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Export Sales Reporting Regulations

20.1	GENERAL
20.2	ADMINISTRATION
20.3	DELEGATION OF AUTHORITY
20.4	DEFINITIONS
20.5	ANNOUNCEMENTS
20.6	SUBMISSION OF REPORTS
20.7	CONFIDENTIALITY OF REPORTS
20.8	FAILURE TO REPORT
20.9	RECORDS
20.10	PLACE OF SUBMISSION OF REPORTS
20.11	ADDITIONAL REPORTS AND INFORMATION
20.12	OMB CONTROL NUMBER

		REFERENCE
APPENDIX 1
	COMMODITIES SUBJECT TO REPORTING, UNITS OF MEASURE TO BE USED IN REPORTING, AND BEGINNING AND ENDING DATES OF MARKETING YEARS.	¶20.5
APPENDIX 2
	Form FAS-97, "Report of Optional Origin Sales"	¶20.6(a)
	Form FAS-98, "Report of Export Sales and Exports"	¶20.6(a)
	Form FAS-99, "Contract Terms Supporting Export Sales and Foreign Purchases"	¶20.6(d)
	Form FAS-100, "Report of Exports for Exporter's Own Account"	¶20.6(a)
AUTHORITY:
	Section 602 of the Agricultural Trade Act of 1978 as added by the Food, Agriculture, Conservation and Trade Act of 1990, Public Law 101-624 (7C.F.R. 20) and Section 7(g) of the Export Administration Act of 1979, Public Law 96-72.

20.1 GENERAL

The regulations of this Part 20 are issued to implement the export sales reporting requirements of Section 602 of the Agricultural Act of 1978 as added by the Food, Agriculture, Conservation, and Trade Act of 1990. Section 602 provides as follows:

SEC. 602. EXPORT REPORTING AND CONTRACT SANCTITY.

(a) EXPORT SALES REPORTS.--

(1) IN GENERAL.--All exporters of wheat and wheat flour, feed grains, oil seeds, cotton, rice, cattle hides and skins, beef, and any products thereof, and other commodities that the Secretary may designate as produced in the United States shall report to the Secretary of Agriculture, on a weekly basis, the following information regarding any contract for export sales entered into or subsequently modified in any manner during the reporting period:

(A) type, class, and quantity of the commodity sought to be exported;
(B) the marketing year of shipment; and
(C) destination, if known.

(2) CONFIDENTIALITY AND COMPILATION OF REPORTS: Individual reports shall remain confidential but shall be compiled by the Secretary and published in compilation form each week following the week of reporting.

(3) IMMEDIATE REPORTING.--All exporters of agricultural commodities produced in the United States shall, upon request of the Secretary, immediately report to the Secretary any information with respect to export sales of agricultural commodities and at such times as the Secretary may request. When the Secretary requires that such information be reported by exporters on a daily basis, the information compiled from individual reports shall be made available to the public daily.

(4) MONTHLY REPORTING PERMITTED.--The Secretary may, with respect to any commodity or type or class thereof during any period in which the Secretary determines that --

(A) there is a domestic supply of such commodity substantially in excess of the quantity needed to meet domestic requirements,
(B) total supplies of such commodity in the exporting countries are estimated to be in surplus,
(C) anticipated exports will not result in excessive drain on domestic supplies, and
(D) to require the reports to be made will unduly hamper export sales, provide for such reports by exporters and publishing of such data to be on a monthly basis rather than on a weekly basis.

(b) FAILURE TO REPORT.--Any person who knowingly fails to make any report required under this section shall be fined not more than $25,000 or imprisoned for not more than 1 year, or both.

 

(c) CONTRACT SANCTITY.--Notwithstanding any other provision of law, the President shall not prohibit or curtail the export of any agricultural commodity under an export sales contract--

(1) that is entered into before the President announces an action that would otherwise prohibit or curtail the export of the commodity, and
(2) the terms of which require delivery of the commodity within 270 days after the date of the suspension of trade is imposed, except that the President may prohibit or curtail the export of any agricultural commodity during a period for which the President has declared a national emergency or for which the Congress has declared war.

20.2 ADMINISTRATION

The regulations of this part will be administered by the Foreign Agricultural Service (FAS), under the general supervision of the Administrator, FAS. Information pertaining to these regulations may be obtained from the office specified in ¶20.10.

20.3 DELEGATION OF AUTHORITY

Authority has been delegated to the Administrator to promulgate amendments and revisions to the regulations in this part.

20.4 DEFINITIONS

As used in these regulations and in all instructions, forms, and documents pertaining hereto, the words and phrases defined in this section shall have the meaning assigned to them as follows:

(a) "Administrator." The Administrator, Foreign Agricultural Service, U. S. Department of Agriculture.

(b) "Buy-Back Contract." A transaction under which a reporting exporter having sold a commodity for export to a foreign buyer liquidates the export sale contract by making an offsetting purchase of the same kind of commodity from the same foreign buyer.

(c) "Commodity." Wheat and wheat flour, feed grains, oilseeds, cotton, rice, cattle hides and skins, beef and pork, and any products thereof, and any other agricultural commodity the Secretary may designate. "Commodity" shall also mean a commodity having identifying characteristics as described in any announcement issued pursuant to ¶20.5 such as class(es) of wheat and rice, or staple length(s) of cotton. Mixed wheat shall be considered to be the predominant wheat class of the blend. This definition excludes commodities to be used for seed which have been treated in such a manner that their use is limited to seed for planting purposes or on which a certificate has been issued by a recognized seed testing laboratory setting forth variety, germination and purity.

(d) "Country of Destination." (1) Any country outside the United States or (2) any territory or possession of the United States. Country of destination shall be the ultimate destination of the export, and shall not be deemed to be the country through which any transshipment takes place.

(e) "Export." A shipment of a commodity from the United States destined to a country specified in paragraph (d) of this section. The commodity shall be deemed to have been exported on the date of the applicable export carrier on-board bill of lading or the date the commodity is received for shipment, as specified on the bill of lading, in the case of commodity received for shipment in a lash barge or containerized van if a through on-board bill of lading is issued for shipment to a country specified in paragraph (d) of this section.

(f) "Export Carrier." The vessel on which a commodity is exported from the United States to a country specified in paragraph (d) of this section, or if export is by railcar, truck, or airplane, "export carrier" means such railcar, truck, or airplane.

(g) "Exports for Exporter's Own Account." A transaction involving shipments made by the reporting exporter which are unsold at the time of export, shipments on consignment to selling agents of the reporting exporter for subsequent sale for the account of the reporting exporter, shipments by the reporting exporter that have not been allocated to any outstanding export sale, and shipments from the United States to any foreign country in bond for subsequent shipment to a third country.

(h) "Export Sales." A transaction entered into between a reporting exporter and a foreign buyer. The transaction must be represented by a written document evidencing that (1) the exporter agrees to export the commodity, (2) the foreign buyer agrees to receive the commodity, (3) a fixed price or an agreed upon mechanism by which such a price can be determined is established, and (4) payment will be made to or for the account of the reporting exporter by or on the behalf of the foreign buyer for delivery of the commodity. The quantity of "outstanding export sale" means the quantity not yet exported under an export sale. The terms of delivery specified in the written agreement, such as FAS vessel, FOB vessel, C&F, etc., do not determine whether a transaction is an export sale which must be reported. A transaction which otherwise meets this definition and is subject to the posting of an exporter performance bond or letter of credit from the foreign buyer is included in this definition and such a transaction shall be reported under these regulations. However, a transaction which becomes operative only upon the imposition of export controls is excluded from this definition of "export sale" and such a transaction shall not be reported under these regulations.

(i) "Foreign Buyer and Foreign Seller." A person whose place of doing business with respect to the transaction is outside the United States. Foreign buyer or foreign seller includes a person who maintains a place of doing business outside the United States even through the transaction is concluded in the United States by his agent who has a place of business in the United States or by his employee who does not maintain a place of doing business in the United States. (If such employee maintains a place of doing business in the United States with respect to the transaction, the resulting contract is construed to be a domestic sale.) Notwithstanding the foregoing, all foreign governments, agencies and instrumentalities are considered foreign buyers or foreign sellers even though transactions are concluded by their employees in the United States or they maintain a place of business with respect to the transaction in the United States.

(j) "Marketing Year." The reporting period specified for a commodity in Appendix 1.

(k) "Optional Origin Contracts." A transaction involving an export sale contract between a reporting exporter and a foreign buyer under which the reporting exporter has the option of exporting the commodity from the United States or from one or more other exporting countries or an export sale contract under which no origin is specified.

(l) "Person." An individual, partnership, corporation, association or other legal entity.

(m) "Purchases from Foreign Sellers." A transaction involving the purchase of a U.S. commodity from a seller whose place of business with respect to the transaction is outside the United States. 

(n) "Quantity." The actual contract quantity (exclusive of any upward or downward tolerance) specified in the agreement between the reporting exporter and foreign buyer or seller. Contract quantity must equal one metric ton. 

(o) "Reporting Exporter." A person who enters into a transaction referred to in this section whose place of doing business with respect to such transaction is in the United States. A reporting exporter shall include any person who sells a commodity to a foreign buyer irrespective of whether or not such person may appear as the shipper on the export documentation or whether or not such person is required to file a Shipper's Export Declaration. A reporting exporter would not normally include agents of either the reporting exporter or foreign buyer, brokers, or freight forwarders unless such agents, brokers or freight forwarders are acting in the capacity of a principal.  [See examples 20.6(c)]

(p) "United States." All of the 50 States, the District of Columbia and Puerto Rico.

20.5 ANNOUNCEMENTS

Commodities for which reports are required under these regulations are set forth in Appendix 1. Any change therein will be made by publication in the FEDERAL REGISTER of an amendment thereto, and, in addition, announcement of such change will be made through the press and ticker service. The unit of measure to be used in reporting the commodity, the beginning and ending dates of the marketing year for each commodity, and any other information deemed necessary to be included in the report will be specified in Appendix 1 and amendment in the announcements through the press  service.

20.6 SUBMISSION OF REPORTS

(a) Weekly Reports. For each commodity for which reports are required under these regulations, the reporting exporter shall file weekly with the office specified in ¶20.10 and not later than the time specified in paragraph (k) of this section, a report by marketing year on the applicable forms contained in Appendix 2 (FAS-97, "Report of Optional Origin Sales," FAS-98, "Report of Export Sales and Exports," and FAS-100, "Report of Exports for Exporter's Own Account"), setting forth the following information and that required by such forms. Information for each applicable item on the respective form shall be reported. If the reporting exporter determines that the report forms cannot be received in the office specified in ¶20.10 by the time specified in paragraph (k) of this section, the exporter shall transmit the information contained in the report forms by the use of FAX, telephone, or electronic submission. The required form must be subsequently submitted in accordance with ¶20.6(k) (2). Exporters have the option to submit the weekly reports using an electronic reporting system (forms 97e, 98e, and 100e) which may be accessed via a secured Internet website. Reporting exporters should contact the Export Sales Reporting staff to obtain passwords and access to the Internet reporting site. Exporters also have the option of satisfying the requirements of Form FAS-98 by submitting ASCII comma delimited files via email to the ESR mailbox at esr@fas.usda.gov.

(1) United States Origin Sales Only.

( i ) Total quantity of outstanding export sales from the previous report by country of destination.
( ii ) Quantity of new export sales made during the week expressed in the specified unit of measure (do not include any tolerance). Include the quantity of any optional origin export sale for which an option was exercised during the week to export the commodity from the United States.
( iii ) Quantity of any purchases of the same kind of commodity made from foreign sellers during the week.
( iv ) Quantity of export sales canceled and quantity of buy-back contracts made during the week.
( v ) Changes in destination during the week for export sales previously reported.
( vi ) Changes in the marketing year during the week for export sales previously reported.

( vii ) Exports made against export sales during the week.
( viii ) Total outstanding balance of export sales at the close of business for the current report.

(2) Optional Origin Sales (United States and Other Countries).

( i ) Total quantity of outstanding export sales from the previous report by country of destination.
( ii ) Quantity of new export sales made during the week expressed in the specified unit of measure (do not include any tolerance) by country of destination.
( iii ) Quantity of export sales for which an option was exercised during the week which would determine the origin of the commodity to be exported with the origin indicated as the United States or other than the United States.
( iv ) Quantity of optional export sales canceled and the quantity of optional buy-back contracts made during the week.
( v ) Changes in destination during the week for sales previously reported. 
( vi ) Changes in the marketing year during the week for sales previously reported..
( vii ) Total outstanding balance of optional export sales for which an option has not been exercised at the time of compiling the report.

(3) Exports for Exporter's Own Account.

( i ) Total outstanding balance of exports for exporter's own account that has been shipped from the United States as shown on the previous report by country where located or, if in transit, by country of intermediate destination.
( ii ) Quantity of new exports for exporter's own account during the week.
( iii ) Quantity of previously reported exports for exporter's own account that was applied to outstanding or new export sales during the week.
( iv ) Quantity of previously reported exports for exporter's own account sold to other U.S. exporters during the week.
( v ) Changes in destination during the week for exports previously reported.
( vi ) The total outstanding balance of exports for exporter's own account at the close of business for the current report.

(b) Monthly Reports. The information described in paragraph (a) of this section shall be reported monthly when specified by an announcement issued pursuant to ¶20.5. The forms specified in paragraph (a) of this section shall be utilized to furnish the information required to be reported monthly, and such information shall be filed in the manner and at the time required by ¶20.6(k).

(c) Exporters who are Required to Report. The reporting exporter has the sole responsibility of reporting any and all information required by these regulations. The following are examples of who shall be considered the reporting exporter for the purpose of these regulations. (Firm A in each example is a firm whose place of doing business with respect to the transaction is in the United States, and the commodity to be delivered under the purchase contract is subject to these regulations. See ¶20.4 for definition of a foreign buyer and foreign seller.)

(1) Firm A made an export sale to Firm B whose place of doing business with respect to the transaction is also in the United States. Firm B has made or will make an export sale to a foreign buyer. In this case, Firm A cannot report the sale to Firm B since Firm B's place of doing business with respect to the transaction is located in the United States. In this example, Firm B is required to report the sale to the foreign buyer.

(2) Firm A makes an export sale to a foreign buyer through the foreign buyer's agent and the agent's place of doing business with respect to the transaction is in the United States. In this example, Firm A is required to report the export sale since the resulting contract is between Firm A and the foreign buyer.

(3) Firm A consigns an export to his agent (other than an employee of Firm A). When the agent makes a sale to a foreign buyer, Firm A is required to report the sale. If the agent makes the sale to a firm whose place of doing business with respect to the transaction is in the United States, Firm A will not report the sale.

(4) Firm A makes a purchase from a foreign seller. In this example, Firm A is required to report the purchase.

(5) Firm A makes a purchase from an agent of a foreign seller and the agent's place of doing business with respect to the transaction is in the United States. In this example, Firm A is required to report the purchase. The agent is not a principal party in interest in the contract and cannot report the sale to Firm A. The foreign seller is not a reporting exporter and is not required to make a report of the sale.

(6) Firm A, the agent of the foreign buyer, whose place of doing business with respect to the transaction is in the United States, purchases commodities domestically at interior warehouses and arranges for exportation to its principal, the foreign buyer. In this example, Firm A is required to report the sale and export.

(7) If a reporting exporter has a transaction not described in subparagraphs (1) through (6) of this paragraph and is in doubt whether a transaction should be reported, the exporter should request in writing a decision from the office specified in ¶20.10.

(d) Contract Terms. Reports of contract terms shall be filed when requested in accordance with ¶20.11. The report showing contract terms shall be filed on FAS-99, "Contract Terms Supporting Export Sales and Foreign Purchases," and shall include the following:

• Reporting exporter's contract number.

• Date of export sale or purchases.

• Name of foreign buyer or foreign seller.

• Delivery period specified in the export sale or purchase.

• Delivery terms specified in the export sale or purchase (F.O.B., C&F, etc.)

• Actual quantity of the export sale or purchase.

• Quantity not exported against the sale or foreign purchase (do not include any tolerance).

• Country of destination.

• On purchases from foreign sellers, show separately from export sales all items of this paragraph (d).

(e) Reporting of Destination. The reporting exporter shall report the country of destination specified in the export sale contract or otherwise declared in writing by the foreign buyer. (Where a government, or agency of such government, is the sole importer of the commodity in a country, the exporter shall report that country as the country of destination only if the exporter or foreign buyer has made a direct sale to that foreign government or agency.) If the country of destination is not specified or declared, the exporter shall report the destination as "unknown". If by the time of exportation the exporter has not so ascertained the country of destination, the name of the country reported to the Bureau of Customs on the Shipper's Export Declaration for such export shipment should be reported, even through it may be an intermediate destination. The reporting exporter is expected to report destination changes made after reporting the export on FAS-98, "Report of Export Sales and Exports".

(f) Optional Class or Kind of Commodity. If the export sale provides for an option as to the class or kind of commodity to be delivered under the export sale, the reporting exporter should report the particular class or kind of commodity expected to exported.

(g) Range in Contract Quantity. If the export sale provides for a range in quantity (e.g., 10,000 metric tons to 12,000 metric tons with or without a loading tolerance) with the reporting exporter or buyer having the option to declare a firm quantity at a later date, the reporting exporters shall report the maximum export sale quantity (exclusive of any loading tolerance). If an option is exercised for a lesser quantity at a later date, the reporting exporter shall report the reduction as an amendment to an export sale previously reported.

(h) Transfer of Unexported Balances from One Marketing Year to the Next Year. If exports against an export sale are not complete by the end of the marketing year in which the commodity is being reported for export, the reporting exporter shall transfer the quantity not exported against the export sale to the next marketing year on the first report submitted after the beginning of the new marketing year.

(i) Errors on Previous Reports. Whenever an exporter discovers an error or is advised by the office specified in ¶20.10 of an error on a prior report, the error shall be corrected in the current weekly report to reflect the proper outstanding export sales and exports. The exporter shall also furnish a complete explanation of such reporting errors.

(j) When Reports are Required.

(1) A reporting exporter shall submit reports for those commodities for which there are new export sales, outstanding export sales, exports for exporter's own account for which an offsetting export sale has not been made and reported, purchases from foreign sellers, or optional origin sales.

(2) A reporting exporter may discontinue reporting for a commodity only when actual exports and other required reporting of changes have reduced to zero all export sales, exports made for exporter's own account, purchases from foreign sellers, or optional origin sales. The reporting exporter shall report a zero balance prior to discontinuing reporting for the commodity involved.

(3) If a reporting exporter discontinues making reports because a zero balance has been reached for a particular commodity, the exporter shall be responsible to commence reporting again once new activity occurs as specified in j(1) above.  

(k) Manner and Time of Reporting.

(1) Manner. An original of all reports forms, other than electronic forms and ASCII comma delimited files, must be filed with the office specified in ¶20.10. Each report form shall contain the full business name, address and telephone number of the reporting exporter and the name of the person submitting the report form on behalf of the reporting exporter. Computer generated printouts may be used in lieu of standard reporting forms when approved by the office specified in ¶20.10.

(2) Time of Filing Reports.  Information required to be reported weekly (either via fax, telephone, or electronically) must be received in the office specified in ¶20.10 no later than 11:59 p.m. Eastern time, on each Monday or such other time as may be approved in advance by the office. Such weekly report must set forth the required information as to export sales transactions made during the seven-day period ending the preceding Thursday, midnight.  If Friday or Monday is a national holiday, the due date shall be Tuesday.  Information required to be reported monthly must be received in the office specified in ¶20.10 no later than 5:00 p.m.,  Eastern time, the fourth business day following the end of the reporting month, or such other time as may be approved in advance by that office setting forth the required information as to export sales transactions made during the reporting month ending midnight the last day of such month. It is the responsibility of the reporting exporter to arrange the most efficient and expeditious manner for the office specified in ¶20.10 to receive the reported information.  

20.7 CONFIDENTIALITY OF REPORTS

A reporting exporter's individual reports shall remain confidential and subject to examination only by designees of the Administrator.  Information from reports filed by exporters on a weekly basis will be compiled and published in compilation form each week following the week of reporting.  Information from daily reports filed by exporters will be made available to the public on the following business day at 9:00 a.m., Eastern time.  Information from monthly reports filed by exporters will be compiled and published in compilation form in the weekly report no later than the week following the time of filing specified in ¶20.6(k).

20.8 FAILURE TO REPORT

Any person who knowingly fails to report export sales pursuant to the requirement of these regulations shall be fined not more than $25,000 or imprisoned not more than one year, or both.

20.9 RECORDS

Each reporting exporter shall establish and maintain accurate records as to all export sales of commodities subject to these regulations. Such records shall include, but shall not be limited to, export sales contracts or other agreements with the foreign buyer or foreign seller pursuant to which any export has or will be made; bill of lading or delivery documents evidencing all such exports and inspection and weight certificates relating thereto. Such records shall be available during regular business hours for inspection and audit by authorized employees of the United States Department of Agriculture and shall be preserved for three years after the date of export to which they relate.

20.10 PLACE OF SUBMISSION OF REPORTS

Weekly reports and information required to be submitted in connection wherewith shall be faxed or online reporting or delivered to the following office:

FAX:    (202)690-3270 or (202)690-3273

U.S. Department of Agriculture
Foreign Agricultural Service
Export Sales Reporting
1250 Maryland Ave., SW
Room 115 - STOP 1021
Washington, D.C. 20024

20.11 ADDITIONAL REPORTS AND INFORMATION

(a) Daily Reports.  The reporting exporter shall report daily to the Administrator information with respect to sales of agricultural commodities as requested.  Daily reports shall be made by telephone no later than 3:00 p.m., Eastern time, on the next business day following the calendar day of the sale. 

(b) Additional Information. The reporting exporter shall furnish such other additional reports and information, including price data, as may be requested with respect to export sales of agricultural commodities.

20.12 OMB CONTROL NUMBER ASSIGNED PURSUANT TO PAPERWORK REDUCTION ACT

The information collection requirements contained in these regulations have been approved by the Office of Management and Budget (OMB) under the  provisions of 44 U.S.C. Chapter 35 and have been assigned OMB Control Number 0551-0007.