Transcript Foreign Trade Statistics Regulations & AES

Foreign Trade
Statistics Regulations
U.S. Census Bureau
Foreign Trade Division
Regulations, Outreach and Education Branch
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Today’s Topics
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Legal Requirements
Filing Requirements
U.S. Principal Party In Interest (USPPI)
Types of Transactions
Exemptions
Automated Export System (AES)
Compliance
Penalties
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Legal Requirements
Census Bureau
Foreign Trade Statistics Regulations (FTSR)
• 15 CFR, Part 30 Section 30.1-30.99
Bureau of Industry and Security (BIS)
Export Administration Regulations (EAR)
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15 CFR, Parts 700-799
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What is an SED Shipment?
An SED shipment is:
• Merchandise shipped from One USPPI to One
Consignee
• On the Same Flight/Vessel
• To the Same Country
• On the Same Day
• Valued Over $2,500 per Schedule B Number or
License Required
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When is the SED Required?
For virtually all shipments:
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• To Foreign Countries
• Between the U.S. and Puerto Rico
• From Puerto Rico to Foreign Countries
• From Puerto Rico to U.S. Virgin Islands
• From the U.S. to the U.S. Virgin Islands
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U.S. Principal Party in Interest
The U.S. Principal Party in Interest is the:
• U.S. Person or Entity
• Primary Benefactor (Monetary, or Otherwise)
Generally that Person can be the:
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U.S. Seller: (Wholesaler or Distributor)
U.S. Manufacturer
U.S. Order Party
Foreign Entity (If in U.S. at time goods purchased or
obtained)
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Two Types of Transactions
Export Transaction (Standard):
USPPI files the AES record or appoints an authorized
U.S. agent to file the export information.
Routed Export Transaction:
Foreign Principal Party in Interest (FPPI) appoints
an authorized U.S. agent to file the export information.
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Export Transaction
USPPI Responsibilities:
• Files the export information or appoints authorized
U.S. agent
• Provides POA to the authorized U.S. agent
• Responsible for license determination
Authorized U.S. Agent Responsibilities:
• Obtains a POA from the USPPI
• Provides transportation data
• Files accurate and complete export information
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Routed Export Transaction
USPPI Responsibilities:
• Must provide the FPPI’s agent with commodity data &
licensing information
• Upon request be provided with their portion of the
SED upon completion by authorized U.S. agent
Authorized U.S. Agent Responsibilities:
• Obtain a POA from the FPPI
• Provide transportation data
• Files accurate and complete export information
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Shipments Exempt from Filing
• $2,500 or less per Schedule B Number
• Intangible exports of software &
technology
• Tools of Trade: hand carried, personal or
company use, not for sale, returned within
1 year
• Country of ultimate destination is Canada
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Exemptions Do Not Apply
• Commerce (BIS) Licenses
• State Department Licenses
• License Shipments from Other
Government Agencies
• OFAC Prohibited Countries
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Record Retention
For the Census Bureau:
• Retain documents verifying the shipment
for 5 years from the date of export
Other Government Agencies:
• Retention periods may differ
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Automated Export System
The Automated Export System is the
electronic filing of:
• Shipper’s Export Declaration
AES Filers can be:
• U.S. Principal Parties in Interest
• U.S. Authorized Agents
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AES Filing Methods
• Direct connection to the CBP mainframe
• Self-developed Software
• Certified Vendor Software
• Certified Service Center
• AESDirect
• Interactive Filing
• AESPcLink
• Batch Filing (EDI Upload)
• AESWebLink
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AESDirect
• Census Bureau’s FREE Internet based system for
filing SEDs with AES
• www.aesdirect.gov
• On-line help facility
• Help Desk / Tech Support
7am-7pm EST, 7days a week
• Data Security through encryption, user authentication
and password maintenance
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Staying Compliant with AES
• Filings are monitored for quality,
timeliness and coverage
• Census will take the appropriate action to
correct non-compliance
• AES filers can be penalized for:
• Failure to File
• Late Filing
• Providing false or misleading information
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Compliance Review Program
Goals
• Identify and Develop Best Practices
• Offer Assistance and Guidance with AES
Filings
• Help you Avoid Costly Encounters with
Government Enforcement Agencies
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Compliance Review Process
• Notification letter sent prior to meeting
• Compliance Team will visit companies
• Attendees, Managers, Compliance
Officers, Forwarders, and/or staff with
AES responsibilities
• 90 days to achieve compliance
• Referrals to OEE and/or CBP
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Penalty Provisions
Delegation of Authority – Enforcement
Criminal Penalty
Civil Penalty
Voluntary Self Disclosure
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Criminal Penalties
USPPI or Authorized Agent who knowingly:
Fails to file
• Files false and misleading information
• Continues to participate in illegal activities
Fines:
• Up to $10,000 per violation
• Imprisonment for not more than five years
• Both
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Civil Penalties
USPPI or Authorized Agent or Carrier:
Late Filings
Up to $1,100 per each day delinquency or up to a
maximum of $10,000 per violation
Other Violations
Up to $10,000 per violation
Penalties may be Mitigated
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Voluntary Self Disclosure
Reflects due diligence in preventing, detecting, and
correcting violations.
Letter should include the following information:
Nature of the problem
Mitigating Factors (I.e. training)
Number and value of shipments affected
Corrective Actions Taken
Exhibits/Attachments (I.e. ITNs, AES Records
Contact information
A VSD should not be used to report a correction to a
record
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For More Information
• FTD Call Center: 1-800-549-0595
• Choose 1 – AES Assistance
• Choose 2 – Commodity Classification Assistance
• Choose 3 – Regulations Assistance
• Fax:
301-763-6638 or
301-763-4670
• Secure Fax:
301-763-8835
• Email:
[email protected]
FTDREGS @census.gov
• www.census.gov/trade
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