregionsandgroupingshavealsoinstitutedregionalSWprojectsincludingthePacificAllianceinitiativeconnectingthenationalSWsofChile,Peru,Mexico,andColombia;theEuropeanUnionSWEnvironmentforCustomswhichconnectsthelimitedCustomsSWsbetweenEUstates;andtheEastAfricanCommunity(EAC)regionalelectronicSW.

ECLACComparativeanalysisoffouradvancedsinglewindowsinAsia...13

II.HistoricalbackgroundofthefourAsiansinglewindows

AstradeisofgreatimportancetothefourAsianeconomiesexaminedhere,thedevelopmentofpaperlesstradeintheseeconomiesprecededtheconceptualisationofthetermSingleWindowaspopularisedinthefirstversionofRecommendation33.AllofthemstartedthecomputerisationordigitalisationoftheirtradeprocessesduringtheeraofElectronicDataInterchange(EDI)(seetable1).ElectronicDataInterchangewasfirstusedforinternationaltradeprocessesprimarilyinindustrializedcountriesduringthelate1960sandearly1970s.TheadoptionofEDIforinternationaltradewasdrivenbytheneedtostreamlineandautomatetrade-relateddocumentationandprocesses.Itemergedasatechnologythatallowedbusinessestoexchangestructureddataelectronicallyinastandardizedformat,replacingpaper-baseddocumentssuchaspurchaseorders,invoices,andshippingnotices.

Table1

HistoricalantecedentsofthefourAsiansinglewindows

Economy

NameofSWandExtendedSW

Yearlaunched/numberofyearsinoperation

Startofelectronic/paperlesstrade

Singapore

TradeNet/NetworkedTradePlatform(NTP)

1989/35

Launchedthe“TradeNet”SWin1989,connectingtheSingaporetrade

communityviaasinglepointofentry.

HongKong

(S.A.R.ofChina)

GETS/TradeSingleWindow

1997/27

Firstplatform-GovernmentElectronic

TradingServices(GETS)startedinJanuary1997butwithlimitedtradepermitsuntil

TradeSW(TSW)startedin2018.

RepublicofKorea

UNIPASS/uTradeHub

1994/30

ImplementationofEDI-basedtradeandcustomsautomationsystemsand

servicesin1994.LaunchedUNIPASSSWin2006.

Japan

NipponAutomatedCargo

ClearanceSystem(NACCS)

1978/46

Firstintroducedapaperlesstradesystemin1978withAir-NipponAutomatedCargo

ClearanceSystem(Air-NACCS).LaunchedtheNACCSSWin2003.

Source:Author’sownelaboration.

ECLACComparativeanalysisoffouradvancedsinglewindowsinAsia...14

Allfoureconomiespresentanation-widefacilitywhichallowspartiesinvolvedintradeandtransporttolodgestandardizedinformationanddocumentswithasingle-entrypointtofulfilallimport,export,andtransit-relatedregulatoryrequirements.Allofthemestablishedacentralizedelectronicplatformwheretraderscansubmitandaccessthenecessarytrade-relatedinformationanddocuments.

SingaporeSW:LaunchedinJanuary1989,Singaporepioneeredwhatcouldbeconsideredtheworld'sfirstSingleWindowsystem,knownasTradeNet.TradeNetservesasaBusiness-to-Government(B2G)platform,connectingbusinesseswiththegovernmentandalsoenablingGovernment-to-Government(G2G)interactions.ThroughTradeNet,traderscansubmitasingledeclaration(tradepermit)tomultipleregulatoryagencies,reducingtimeandcostsassociatedwithtradedocumentation.Thesystemhascontinuallyevolved,aligningwithinternationalstandardsandintegratingvariousgovernmentrequirements.TradeNet'ssuccessliesinits"singleplatformandsinglesubmission"approach,resultinginstreamlinedandintegratedprocessing.AsthisconnectedtheSingaporetradecommunitythroughasingle-entrypointwith35governmentagencies,Singapore'sSWexperienceprovidedvaluableinsightsintotheneedfora"whole-of-government"(WOG)approachtodeliverefficientservicestothetradingcommunity.In2007,SingaporeintroducedTradeXchange,aneutralintegratedITplatformforbothBusiness-to-Business(B2B)andB2Ginformationexchange.ItmarkedSingapore'sfirstPublic-PrivatePartnership(PPP)ITprojectandfacilitatedtheflowofgoodsbyconnectingcommercialandregulatorysystems.TheNetworkedTradePlatform(NTP),launchedin2018,replacedTradeXchangeasaone-stopB2Btradeandlogisticsecosystem,connectingindustryplayersacrossthe