Страницы: 1 2
14 июня 1998 года и применяется исключительно к воздушным перевозкам
между территориями 43 Договаривающихся Сторон (по состоянию на 30 июня
1999 года). Странам, которые еще не произвели ратификацию,
настоятельно предлагается еще раз осмыслить важное значение этого
Протокола для развития их сектора грузовых авиаперевозок,
присоединиться к числу Договаривающихся Сторон Протокола и
соответствующим образом осуществлять его <21>.
--------------------------------
<21> 28 мая 1999 года была открыта для подписания Конвенция об
унификации некоторых правил, относящихся к международным
авиаперевозкам (Монреальская конвенция 1999 года), которая с учетом
темпов ее ратификации, вероятно, должна вступить в силу в ближайшем
будущем. Для государств, являющихся ее участниками, а также
участниками Монреальского протокола N 4, она заменит положения
последнего документа.
Мера 4.8 Использование преимуществ вступления в силу
Монреальского протокола N 4 к Варшавской конвенции
После вступления в силу Монреальского протокола N 4 продавцы и
покупатели смогут отказаться от обязательного составления
авианакладной в качестве бумажного документа. Вместо бумажной
авианакладной можно использовать электронную обработку и передачу
данных об авиаперевозках между территориями двух Договаривающихся
Сторон.
Мера 4.9 Своевременное представление извещений о прибытии груза
Транспортные операторы и перевозчики должны обеспечить
заблаговременное получение извещений о прибытии всеми
заинтересованными сторонами до фактического прихода груза и должны - в
зависимости от временного фактора - использовать факсимильную связь,
электронную почту или аналогичные средства, либо документ,
соответствующий требованиям ФОООН <22>, возможно, копию транспортного
документа.
--------------------------------
<22> См. введение к четвертой группе мер выше и сноску в
настоящем разделе.
Мера 4.10 Стандартная практика, касающаяся предварительных
извещений о прибытии груза
В целях выработки простой, широко известной и понятной практики,
особенно на очень коротких маршрутах, транспортным операторам,
перевозчикам, экспедиторам грузов, импортерам, таможенным и другим
органам следует изучить потребности каждой стороны в отношении
предварительных извещений о прибытии груза.
Мера 4.11 Системы слежения и контроля за движением грузов
Следует поощрять использование транспортными операторами и
перевозчиками компьютеризированных систем слежения и контроля за
движением грузов с целью заблаговременного информирования клиентов о
местонахождении их партий товаров.
26 - 29 марта 2001 г.
----------------------------------------------------------------------
Текст на английском языке
RECOMMENDATION No. 18
FACILITATION MEASURES RELATED TO INTERNATIONAL
TRADE PROCEDURES
(26 - 29.III.2001)
INTRODUCTION
International trade and transport developments will be largely
influenced by the development of Information Technology (IT) and, in
particular, Internet or web-based applications.
Although the conviction has grown over the years that free world
trade will benefit all countries, particularly developing countries
and those in transition, this belief has not always been reflected in
their respective trade policies. In fact, there are still a
considerable and growing number of obstacles to international trade.
These obstacles sustain the unnecessary extra cost and complications
to international transactions, thereby preventing countries and
enterprises from fully benefiting from international trade.
E-business makes it possible to compare offers, then order the
goods and arrange payment terms all within a matter of minutes.
However, the actual delivery of the traded goods to the final consumer
/ consignee can often face problems because the physical movement of
these goods might be hampered. These delays can be caused by
inadequate instructions / information being provided by the seller /
buyer, by the performance of intermediary service providers and by the
various demands of official controls from governmental
administrations. Commercial partners trading electronically will
require further measures to reduce or avoid any unnecessary delay in
the delivery of their consignments. This is a valuable and challenging
new dimension to the trade facilitation efforts of UN/CEFACT.
In order to understand the complexity of international trade, to
have a clear model of the key elements of a trade transaction and
consequently to properly compile the necessary trade facilitation
measures, UN/CEFACT has set out to model the international supply
chain <1>, using an internationally accepted modelling technique <2>.
The ultimate aim is to provide a reference model, which gives a view
of the international supply chain in its entirety. Furthermore, it
should support the detailed standardisation work and trade
facilitation actions being carried out within the UN/CEFACT working
groups. It should also pave the way for the creation of simpler and
more certain international supply chains in the future. This work is
being carried out in the Business Process Analyses Working Group. They
have produced a very simplified model of the supply chain based on the
assumption that an international trade transaction always includes
commercial, shipping and payment processes. The recommended measures,
grouped into four categories, relate to the processes in this model.
--------------------------------
<1> International Supply Chain views an international trade
transaction as a single entity rather than as a series of fragmented
activities involving different "actors" such as: exporter, importer,
forwarder, customs, carrier, bank etc. "Supply" is a shared objective
throughout international trade and is of particular strategic
importance because of its impact on the identification of continuing
barriers to international trade and the consequences on overall costs
and time to market.
<2> Unified Modelling Methodology - UMM.
------------------------------------------------------------------
| Intermediary |
| |
| --------- --------- -------- |
| Supplier | Buy |>| Ship |>| Pay |> Customer |
| --------- --------- -------- |
| |
| AUTHORITY |
------------------------------------------------------------------
Figure 1: Very simplified way of showing a supply chain
- BUY - covering all commercial activities related to the
ordering of goods;
- SHIP - covering all of the activities involved in the physical
transfer of the goods, including official controls;
- PAY - covering all of the activities involved in the payment
for the goods.
Recommendation N. 18 in its original format was adopted in
September 1981 by the Working Party on Facilitation of International
Trade Procedures. This document recommended a number of concrete
measures to facilitate international trade transactions. A revised
version was adopted in September 1992. In view of technological
developments and increased globalisation which have changed the
existing patterns of international trade and transport since 1992, the
United Nations Centre for Trade Facilitation and Electronic Business
(UN/CEFACT) hosted by the UN/ECE, which has replaced the Working Party
on Facilitation of International Trade Procedures, undertook to revise
this Recommendation. The draft was sent out for comments to
international organisations: the International Federation of Freight
Forwarders Associations (FIATA); the International Association of
Ports and Harbors (IAPH), the International Chamber of Commerce (ICC),
the International Civil Aviation Organization (ICAO), the
International Federation of Inspection Agencies (IFIA), the
International Maritime Organization (IMO), the International
Organization for Standardization (ISO), the International Union of
Railways (UIC), the United Nations Commission on International Trade
Law (UNCITRAL), the United Nations Conference on Trade and Development
(UNCTAD), the World Bank, the World Customs Organization (WCO), and
the World Trade Organization (WTO). At its ..... session held in March
....., UN/CEFACT adopted the present version.
The revised Recommendation No. 18 has the following structure:
-----------------------
| Introduction |
| and Recommendations |
-----------------------
-----------------------
| General Principles |
-----------------------
RECOMMENDED MEASURES
---------------------------------------------------------------------------
| Commercial || International || Official control || Transport-related |
| measures || payment measures || measures || measures |
---------------------------------------------------------------------------
The general principles apply to two or more of the groups of
recommended measures. These measures are intended to be of a very
practical nature.
RECOMMENDATIONS
UN/CEFACT,
Being concerned that a wide range of formalities, procedures and
practices create obstacles and extra cost to international trade, and
therefore restrict countries and enterprises from fully benefiting
from international trade;
Considering that the simplification, harmonisation and
standardisation of procedures, practices and of formalities, and of
the documents arising from them are useful steps towards the removal
of such obstacles, and towards the reduction of cost and delay;
Bearing in mind the rapid and ever accelerating pace of the
introduction of information and communication technology, the new
developments in the trade and transport industry, and the urgent need
to adapt trade procedures and practices to such new techniques;
Recommends that Governments, administrations and organisations
responsible for the national regulations and practices related to the
movement of goods in international trade support international
facilitation work by adhering to the general principles and
implementing facilitation measures described hereafter.
Recommends that international organisations responsible for the
international agreements include these measures when reviewing
existing or preparing new international instruments.
Recommends that participants in international trade accept and
implement those facilitation measures described hereafter, which fall
within their area of interest.
Invites Governments and international organisations to notify the
Executive Secretary of the United Nations Economic Commission for
Europe (UN/ECE) of the extent to which they accept and will implement
the facilitation measures described hereafter.
GENERAL PRINCIPLES
This Recommendation relies on the assumption of the
predictability, transparency and non-discrimination of the time
required, the procedures used and the cost involved in compliance with
official regulations. Moreover, the Recommendation is based on the
following governing principles, which may apply to one or more of the
aforementioned groups of recommended measures. They cover procedures
and data requirements, documents and Information Technology.
Procedures and data requirements
- Procedures should be kept to a minimum.
- Procedures should be commercially oriented and relate more
closely to trade and transport requirements.
- Procedures should be simplified, harmonised and should comply
with international standards.
- Data requirements should be kept to a minimum.
- Data requirements should be simplified, harmonised and
standardised, to ease the information flow.
- Laws regulations and other information regarding procedures and
data requirements should be readily accessible to all parties
concerned.
Documents
- Documentary requirements should be kept to a minimum.
- Documents should be in line with UN Recommendation No. 1, UN
Layout Key for Trade Documents <3>.
--------------------------------
<3> The texts of the UN/CEFACT Recommendations can be found on
www.unece.org/cefact
- The use of plain paper, documents produced or appearing to be
produced by reprographic automated or computerised systems should be
acceptable.
- The presentation of supporting documents should not be
required.
- Hand-written signatures and their equivalents should be avoided
as far as possible (e.g. on invoices) on paper documents.
Information Technology
Transition strategies to replace paper documents by electronic
information exchange or electronic documents are common practice.
- The use of information and communication technology and the
resulting electronic solutions should be encouraged.
- The use of electronic documents and standard format should be
supported (UN/CEFACT Recommendation No. 31) <4>.
--------------------------------
<4> See www.unece.org/cefact/rec/rec31en.htm
- The requirement for authentication can be fulfilled by means of
technological solutions and need not be accompanied by a signed and /
or authenticated paper document (UN/CEFACT Recommendation No. 14) <5>.
--------------------------------
<5> See www.unece.org/cefact/rec/recl4en.htm
The forthcoming publication, UN/CEFACT Compendium of Trade
Facilitation Recommendations, includes a number of other facilitation
instruments <6>.
--------------------------------
<6> To be published on the UN/CEFACT web site:
www.unece.org/cefact/
GROUP 1 - COMMERCIAL MEASURES
Introduction
Supply chain management is the strategic process of vertical and
/ or horizontal integration of the supply, manufacturing / assembling,
warehousing, transportation and payment of goods in order to fulfil
market demands.
The predominant aims are the reduction of the number of actors in
the chain, reduction of intermediate or buffer stores and lead times
by way of automation and the integration of information systems. These
can be achieved by using specialised organisations, through
comprehensive agreements and long-term partnerships.
The flows of material are increasingly taken care of by
intermediaries who often offer the complete package of services needed
for having the goods delivered to customers on time, at a given
destination, i.e. providers of international third party logistics.
The fast growing international e-business features electronic
messages (documents) - instead of traditional paper-based messages and
electronic data processing. This provides accuracy in copying and
repetitive routines, and transfer and processing times are commonly
reduced to nothing but fractions of a second. Furthermore, e-business
provides more transparent market places and processes supporting
quicker market response. Just-in-time deliveries are commonplace.
Recommended Measures
Measure 1.1 A framework contract
A framework contract for long-term partnership should be set up,
where appropriate, between the supplier of products and the customer
setting out the conditions of trade and technical details under which
the customer may place orders.
Measure 1.2 Intermediary
An intermediary who provides commercial and / or transport
services within an international supply chain should be connected,
where appropriate, to the framework contract between supplier and
customer by way of a separate contract.
Measure 1.3 Transport arrangements
The transport should be arranged from origin to destination, with
as few as possible intermediaries and with limited handling of the
goods themselves during transshipments or changes of the mode of
transport.
Measure 1.4 Environmental protection
The traders should observe the requirements of national
regulations and international agreements, i.e. on environmental
protection, including measures of safe recycling or reprocessing of
packing and product material in order to eliminate problems of
residues and waste.
Measure 1.5 In-house use of standards data elements
Enterprises introducing electronic data interchange for
international trade transactions should select standard data elements
from the UN/Trade Data Elements Directory (UNTDED), ISO 7372 and the
appropriate UN/EDIFACT directory.
Measure 1.5.1 Use of standard formats
Enterprises introducing information and communication technology
solutions for international trade transactions should apply standards
and recommendations as laid down by UN/CEFACT (as, for example, in
Recommendation No. 16: LOCODE - Code for Ports and Other Locations <7>
and Recommendation No. 25: Use of the UN/EDIFACT Standard <8>) and
other national and international organisations (e.g. the International
Organization for Standardization, the World Customs Organization, the
International Maritime Organization, the International Civil Aviation
Organization, the International Chamber of Commerce, the International
Telecommunications Union and the United Nations Conference on Trade
and Development).
--------------------------------
<7> www.unece.org/cefact/rec/rec16en.htm
<8> www.unece.org/cefact/rec/rec25en.htm
Measure 1.5.2 Alignment of in-house documents
Sellers and buyers of goods in international trade should align
all relevant in-house documents to the United Nations Layout Key for
Trade Documents.
Measure 1.5.3 Inclusion of packing instructions in order
Where packing instructions exist, they should be included in the
purchase order, thus avoiding the use of a special form. Instructions
for product marking, and on sale packing and / or transit packing may
also be included.
Measure 1.5.4 Combination of delivery instructions with order
Where delivery instructions exist, they should be combined with
the purchase order so as to avoid the use of a separate form for
[delivery] instructions or for request for delivery instructions.
Measure 1.5.5 Importers` specification of distribution of
documents
Importers` requirements for distribution of documents should be
set out in the purchase order.
Measure 1.5.6 General use of Standard Shipping Marks
Importers should promote the use of the Standard Shipping Mark
described in UN/CEFACT Recommendation No. 15 <9>, Simpler Shipping
Marks. When applicable, marking should follow standards in harmony
with the applicable international standards (e.g. ISO). Shipping marks
should be specified in purchase orders and documentary credits.
--------------------------------
<9> www.unece.org/cefact/rec/rec15en.htm
Measure 1.5.7 Timely arrival of Dispatch and Shipping advices
Dispatch and Shipping advices should reach the importer and / or
import forwarder well in advance of the goods to enable timely
arrangement for clearance and transport.
Measure 1.5.8 Exporter`s advice of distribution of documents
Exporter`s advice of distribution of documents should be combined
with the Dispatch or Shipping advice.
Measure 1.5.9 Standard conditions of sale
Trading partners should use such standard conditions of sale or
model contracts as are agreed internationally or within certain trades
when they fairly represent the interests of all the parties concerned.
The standard model contract provided by ICC should be considered when
outlining the contract of sale <10>.
--------------------------------
<10> See http://www.iccwbo.org/home/statements_rules/menu_
rules.asp on the ICC web site; see also UNCITRAL "United Nations
Convention on Contracts for the International Sale of Goods (Vienna,
1980)" http://www.uncitral.org/en-index.htm
Measure 1.5.10 Standard trade terms
Trading partners should make wide use of the applicable standard
terms, such as INCOTERMS of the ICC. To avoid possible future
disputes, specific reference should be made in the contract to the
applicable standard term, such as FCA or CIF (UN/CEFACT Recommendation
No. 5) <11>.
--------------------------------
<11> See www.unece.orq/cefakt/rec/rec5en.htm
GROUP 2 - INTERNATIONAL PAYMENT MEASURES
Introduction
The measures and recommendations dealt with in this section
relate to the methods and procedures associated with the payment for
goods in international trade.
Figure 2: Diagram - Payment in the International
Supply Chain <12>
Whilst all payment methods are covered the focus is on open
account, reflecting an increasing trend towards the use of this
payment method in international trade. The measures are directed
separately at traders, international banks, national Governments and
international organisations in order to facilitate implementation.
This approach has highlighted that much can be improved with simply
greater attention to best practice, rather than implementation of
radical international agreements and conventions. Having stated this,
there are two recommendations that do require international agreement,
one at the International Organization for Standardization (ISO) and
the other at the World Trade Organization (WTO).
--------------------------------
<12> International Supply Chain views an international trade
transaction as a single entity rather than as a series of fragmented
activities involving different "actors" such as exporter, importer,
forwarder, customs, carrier, and bank. "Supply" is a shared objective
throughout international trade and is of particular strategic
importance because of its impact on the identification of continuing
barriers to international trade and the consequences on overall costs
and time to market.
---------------------------------------------------------------------
| Pay |
| ---------------------------- |
| | Pay | |
| ---------------------------- |
| ---------------- |
| | Prepare for | |
| | Payment | |
| ---------------- |
| О ---------------- О |
| -+- | Request | -+- |
| | | Payment | | |
| / \ ---------------- / \ |
| Customer ---------------- Supplier |
| | Initiate | |
| | Payment | |
| ---------------- |
| О ---------------- О |
| -+- | Execute | -+- |
| | | Payment | | |
| / \ ---------------- / \ |
| Intermediary --------------------- Intermediary |
| Customers Bank | Advice | Suppliers Bank |
| | Payment / Cred it | Other Banks |
| --------------------- |
---------------------------------------------------------------------
In researching the recommendations, what became clear was that
the payment aspects of the overall business supply chain, as reflected
in the "payment process", were often overlooked and underestimated by
companies involved in international trade. This has been at the
seller`s peril as it results in non-payment, late payment or the
supply of products for no profit.
Certain recommended measures are directed at banks that provide
international services. Over the past few years the banks have focused
many improvements on domestic payment facilities, to the detriment of
progress in respect of international payment services. This has
resulted in little real progress and modernisation being made.
Although not included as a recommendation, it has been observed that
new payments systems, beyond the range of traditional procedures, such
as documentary credits and bills of exchange, should be investigated
and made widely available.
In terms of national Governments and international agreements, it
is hoped that the measures proposed can be adopted voluntarily in the
interest of freeing up markets. If not efficiently managed it has been
assessed that the payment cycle can cost up to 8 - 15 per cent of the
transaction value. This cost is often passed on to the purchaser in
the country of importation. In terms of measures related to exchange
control, these will have a negative effect on the macro-economy of the
importing country by adding to the cost of the products domestically
and ultimately their exports.
It is also recognised that with the removal and restriction on
duty rates, some countries may consider using other procedures to
restrict trade e.g. they may delay payment in order to benefit for as
long as possible from the credit currency in their domestic banking
system. Not only are these measures counter-productive, but they also
run contra to the objectives of globalisation. It is therefore
recommended that the WTO include appropriate recourse mechanisms to
prevent this.
Finally, the use of the Internet and e-commerce has also had a
major impact on payment practice and the provision of information that
is available on, for example, creditworthiness and payment morality.
The recommendations take account of these developments, but are not
mutually exclusive and apply equally to countries where such
facilities are limited or do not exist.
Recommended Measures
Measures 2.1 Recommended measures directed at international
traders
The eight recommendations are directed at companies involved in
international trade. They are recommended on the basis of being best
practice and are presented in the form of an action list. It should be
noted that all of the points made are of equal importance, as each, if
not implemented, might have a negative effect on the receipt or
promptness of payment.
Measures 2.1.1 Proper training of staff involved in international
trade
Businesses involved in international trade should ensure that
their staff have been properly trained in international payment
matters.
Measures 2.1.2 Understanding the payment process
It should be ensured that export sales personnel, as well as
operational staff, fully understand the payment process as described
in this Recommendation and are properly briefed on the appropriate
payment terms included in the sales contract.
Measures 2.1.3 Using briefings on payments
A number of briefings on payment in international trade are
available for businesses. It is recommended that these briefings be
made available nationally so that companies can use them to train and
inform their staff.
Measures 2.1.4 Encouraging prompt payment
In order to encourage prompt payment by customers, businesses
should consider offering discount for prompt payment. As an example,
discounts of 1 - 3 per cent might be offered where payment is made on
delivery or 0,5 - 1,5 per cent where payment is received within ten
days.
Measures 2.1.5 Credit monitoring
Businesses should review their need for credit information
(credit worthiness and payment morality) The terms on which such
information could be made available should be discussed with their
banks or commercial credit information supplier.
Measures 2.1.6 Payment terms
On the basis of credit information received, it is recommended
that a business should build up a profile of its customers and adjust
its payment terms according to the perceived credit risk, the
associated cost of the particular payment method and the value of
goods consigned.
Measures 2.1.7 Managing prompt payment
Despatch and delivery of the goods should be followed up with a
Delivery & Quality e-mail or fax to the buyer / importer / customer
emphasising that the goods have arrived, that they meet contract
quality specifications, and the seller looks forward to prompt payment
by the due date.
Measures 2.1.8 Reducing collection costs
Businesses should approach their banks to obtain collection
facilities and trade finance located in the buyers` / importers` /
customers` countries in order to speed receipt of payment and
reduction of trade finance costs.
Measures 2.2 Recommended measures directed at commercial banks
The measures recommended in this section are directed at banks
providing international payment services. The objective is to make the
payment process more efficient and as a consequence improve the
service banks offer their customers.
Measures 2.2.1 Providing customer credit information
Banks should enter into partnership arrangements with commercial
suppliers to provide credit worthiness and payment morality
information to business` customers trading across borders, so that
both sellers and banks financing this trade have a far better
assessment of the risks.
Measures 2.2.2 Advice on payment methods
Banks should provide clear objective advice to their customers on
appropriate methods of payment, taking account of the credit
worthiness of the customer`s buyer, the risk of non-payment in
relation to the size of the customer and value of the consignment.
From this formula the recommended payment method should be the
cheapest and most efficient for the bank`s customer.
Measures 2.2.3 Reducing collection costs
Banks should provide payment collection and trade finance
facilities in the buyer`s country for customers selling with contracts
denominated in the buyer`s currency. Such facilities should be made
available to all business, irrespective of size.
Measures 2.3 Recommended measures directed at national
Governments
The following recommended measures are directed at national
Governments.
Measures 2.3.1 Exchange control methods
National exchange controls should not require the use of specific
payment methods, such as documentary letters of credit or documentary
collections. Such requirements impose delays, add costs and
complexity, act as a non-tariff barrier to trade and have no real
positive impact on the effectiveness of exchange control.
Measures 2.3.2 Discouragement of late payment
National Governments should introduce late payment legislation,
to encourage prompt payment on recognised commercial terms.
Measures 2.4 Recommended measures directed through international
agreement and standards
The following longer-term proposals require agreement between
national Governments and commercial and financial organisations and
their international counter-parts:
Measures 2.4.1 The standardisation of good payment practice
Countries should follow the revised ISO 9001:2000 "Quality
management systems - Requirements" and the accompanying revised ISO
9004:2000 "Quality management systems - Guidelines for performance
improvements" which imply company commitments on payment practice. It
should be verified that the payment system is adequate for fulfilling
the contractual arrangements.
Measures 2.4.2 Removal of international payment (non-tariff)
barriers
The WTO should include as part of the negotiations for the next
Trade Round measures to prevent the abuse of mandatory payment
procedures. Examples are those required for exchange control purposes
and those procedures causing unnecessary delays by withholding money
within the national banking system, where these constitute a
non-tariff barrier. Appropriate remedies should be made available
through the normal WTO dispute settlement mechanism.
GROUP 3 - MEASURES RELATED TO OFFICIAL CONTROLS
Introduction
Trade liberalisation is one of the key factors in economic
growth. In too many cases this is not being generally reflected in
attitudes towards the easy and rapid movement of goods across borders.
Trade and transport industries still have to comply with numerous
procedures and formalities, which hamper developments in new trade and
transport solutions and add unnecessary costs to the transaction
chain.
However, many controls on goods crossing borders are legitimate
responses to national and international public interests. Revenue has
to be raised, dangerous goods, hazardous wastes and nuclear substances
need to be monitored and illicit drugs must be interdicted. Many
requirements do not apply to Customs procedures but to procedures of
other authorities involved in the cross-border trade.
The necessary balance between private and public interests should
be built on ongoing cooperation. The fact that various authorities are
involved demands for coordination and transparency in their actions in
order to facilitate trade.
For customs administrations, the revision of the International
Convention on Simplification and Harmonisation of Customs Procedures
(the Kyoto Convention) will contribute to the closer alignment of
customs procedures and practices world-wide. The revised Kyoto
Convention, as amended by the protocol of amendment to that convention
- Brussels, 26 June 1999, contains the commitment of Customs
administrations to:
- provide transparency and predictability for all those involved
in international trade;
- use risk management techniques;
- cooperate with other relevant authorities and trade
communities;
- implement appropriate international standards.
Countries should therefore make every possible effort to accede
to this Convention <13>. If formal acceptance is not yet possible, the
standards and recommended measures contained in the Revised Kyoto
Convention should be implemented as soon as practicable.
--------------------------------
<13> For more information see web site
www.wcoomd.org/frmpublik.htm
The Columbus Ministerial Declaration on Trade Efficiency
(published by UNCTAD) and the International Customs Guidelines
(published by ICC) also contain recommendations for further
simplification and standardisation of customs practice.
As far as the involvement of preshipment inspection agencies to
carry out customs-related activities is concerned, UN/ECE
Recommendation No. 27: Preshipment Inspection, <14> provides that such
involvement should only occur for a limited period of time. During
this time the Government concerned should take every possible measure
to enable its customs service to resume its usual functions.
--------------------------------
<14> See www.unece.orq/cefakt/rec/rec27en.htm
Recommended Measures
Measure 3.1 Predictability
The time required, the procedures used and the fees related to
official regulations should be predictable.
Measure 3.2 Transparency
All relevant information of general application pertaining to
official rules and regulations including information about procedures
and control requirements should be made available to the business
community as well as to government bodies. Within an overall framework
of cooperation, new rules and regulations as well as any amendments to
them should be presented for comments to the business community before
entering into force. Rules and regulations should be made available,
in printed form or electronically, well in advance of the time at
which they enter into force.
Contact points should be set up within the relevant
administration in order to ensure that the business community receives
information and guidance.
Education activities for the business community should be
arranged on a regular basis.
Measure 3.3 Cost benefit analysis
Before introducing new requirements or prolonging existing rules
for inspection, control and testing of goods in international trade,
the authorities concerned should make cost and benefit assessments of
proposals in consultation with the business community.
Measure 3.4 Data Requirements
Government authorities should require a minimum of data and
documents for control purposes and where possible utilise commercial
information.
Measure 3.5 Submission of data
Government authorities should request import and export data once
and allow submission of data to a single entity (Single Window
Concept).
Measure 3.6 Advance lodgement
Government authorities should allow goods to be released
immediately on arrival at the designated place. In order to facilitate
clearance of goods, advance lodgement of documentation should be
allowed <15>.
--------------------------------
<15> "National legislation shall make provision for the lodging
and registering or checking of the Goods declaration and supporting
documents prior to the arrival of the goods." (Standard 3.25 of the
Revised Kyoto Convention), see also guidelines 4.6 to Chapter 3 of the
Revised Kyoto Convention (www.wcoomd.org/Kyoto/ch6e-ver.pdf).
Measure 3.7 Deferred payment
Government authorities should allow deferred payment to all
persons who provide an adequate guarantee or who are otherwise
acceptable to the relevant authorities.
Measure 3.8 Coordination of physical inspections by government
authorities
If various government authorities must inspect the goods, such
inspections should be coordinated and, if possible, carried out at the
same time.
Measure 3.9 Minimum selective controls based on risk management
Controls by government authorities should be kept to the minimum
necessary to meet their main objectives and should be carried out on a
selective basis using risk management techniques to the greatest
extent possible.
Measure 3.10 Audit based control
To manage the worldwide increase in trade and to provide traders
with greater facilitation, authorities should increasingly rely on
audit-based controls, using traders` commercial accounting systems.
These controls should be coordinated, as far as possible, and
carried out at the same time by all different authorities concerned.
Audit-based controls should not preclude physical examination of
the goods. (Revised Kyoto Convention Guidelines, Ch 6, 7.2) <16>.
--------------------------------
<16> See www.wcoomd.org/Kyoto/ch6e-ver.pdf
Measure 3.11 Certificates of origin
Certificates of origin or declarations regarding origin on
commercial invoices or on specific forms should be required only when
necessary. This is essential for the proper application of trade
policy measures for either the prevention of fraud or for the
application of preferential regimes.
An exporter`s declaration of origin on the commercial invoice
should be accepted.
If a separate form for certificate of origin is required it
should be based on defined criteria and designed in accordance with an
internationally approved model for such certificates.
The importer should be permitted to retain the certificate of
origin and only present it on request.
Plain paper certificates of origin should be permissible,
provided the security requirement is met.
Submission of origin information should be permitted via
electronic means provided the security requirement is met.
Measure 3.12 Legalisation of documents
Legalisation of documents (e.g. consular invoices) should not be
requested.
Measure 3.13 Dangerous goods, hazardous waste and nuclear
substances
National regulations should conform to international standards
(UN/ECE Recommendation No. 11: Documentary Aspects of the
International Transport of Dangerous Goods) <17>.
--------------------------------
<17> See www.unece.org/cefakt/rec/rec11en.htm
Measure 3.14 Service fees
Government authorities shall not charge special fees for services
outside legal hours.
GROUP 4 - TRANSPORT-RELATED MEASURES
Introduction
The safe, reliable and accurate physical transfer of the traded
goods from the supplier to its customer is essential to the
satisfactory conclusion of a trade transaction.
Figure 3: Diagram - Shipping
------------------------------------------------------------------
| Ship |
| ----------- |
| | Ship | |
| |--------------------- |
| | -------------- | |
| | |Prepare for | | |
| | |Export | | |
| | -------------- | |
| О | -------------- | О |
| -+- | |Prepare for | | -+- |
| | | |Import | | | |
| / \ | -------------- | / \ |
| Customer | -------------- | Supplier |
| | | Transport | | |
| | -------------- | |
| О | -------------- | О |
| -+- | | Export | | -+- |
| | | -------------- | | |
| / \ | -------------- | / \ |
| Authority | | Import | | Intermediary |
| | -------------- | |
| ---------------------- |
------------------------------------------------------------------
Transport is therefore one of the main functions in international
trade and the procedures related to transport are therefore of the
utmost importance for its efficiency. These procedures mainly involve
the selection and contracting of transport services, the determination
of responsibility for goods under custody and of their corresponding
insurance coverage, the recording of the goods carried, advice of the
action taken, and claims for payment for services rendered.
In addition to the transport operators and carriers, the freight
forwarders, Customs agents (brokers), cargo handling agencies and
port, warehouse and terminal operators all play an essential role in
providing intermediary services while goods are on their way between
exporters and importers. Sometimes these services are used only at
intermediary points, but more often they are engaged also at the point
of departure and the final destination of goods moving in
international trade.
The documents used in connection with transport reflect these
main areas of activity and can be categorised as follows:
1) contract documents; and
2) receipt documents.
These documents should be aligned to the UN Layout Key for Trade
Documents (UNLK) presented in Recommendation No. I <18>, in
particular:
--------------------------------
<18> UN/CEFACT, Recommendation No. 1 (United Nations Layout Key
for Trade Documents 1972, republished 2001). The Recommendation on a
layout key for trade documents aims at providing an international
basis for the standardisation of documents used in international trade
and transport and for visual display representations of such
documents. The United Nations Layout Key for Trade Documents is
intended for application in the designing of documents related to the
various administrative, commercial, productive and distributive
activities constituting external trade, whether these documents are
completed in handwriting, by mechanical means such as typewriters and
automatic printers, or by reproductive methods. In 1985, the ISO
adopted International Standard ISO 64.22 Layout Key for Trade
Documents.
- Insurance policies and certificates, when issued for individual
shipments and insurance declarations under open cover;
- Forwarding instructions;
- Shipping instructions;
- Seaway bills and bills of lading;
- Multimodal transport documents;
- Universal transport documents;
- Customs cargo declaration (IMO FAL 2);
- Dangerous goods declaration (IMO FAL 7); and
- Arrival notice.
Recommended Measures
Measure 4.1 Simpler requirements when exporters arrange insurance
When exporters are obliged to procure, or arrange, insurance for
the benefit of the importers (i.e. under ICC INCOTERMS CIF and CIP, or
similar transactions), certification of the existence of such
insurance should be accepted as issued by the insurer if in the form
customary in the country in question (i.e. policy, certificate,
declaration, acknowledgement, etc.).
As an alternative to these forms, it is permissible to use a slip
or stamp on another commercial document (e.g. invoice) together with
specification of the claims procedures and the terms of insurance, if
standard. Otherwise a copy of the terms of insurance should be sent to
the importer. In case of recurring shipments, a direct general
confirmation of cover from the insurer to the importer can replace
individual insurance documents.
Measure 4.2 Simpler requirements when Importers arrange insurance
When importers arrange insurance (i.e. under ICC INCOTERMS
E-term, F-terms and C-terms, except CIF and CIP, or similar
transactions), the production of individual insurance documents
(policies or certificates) is not necessary, except in certain bulk
trades.
However, importers should, in their own interests, arrange with
their insurers for the issue of a floating policy, open cover or
similar type of contract which will give them protection, irrespective
of declarations made against it; a simple system of reporting all
shipments to be insured should be agreed with the insurer.
Measure 4.3 Voluntary use of UNCTAD/ICC Rules for multimodal
transport documents
For multimodal transport operations, transport operators should
use existing transport documents based on the UNCTAD/ICC Rules for
multimodal transport documents. A multimodal transport document means,
according to rule 2.6 of these Rules, a document evidencing a
multimodal transport contract, which can where required be replaced by
electronic data interchange messages (UN/CEFACT Recommendation No. 12)
<19>.
--------------------------------
<19> See www.unece.org/cefact/rec/recl2en.htm
Should they wish to design their own multimodal transport
document, this document should be aligned on the UNLK format and
incorporate, or make reference to, the UNCTAD/ICC Rules.
Measure 4.4 Promotion of Sea waybills and non-negotiable
multimodal transport documents
Sea waybills and non-negotiable multimodal transport documents
should be called for by sellers or buyers whenever the facility is
available and suitable. Transport operators and carriers should always
offer a non-negotiable transport document, bearing in mind that these
can be utilised under documentary credits if stipulated by the
applicant for the credit (ICC UCP 500) <20>.
--------------------------------
<20> see Uniform Customs and Practice for Documentary Traded (UCP
500, ICC Publication 500, Paris; web site: www.iccwbo.org
Measure 4.5 Preparation of transport documents at destination by
Electronic Data Interchange (EDI) techniques
Computer software, facilities and procedures should be developed
for the preparation of transport documents in the country of
destination, using EDI and electronic business tools.
Measure 4.6 Ratification of the IMO FAL Convention
The Convention on Facilitation of International Maritime Traffic,
1965 (1998 edition), applies to maritime traffic. Its purpose is to
facilitate maritime transport by simplifying and minimising the
formalities and documentary requirements. Countries that have not yet
ratified or acceded to the Convention are urged to consider its
importance by becoming a contracting party, and to implement it
accordingly.
Measure 4.7 Ratification of the Montreal Protocol No. 4 to the
Warsaw Convention
The Montreal Protocol No. 4 to the Warsaw Convention entered into
force on 14 June 1998 and only applies to air carriage between the
territories of the 43 Contracting Parties (as of 30 June 1999).
Countries that have not yet ratified are urged to reconsider the
importance of this Protocol for the development of their airfreight
industry, to become contracting parties, and to implement it
accordingly <21>.
--------------------------------
<21> On 28 May 1999, the "Convention for the Unification of
Certain Rules for international Carriage by Air" (Montreal Convention,
1999) was opened for signature and depending on the rate of
ratification, is likely to enter into force in the near future. It
will supersede, for those States parties to this Convention and also
the Montreal Protocol No. 4, the provisions of the latter instrument.
Measure 4.8 Take advantage of the entry into force of the
Montreal Protocol No. 4 to the Warsaw Convention
With the entry into force of the Montreal Protocol No. 4, sellers
and buyers should take advantage of the abolition of the requirement
to have the Air waybill as a paper document. Where applicable it can
be substituted by electronic data processing and transmission for air
carriage operations between the territories of two contracting
parties.
Measure 4.9 Timely arrival notice
Transport operators and carriers should ensure that arrival
notices are made available to all concerned parties well before the
arrival of the goods and should - depending on the time factor - use
either facsimile, electronic mail or similar means, or a document
aligned to the UNLK <22>, possibly a copy of the transport document.
--------------------------------
<22> See introduction to this Group 4, above, and footnote there.
Measure 4.10 Standard practices for pre-arrival notices
Transport operators, carriers, freight forwarders, importers,
customs and other authorities should review each party`s need for
pre-arrival notices in order to develop simple, advertised and known
practices, especially for very short routes.
Measure 4.11 Cargo tracking and tracing systems
Transport operators and carriers should be encouraged to
introduce computerised cargo tracking and tracing systems to provide
clients with advance information on the location of their
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