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1、TRADE FACILITATION LENDING BY THE WORLD BANKRECENT EXPERIENCE, RESEARCH, AND CAPACITY BUILDING INITIATIVESDraft Paper prepared for: The World Trade OrganizationWorkshop on Technical Assistance and Capacity Building in Trade FacilitationGeneva10-11 May 2001John S. WilsonThe World Bank This paper is a
2、 draft to be revised. The conclusions and opinions are those of the author and do not necessarily represent views of the World Bank. Questions may be addressed to John S. Wilson, Lead Economist, Development Economics Research (DECRG), the World Bank, 1818 H Street, N.W., Washington, D.C. Phone: (202
3、) 473-2065, Fax: (202) 522-1159, email jswilsonworldbank.org. The assistance of Marc Plotkin in preparation of this paper is gratefully acknowledged. INTRODUCTION The World Banks work on trade is an important part of its mission in support of development and poverty alleviation. Trade has been an ke
4、y engine for economic development over past several decades. Liberalization of international trade markets has had a strong positive effect on economic growth, including in the developing countries. For a recent overview of trade and development, including work of the World Bank see; Leveraging Trad
5、e for Development: World Bank Role, prepared for the Development Committee paper, April 3, 2001 and Global Economic Prospects and Developing Countries, 2001, The World Bank. Efforts to integrate developing countries into the trading system and multilateral framework established in the World Trade Or
6、ganization, as liberalization continues, should include a renewed focus on trade facilitation. As part of the work toward this goal, the World Bank supports trade policy reform and implementation of Uruguay Round commitments by developing countries in several areas directly related to (1) accelerati
7、ng transparency and modernization of customs, (2) regulatory reform and standards, and (3) expansion of transport access and infrastructure modernization among others. The Banks work program on trade specifically focuses on these areas from a development context as a primary objective. For example,
8、the institutions project lending supports government institutional reform and infrastructure and facility modernization related to health, safety, or environmental goals. In addition, efforts are underway to more closely tie capacity building and development objectives with advantages of deeper inte
9、gration into the world trading system. Source: Wilson, John S. The Development Challenge in Trade: Sanitary and Phytosanitary Measures, submission by the World Bank to the WTO, Document No. G/SPS/GEN/195 (July 12, 2000). This paper provides an overview of the World Banks lending program related to t
10、rade facilitation. It is not a comprehensive review of all trade-related lending by the Bank in this area, but rather provides examples of how the Bank supports liberalization through projects which support facilitation measures. Part I sets forth the basic principles of trade facilitation that have
11、 been promulgated by the World Trade Organization. Part II provides an overview of the Banks lending in trade facilitation over the past decade. Part III reviews lessons in trade facilitation that have been highlighted from earlier lending projects. Part IV describes in detail seven trade facilitati
12、on projects that the Bank has started since 1998, all of them currently active in 2001. Part V briefly summarizes the challenges that the Bank and other organizations will have to address in the coming years.BACKGROUND: BASIC PRINCIPLES AND BUILDING BLOCKSThere is no single definition of trade facil
13、itation. The term generally refers to the simplification of procedural and administrative impediments to trade, such as customs administration, licensing procedures, standards and technical regulations, and barriers to the mobility of businesspeople. Several fundamental principles have emerged which
14、 serve as the basis for trade facilitation: transparency, due process, non-discrimination, least-trade restrictiveness.These principles are derived from the text of the Uruguay Round Agreements, in particular: Articles VIII and X of the General Agreement on Tariffs and Trade, the Technical Barriers
15、to Trade (TBT) Agreement, and the Agreement on Sanitary and Phytosanitary Measures (SPS). The text of the WTO agreements are available at http:/www.wto.org. These principles are fundamental building blocks for reform and should form the basis of long-term liberalization efforts. This will require su
16、stained efforts involving work to implement current trade obligations as a key priority.Article VIII addresses fees and formalities connected with trade. It sets out a WTO members basic obligation to minimize the number and diversity of border measures that can have the effect of restricting or dist
17、orting trade. Such measures can include: fees (other than normal customs duties and taxes), quantitative restrictions, licensing, documentation requirements, and quarantine measures. Article X requires that members publish all of their laws and regulations that pertain to importation and exportation
18、. Two additional parts of the Uruguay Round Agreements are central to trade facilitation and must be considered within the broader context of future liberalization measures. The Technical Barriers to Trade (TBT) Agreement requires that member states not promulgate technical regulations that create u
19、nnecessary obstacles to trade. This means that any technical regulation adopted by a member state shall not restrict trade any more than is necessary to fulfill a legitimate objective, such as protecting national security or the public health. Article 4.1 of the TBT Agreement mandates that member st
20、ates work toward adopting internationally accepted standards. The Agreement on Sanitary and Phytosanitary Standards (SPS) requires that sanitary and phytosanitary measures promulgated by member states be necessary to protect plant and animal life, based on scientific principles, justified by suffici
21、ent scientific evidence, and not be applied in a manner which would constitute disguised trade restrictions. THE WORLD BANKS TRADE FACILITATION WORK PROGRAM: SELECTED EXAMPLESOverview. In the six years since the implementation of the WTO agreements, the World Bank has continued to be active in trade
22、-related lending. Through the mid-1990s, trade-related lending focused largely on border liberalization measures, such as quantitative restrictions, duties, subsidies, export financing, and customs. More recently, however, bank policy lending has been targeted at “second generation” trade facilitati
23、on measures, such as privatization, public enterprise restructuring, and regulatory reform. World Bank Report, Trends in World Bank Trade-Related Lending Part I, (May 4, 2000). These issues are becoming more important as tariffs fall and supply chains integrate production and trade around the world.
24、In fiscal year 1999, 64 out of the Banks 212 lending projects had trade-related components, and twelve of those were entirely trade-related. The projects centered on a wide range of specific sectors, including public sector management, agriculture, industry, finance, and urban development. Ibid. In
25、adjustment lending, trade facilitation lending primarily covers reforms in customs, regulatory frameworks, and standards. During fiscal year 1999, the bank extended 15 adjustment loans with components addressing customs reform, 17 with components covering standards, and 14 with components dealing wi
26、th legal and regulatory reform. World Bank Report, Trends in World Bank Trade-Related Lending Part II (May 8, 2000). Project lending focused on export promotion, legal reform, strengthening of trade-related public institutions, and support for new product development and marketing. Ibid. In Fiscal Y
27、ear 2000, there were approximately 232 lending operations for a total of $15.3 billion dollars ($10.9b IBRD and $4.4b IDA). Project lending in IBRD loans amounted to 59 percent of the total and adjustment loans to 41 percent. Estimates indicate that 13 projects totaling $650 million were focused on
28、overall trade promotion and facilitation goals. In addition, the Bank supported projects targeted at privatization and reform of public utilities, financial institutions and other public entities in which privatization creates conditions in which trade expands.During FY 2000 and as of March 2001 in
29、FY 2001, there were 18 projects primarily concerned with trade facilitation, and 16 other projects that had at least one trade-facilitation component. World Bank Report, Trade in World Bank Project Lending FY 00 and FY 01 (March 26, 2001). Understanding the Dynamics of Trade Facilitation and Develop
30、ment in the Asia Pacific. To further the development dimensions of trade facilitation and examine problems and prospects of trade facilitation in Asia Pacific Economic Cooperation (APEC), the Bank, together with the Government of Canada and the Asia Pacific Foundation of Canada, organized a workshop
31、 in Singapore in September 2000, focusing on “new directions and the development challenge” for APECs trade facilitation agenda. Two of the four areas that the workshop focused on were customs procedures, and standards and technical regulations. For additional background on the work, from a developm
32、ent context, see: “Facilitating Asias Trade: A Role for Development Cooperation, Assanie, Nizar, Michel Hardy and Mariette Maillet, Canadian International Development Agency, discussion paper prepared for the APEC workshop on Trade Facilitation, September 6, 2000, Singapore, September 2000. Themes t
33、hat emerged from the workshop included: (1) the need to build on complementarities and synergies in trade facilitation across different sectors, which argues for a horizontal approach to facilitation issues within APEC, (2) the importance of involving the private sector in APECs trade facilitation e
34、fforts; and the developmental impact of trade facilitation and, (3) the fundamental role of technical assistance in helping less-developed economies implement facilitation measures. For additional background see: Cutting Through Red Tape: New Directions for APECs Trade Facilitation Agenda, Yuen Pau
35、Woo and John S. Wilson, Asia Pacific Foundation of Canada. See also the World Bank website at: www.worldbank.org/standards for conference papers and background material. The Bank is currently considering projects to expand upon the work undertaken in the APEC region. Global Facilitation Partnership
36、for Transportation and Trade. In June 2001, the Bank will host a conference sponsored by the Global Facilitation Partnership for Transportation and Trade (GFP). This initiative is a Bank-sponsored consortium of public and private sector organizations whose collective mission is to reduce or eliminat
37、e impediments to cross-border transportation, thereby facilitating trade and alleviating poverty. The principle objectives of the GFP include: the establishment of a comprehensive Facilitation Audit Framework, combining qualitative assessment with a simplified set of data on efficiency of trade and
38、transport transactions; the definition of systematic approaches to measurement, based on a set of facilitation indicators on transportation and cross-border processes, to be systematically collected; the monitoring and publishing on a regular basis of data on these facilitation indicators; and any c
39、ommonly agreed initiative aiming at promoting trade and transport facilitation programs through education, training, and targeted technical assistance activities. Global Facilitation Partnership, Memorandum of Understanding, available at www.worldbank.org. Among the projects initiated by the GFP is
40、a trade and transport facilitation project that is being implemented in Albania, Bosnia, Bulgaria, Croatia, Macedonia, and Romania simultaneously. This project, if successful, will substantially integrate the transportation infrastructures of these six Southeast European nations.TABLE 1: Selected Tr
41、ade Facilitation Project Lending by the World Bank Sources: World Bank Report, Trends in World Bank Trade-Related Lending Part I, (May 4, 2000); World Bank Report, Trends in World Bank Trade-Related Lending Part II (May 8, 2000); World Bank Report, Trade in World Bank Project Lending FY 00 and FY 01
42、 (March 26, 2001); Wilson, John S. “The Development Challenge in Trade: Sanitary and Phytosanitary Standards,” Paper submitted to the Committee on Sanitary and Phytosanitary Standards of the World Trade Organization, Geneva (June 21, 2000). Country Project NameTrade-Related ComponentsDatesAmount*Tra
43、nsitPoland Port ModernizationUpgrading physical and managerial infrastructure of port facilities2001-$38Mozambique Rail and port restructuringIncreasing port-rail system efficiency to accommodate freight2000-$100Honduras Rural and main roadsRepair and improvement of trade corridors damaged by hurric
44、ane2001-$66Nicaragua Road rehabilitationInfrastructure improvement along international trunk road corridors2001-$75CustomsSix Southeastern European countries Transport facilitationStrengthen and modernize customs administration1999-$78.4Tunisia Export developmentStreamline and modernize customs proc
45、edures1998-$35StandardsTurkey Agricultural researchLaboratories and residue control modernization1992-1999Poland Agroindustries exportingFood processing facilities modernization1990-1995Madagascar Rural developmentLivestock vaccination1980-1988Guatemala National competitivenessCertification and prod
46、uct quality evaluation programs2001-$20*Hungary Municipal waterReduction of Danube River pollution to comply with EU standards2000-$88.9Regulatory ReformGuatemala National competitivenessRegulatory reform in the area of competition policy2001-$20*Algeria Privatization assistanceStrengthening regulat
47、ory capacity to facilitate trade2000-$5India TelecommunicationsStrengthening regulatory framework to enhance private investment2000-Malawi Utility privatizationStrengthening regulatory framework in telecommunications & electricity sectors2000-$28.9* Not available * In US$ millions *Represents total
48、project loan, not individual component.LESSONS LEARNED FROM PAST BANK PROJECTSEvery lending project undertaken by the bank presents unique circumstances, and this is certainly true in the area of trade facilitation. While it is difficult to draw universal lessons from these projects, there are certain experiences that will determine the success or failure of a loan in a particular context. Some of these lessons were learned in earlier trade facilitation projects undertaken by th
