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Wendy Frankel, Director of Customs Liaison Unit (CLU), AD/CVD Operations Group
Enforcement & Compliance (E&C), International Trade Administration (ITA), Dept. of Commerce (DOC) • As Director of CLU, Ms. Frankel is responsible for coordinating communication with CBP and ICE. • Ms. Frankel also serves on the ITDS Board of Directors at the BIEC to coordinate ACE matters. • Prior to taking over CLU, Ms. Frankel served as Office Director in the China/Nonmarket (NME) AD/CVD Enforcement Group for 8 years and 2 years at ITDS coordinating outreach with over 70 PGAs.
Elisabeth Urfer, Senior Analyst for Customs Liaison Unit (CLU), AD/CVD Operations Group
Enforcement & Compliance (E&C), International Trade Administration (ITA), Dept. of Commerce (DOC) • With over 20 years experience in international trade, Ms. Urfer joined the CLU after working as a
consultant for 15 years at Capital Trade, Inc. assisting with various trade issues. • Prior to Capital Trade, Ms. Urfer worked five years as Senior Import Compliance Specialist and
Financial Analyst with the Department of Commerce.
Lisa Gelsomino, President/CEO – Avalon Risk Management
COAC 14th Term, Co-Chair of Trade Enforcement and Revenue Collection (TERC) • AD/CVD Working Group http://www.cbp.gov/trade/stakeholder-engagement/coac/coac-public-meetings/coac-
quarterly-meeting-january-13-2016-%E2%80%93-new-orleans-la
• International Trade Surety Association (ITSA) and Customs Surety Executive Committee (CSEC) • Email: lgelsomino@avalonrisk.com or Phone 847-700-8192
Antidumping & Countervailing Duty
Enforcement & Compliance
Unofficial Document – For Internal Government Presentation Purposes Only
Presentation to the National
Customs Brokers and Forwarders
Association of America
January 20, 2016
Wendy Frankel & Elisabeth Urfer
Unofficial Document – For Presentation Purposes Only
Antidumping and
Countervailing Duty
Proceedings
3
Enforcement and Compliance
Unofficial Document – For Presentation Purposes Only
Department of Commerce
International Trade
Administration
Enforcement & Compliance
Operations
Customs Liaison
Unit
4
Unofficial Document – For Presentation Purposes Only
Antidumping and Countervailing Duty Orders in Effect by Country As of September 30, 2015
5
AD/CVD Orders by Commodity:
Unofficial Document – For Presentation Purposes Only
Steel Related 146
Chemicals 45
Other Metals & Articles of Metal 35
Plastics & Rubber 22
Foodstuffs 20
Machinery & Automotive 16
Paper & Paperboard 12 Textiles 9 Other
Mfg. 8
Cement & Ceramic 3
Minerals 2
6
E&C Staffing Levels
Unofficial Document – For Presentation Purposes Only
60
41 36
11 6
28 33
23 18 16
23
38
69
62
0
10
20
30
40
50
60
70
80
2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015
Cases Initiated
Nu
mb
er o
f C
ase
An
alyst
s
Nu
mb
er o
f A
D/C
VD
Inv
esti
gat
ions
Init
iate
d
Enforcement & Compliance
Number of AD/CVD Investigations Initiated & Number of Case Analysts
7
New Analysts – Learning Curve
Learning curve for new analysts is
approximately 12-18 months.
DOC analysts start with intensive two week
training course that is supplemented with
mentoring, additional courses, etc.
Over a quarter of E&C analysts have been in
E&C less than one year.
Unofficial Document – For Presentation Purposes Only
8
Types of AD/CVD Proceedings
Investigation*
Administrative Reviews*
New Shipper
Sunset
Anti-Circumvention
Scope Rulings
Changed Circumstance Reviews
9 Unofficial Document – For Presentation Purposes Only
70 Feet
288 Feet
555 Feet
700 Feet
White House Capitol Washington Monument Pages filed in ACCESS FY 2015
Comparison of the Number of pages filed in ACCESS in FY2015
2,122,437 pages
Pages filed in ACCESS on AD/CVD Proceedings
Unofficial Document – For Presentation Purposes Only
Number of AD/CVD Determinations in FY 2014 and 2015
Unofficial Document – For Presentation Purposes Only
384 determinations in FY2015; 387 determinations in FY2014
11
0
20
40
60
80
100
120
140
160
180
38 32
162
20 24
0
39
8
42
17
2
77
22
141
23 15
0
47
8
42
10 2
2015
2014
Types of AD/CVD Proceedings: Investigation
• AD & CVD • Commerce and the ITC
receive petitions from the affected U.S. industry.
• Covers 6-12 months of imports
• If DOC finds dumping or subsidization and ITC finds injury, an order is issued
Investigation
Unofficial Document – For Presentation Purposes Only
12
AD/CVD Investigation Responsibilities
Petition
ITC Injury
Commerce Dumping or
subsidization
Order
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13
DOC Preliminary
Determination*** Order
Issued
DOC Final
Determination**
* These dates may be extended under certain circumstances; CVD final may also be aligned with AD final.
** If negative determination, the investigation ends.
***Department issues Customs instructions suspending liquidation; If Affirmative Finding of Critical Circumstances: Suspension is
retroactive 90 days
7 Days from
ITC Final
ITC
Final
Determination**
75 Days after
DOC Prelim* 45 Days from
DOC Final
45 Days from
Petition
AD: 140 Days
from Initiation*
---
CVD: 65 Days
from Initiation*
20 Days from
Petition*
Initiate
Investigation
Day 0
Petition
Filed ITC
Preliminary
Determination**
Statutory Timeline of an AD/CVD Investigation
Unofficial Document – For Presentation Purposes Only
14
Instructions in an AD/CVD Investigation:
Initiation (informational)
DOC Preliminary Determination
Affirmative Suspend liquidation; Collect cash deposit
Negative
No suspension of liquidation; No
collection of cash deposit
DOC Final Determination
Affirmative Continue suspension of
liquidation; Collect cash deposit
Negative Terminate suspension
of liquidation and refund duties.
Unofficial Document – For Presentation Purposes Only
15
Types of AD/CVD Proceedings: Administrative Review
• AD & CVD • Parties have an
opportunity to request a review of rates every year
• Covers 12 months of imports; 12-18 months in the first review
Administrative Review
Unofficial Document – For Presentation Purposes Only
16
CBP Notified
of Assessment
DOC Final
Results**
* This date may be extended to 365 days.
** This date may be extended to 180 days.
15 days from
publication of
Final Results 120 days after
publication of
Preliminary
Results*
245 days
from last
day of
Anniversary
Month
Month following
Anniversary
Month
Initiation
Notice
Publishes
AD/CVD
Order
Published
(Anniversary
Month)
Interested
Party
Requests
Review
DOC Preliminary
Results*
Within 90
days of
Initiation
Notice
Deadline to
Withdraw
Review
Request
Statutory Time Frame for AD/CVD Administrative Reviews
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17
Instructions in an AD/CVD Administrative Review
Initiation
No companies requested: Liquidate all companies at rate in effect at time of
entry (public)
Some companies requested: Liquidate only companies not requested for review
(public)
Final Results of Review
Cash Deposit instructions for future entries (public)
Liquidation Instructions for reviewed companies: CVD public/AD public or BPI:
Exporter/
Producer rates (public)
Importer Specific Rates (BPI)
All Others/NME Entity (public)
Unofficial Document – For Presentation Purposes Only
18
Other Types of AD/CVD Proceedings
• Parties that have recently begun to export to the United States have the opportunity to request a New Shipper Review
• Covers 6-12 month of imports New Shipper
• Every 5 Years • Order wide, not company specific • Commerce determines whether revocation of an AD or CVD
order, or termination of a suspended investigation, would be likely to lead to a continuation or recurrence of dumping or a countervailable subsidy; the ITC determines whether revocation or termination would be likely to lead to continued or recurring material injury to the domestic industry
Sunset
• Clarification of the scope of an existing order to include: • Products that underwent U.S. or third country processing or
assembly • Products that underwent minor alterations • Later developed merchandise
Anti-Circumvention
Unofficial Document – For Presentation Purposes Only
19
Other Types of AD/CVD Proceedings
Investigation
• Clarification of the scope coverage of the original antidumping duty order
• Scope determinations are independent from HTS classification determinations by CBP
Scope Rulings
• Domestic parties are no longer interested in covering certain products under a particular AD/CVD order
• Successorship, e.g., changes in the structure of a respondent, such as a merger or spinoff
Changed Circumstance
Reviews
Unofficial Document – For Presentation Purposes Only
20
Customs Instructions
Unofficial Document – For Presentation Purposes Only
E&C’s instructions serve to affirm and explain to CBP personnel E&C case decisions and enforcement information that has been entered into ACE to determine if the merchandise being imported is potentially subject to AD/CVD duties.
Instructions tell CBP what rates to apply to the companies investigated and/or reviewed.
E&C maintains over 80 templates
CBP will not execute E&C’s decisions without instructions.
If the instructions are not clear, CBP will send an inquiry through the CLU for more information.
21
E&C transmits
instructions to CBP HQ
through ACE
CBP Reviews
Instructions
CBP then transmits
the instructions to its ports.
The ports identify entries
covered by E&C’s
instructions.
The ports carry out the instructions, i.e., collect
cash deposits, liquidate, etc.
Instructions Process for AD/CVD
22 Unofficial Document – For Presentation Purposes Only
Retrospective System
23
U.S. Retrospective System
U.S. AD/CVD duties are assessed on a
retrospective basis
Initial investigation-
sets cash deposit rates.
Administrative Review-sets
actual duties to be assessed.
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24
Cash Deposits Versus Assessments
Deposits are a temporary payment of estimated
antidumping or countervailing
duties at the time of entry.
Assessment is the actual amount of antidumping or countervailing duties due on a given entry of
subject merchandise.
Unofficial Document – For Presentation Purposes Only
25
Timeline of Cash Deposits and Liquidation
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26
*Note: Litigation may delay liquidation
* * *
Scope
27
Pre-Order Scope
Scope of the Order
(definition of what is covered merchandise)
Petition
NIS, CEE AD/CVD Policy
Branch
Comments from parties during the
investigation
Unofficial Document – For Presentation Purposes Only
28
Scope of AD/CVD Order
Scope of the AD/CVD Order
Narrative Description is
dispositive
HTSUS numbers are for convenience
only
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29
Post Order Rulings Clarify
the Scope
Post Order Rulings do not
Change the Scope
Post order rulings clarify
whether a product is
covered by the scope of the
order
Commerce looks at the petition, the
ITC report and prior scope
rulings
Post Order Scope Determinations
Unofficial Document – For Presentation Purposes Only
30
Finding Scope Decisions on E&C Website
Trade.gov/enforcement
Clicking here will
take you to the
listing of scopes
and rulings by
country and product
Clicking here will take
you to a page where
you can find more
information on scope.
You can launch to the
scope and rulings
pages, the quarterly
scope publication, and
full scope decisions
for selected cases
Unofficial Document – For Presentation Purposes Only
31
From Previous Page
Finding Scope Decisions on E&C Website Finding Scope Decisions on E&C Website
Trade.gov/enforcement
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32
Finding Scope Decisions on E&C Website
Trade.gov/enforcement
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33
Information on how to
request a scope ruling
Scope Rulings from 1990-
present. Updated Quarterly
Finding Scope Decisions on E&C Website
Trade.gov/enforcement
Unofficial Document – For Presentation Purposes Only
34
Customs Liaison
Unit
35
Customs Liaison Unit
Unofficial Document – For Presentation Purposes Only
Department of Commerce
International Trade
Administration
Enforcement & Compliance
Operations
Customs Liaison
Unit
36
CLU’s Clients
Services three main clients:
Enforcement and
Compliance case teams
Customs and Border
Protection (CBP)
Headquarters (HQ) and the
ports
Trade Community (importers,
brokers, sureties, law firms, etc.)
37 Unofficial Document – For Presentation Purposes Only
History of CLU
Enforcement and Compliance (E&C) established the Customs Liaison Unit (CLU) in 2006 with a primary purpose of serving as a bridge
between E&C staff and CBP.
The CLU’s goal is to facilitate the flow of information between E&C and CBP to support the accurate collection and assessment of AD/CV duties and proper enforcement of the Antidumping and Countervailing Duties
(AD/CVD) laws.
The CLU represents E&C as an active participant in the Commercial Operations Advisory Committee (COAC), AD/CVD Working Group; on
the International Trade Data System (ITDS) Board of Directors; and as a member of the Border Interagency Executive Committee (BIEC) Process Coordination, Risk Management and External Engagement Committees.
38 Unofficial Document – For Presentation Purposes Only
CLU Call Center
E&C’s liaison unit has created a “call
center” that receives and responds to
inquiries from the Trade
Community.
Parties can ask questions regarding the implementation
of E&C decisions, on such wide-
ranging matters as scope, suspension of liquidation and
assessment.
(202) 482-0984
Call Center
39 Unofficial Document – For Presentation Purposes Only
Enforcement & Compliance works closely with U.S. Customs and Border Protection (CBP) and Immigration and Customs Enforcement (ICE) in a variety of ways to try to counter and thwart various duty evasions schemes.
While Commerce has no statutory mandate to investigate AD/CVD duty evasion, we have the statutory authority, and the responsibility, to provide information to CBP and the U.S. Department of Homeland Security (DHS) to assist them in uncovering fraud.
Coordination with DHS Agencies
Unofficial Document – For Presentation Purposes Only
40
Tackling AD/CVD Evasion
When information comes to light during the course of E&C’s proceedings that indicates potential misreporting or other fraudulent activity, we make full use of our statutory authority to timely provide that information to CBP and ICE.
E&C also refers to CBP any allegations of fraud or evasion we receive from the public.
Commerce further supports CBP/ICE’s efforts at countering evasion by reviewing information submitted to CBP to identify any discrepancies or claims that contradict information on Commerce’s Record of the underlying proceeding.
In such cases, where the law allows, Commerce will also use that information in our proceedings.
Unofficial Document – For Presentation Purposes Only
41
1432
357
687
230
297
235
44%
11%
21%
7%
9%
8%
Fiscal Year 2015 Customs Liaison Unit Activity
Total AD/CVD InstructionsIssued
CBP Port Inquiries Received
CLU Call Center Calls
CBP Email inquiries
E&C Case Team Inquiries
Data Queries Run
Total AD/CVDInstructions Issued
CBP Port InquiriesReceived
CLU Call CenterCalls
1233
400
657
1348
370
599
1432
357
687
E&C Communication with CBP and the Trade
FY 2013 FY 2014 FY 2015
Customs Liaison Unit Activity
42 Unofficial Document – For Presentation Purposes Only
Challenges Facing E&C
Filing AD/CVD Entries in ACE
43
Filing AD/CVD Non-Reimbursement Certifications in the Automated Commercial Environment (ACE)
Commerce’s regulation, 19 C.F.R. 351.402(f)(2), requires an importer, prior to liquidation of an entry subject to antidumping duties, to file a certificate with CBP stating whether it has or has not entered into any agreement or understanding with the manufacturer, producer, exporter, or seller for the payment or the refunding of AD/CVD assessed upon its imports.
This certificate is required for each entry (or a group of entries) of merchandise subject to antidumping duties, and must identify the relevant entries.
If the importer does not provide the non-reimbursement certificate prior to liquidation, Commerce presumes that the importer was reimbursed for such duties and instructs CBP to double the amount of applicable AD/CVD duties. See 19 C.F.R. 351.402(f)(3).
Unofficial Document – For Presentation Purposes Only
44
Filing AD/CVD Non-Reimbursement Certifications in the Automated Commercial Environment (ACE)
Two Options in ACE
Line Item Certification
Importer Level (blanket)
Certification
Unofficial Document – For Presentation Purposes Only
45
Filing AD/CVD Non-Reimbursement Certifications in the Automated Commercial Environment (ACE)
Guidance on filing non reimbursement certificates for AD/CVD entries: http://www.cbp.gov/sites/default/files/documents/guidance_for_cert_3.pdf
ACE Entry Summary Instructions: http://www.cbp.gov/sites/default/files/documents/ace_es_instructions_3.pdf
CBP Entry Summary Business Rules and Process Document (TRADE) : http://apps.cbp.gov/csms/docs/18876_117841845/ACE_EntrySummaryBusinessProcess_TRADE_V3_3.pdf
Unofficial Document – For Presentation Purposes Only
46
Contact Information
Wendy J. Frankel
(202) 482-5849
Wendy.Frankel@trade.gov
Customs Liaison Unit Call Center:
(202) 482-0984
Elisabeth Urfer
(202) 482-0414
elisabeth.urfer@trade.gov
Unofficial Document – For Presentation Purposes Only
47
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