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Regulations Update

This update covers important regulations related to the mandatory filing in AES, including new Shipper's Export Declaration and U.S. Principal Party in Interest requirements. It also provides information on the Proliferation Prevention Act of 1999 and the feasibility of making AES mandatory for all exports.

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Regulations Update

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  1. Regulations Update Foreign Trade Division September 2000

  2. Today’s Topics • Mandatory filing in AES • New Shipper’s Export Declaration • U.S. Principal Party in Interest

  3. Mandatory Filing in AES • Proliferation Prevention Act of 1999 - H.R. 3194 • Section 1252 • 270 days after certification of the security and functionality of AES and AESDirect • AES is mandatory for USML and CCL shipments (licensed or not)

  4. Mandatory Filing in AES • Section 1254 • Submit a report to Congress • Advisability and feasibility of making AES mandatory for all exports • The manner in which AES can be used by other Federal agencies • A timetable for implementation

  5. Mandatory Filing in AES • Certification report • Assessments of AES and AESDirect • Issues addressed • Report being drafted • Feasibility report • Submitted to Congress early August • All agencies agree • Mandate AES in 4 phases over 5 years

  6. New Shipper’s Export Declaration • Paper SED • OMB clearance expires 9/30/2000 • Delete unused or outdated items • Consistent with AES • Consistent with USPPI

  7. New SED • Effective 10/1/2000 (OMB approval) • 180 day grace period - can use both • Encourage use of the new SED • Available via fax • Regulations Branch 301-457-2238 • Electronic version available after OMB approval

  8. New SED • Examples of changes: • USPPI • Change B/L or AWB No. to Transportation Reference Number • Delete check digit • Examples of added blocks: • Carrier code - SCAC or IATA • VIN • HAZMAT

  9. U.S. Principal Party in Interest • Regulations published in the Federal Register - July 10, 2000 • Foreign Trade Statistics Regulations - Census • Export Administration Regulations - Bureau of Export Administration

  10. USPPI • The U.S. Principal Party in Interest - The person in the United States that receives the primary benefit monetary or otherwise of the export transaction. • GENERALLY THAT PERSON CAN BE THE: • U.S. Seller (wholesaler/distributor) of the merchandise for export. • U.S. Manufacturer if selling the merchandise for export. • U.S. Order Party - Party who directly negotiated between the U.S. seller and foreign buyer and received the order for the export of the merchandise. • Foreign Entity if in the U.S. when items are purchased or obtained for export.

  11. Types of Export Transactions • Export transaction • USPPI does documentation and may retain a forwarding agent • Routed export transaction • Foreign principal party authorizes an agent to conduct the export

  12. USPPI Responsibilities - Export • Prepare the SED/AES record OR authorize a forwarding or other agent to prepare and file the SED/AES record, with a power of attorney, written authorization, or signing the authorization on the paper SED. • If authorizing a forwarding or other agent….provide information to such agent for completing the SED/AES record. • Maintain documentation to support the information reported on the SED/AES record.

  13. Forwarding Agent Responsibilities - Export • Prepare the SED/AES record based on information received from the USPPI or other parties to the transaction. • Obtain a power of attorney, written authorization, or signed authorization on the paper SED from a principal party in interest. • Provide the USPPI with a copy of the export information filed in the form of a completed SED, electronic facsimile, or in a manner prescribed by the USPPI. • Maintain documentation to support information reported on the SED/AES record.

  14. USPPI Responsibilities in a Routed Export Transaction • Provide basic commodity information to the forwarding or other agent for completing the SED/AES record, including name, EIN, Schedule B no., and value, excluding ultimate consignee. • Maintain documentation to support information provided to the forwarding or other agent. • [NOTE: In a routed export transaction, the U.S. Principal Party in Interest is not required to provide the forwarding or other agent with a power of attorney or written authorization].

  15. Forwarding Agent Responsibilities in a Routed Export Transaction • Prepare, sign, and file the SED based on information obtained from the USPPI and/or other parties to the transaction. • Obtain a power of attorney or written authorization from the foreign principal party in interest to act on its behalf in the export transaction. • Maintain documentation to support information reported on the SED/AES. • Upon request, provide the USPPI with documentation that the information provided by the USPPI was accurately reported on the SED/AES record.

  16. Outreach and Education • U.S. Export Regulations Seminar • September 26, 2000 • Full day 7:30 - 5:00 • Cleveland area • $125. • Commerce, BXA, Treasury, State • Call USEAC 216-522-4750

  17. For More Information Phone: 1-800-549-0595 or 301-457-2238 Fax: 301-457-3765 Email: ASKAES@census.gov Web Sites: • AESDirect: www.aesdirect.gov • Customs AES Site: www.customs.gov/aes • Census Site: www.census.gov/foreign-trade

  18. Reduce Exporting Stress with AES

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