83804 Federal Register / Vol. 85, No. 247 / Wednesday, December 23, 2020 / Rules and Regulations 

Country Entity Federal Register 

citation 

United Engine Corporation, 16, Budyonny Avenue, Moscow, 105118 Russia .......................................... 85 FR [INSERT FR

PAGE NUMBER 

AND 12/23/2020]. 

United Instrument Manufacturing Corporation, Vereiskaya 29, str. 141, Moscow, Russia ........................ 85 FR [INSERT FR 

PAGE NUMBER 

AND 12/23/2020]. 

VENEZUELA ..... [RESERVED] ............................................................................................................................................... [RESERVED] 

PART 756—[AMENDED] 

■ 5. The authority citation for part 756 

is revised to read as follows: 

Authority: 50 U.S.C. 4801–4852; 50 U.S.C. 

4601 et seq.; 50 U.S.C. 1701 et seq.; E.O. 

13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 

783. 

■ 6. Section 756.2 is amended by 

revising paragraph (a)(3) to read as 

follows: 

§ 756.2 Appeal from an administrative 

action. 

(a) * * * 

(3) A decision on a request to remove 

or modify an Entity List entry made 

pursuant to § 744.16 of the EAR, a 

decision on a request to remove or 

modify an Unverified List entry made 

pursuant to § 744.15 of the EAR, or a 

request to remove or modify a Military 

End User entry made pursuant to 

§ 744.21(b) of the EAR. 

* * * * * 

Matthew S. Borman, 

Deputy Assistant Secretary for Export 

Administration. 

[FR Doc. 2020–28052 Filed 12–22–20; 8:45 am] 

BILLING CODE 3510–33–P 

DEPARTMENT OF COMMERCE 

International Trade Administration 

19 CFR Part 361 

[Docket No. 201014–0270] 

RIN 0625–AB18 

Aluminum Import Monitoring and 

Analysis System 

AGENCY: Enforcement and Compliance, 

International Trade Administration, 

Department of Commerce. 

ACTION: Final rule. 

SUMMARY: In this final rule, the U.S. 

Department of Commerce (Commerce) 

adopts the Aluminum Import 

Monitoring and Analysis (AIM) system 

by promulgating new regulations that 

establish a website for the AIM system 

that consists of an online aluminum 

import license application platform and 

public AIM monitor; require importers, 

customs brokers or their agents to apply 

for and obtain an import license for each 

entry of certain aluminum products into 

the United States through the AIM 

system website; require license 

applicants to identify, among other 

requirements, the country or countries 

where the largest and the second largest 

volume of primary aluminum used in 

the manufacture of the imported 

aluminum product was smelted (subject 

to certain exceptions) and the country 

where the aluminum product was most 

recently cast; allow for the public 

release of certain import license data on 

an aggregate basis, as appropriate, on 

the public AIM monitor; and apply the 

license requirement to all imports of 

basic aluminum products. Further, 

Commerce is adopting the aluminum 

import license application form in 

accordance with the Paperwork 

Reduction Act (PRA). Lastly, Commerce 

is notifying parties that, after the AIM 

system is in place, Commerce will seek 

additional comment from parties on 

potential improvements or changes to 

the system in a subsequent notice. 

DATES: 

Effective date: January 25, 2021. 

Applicability date: The AIM system 

website will be operational on January 

4, 2021. Therefore, potential license 

applicants will be able to obtain their 

user identification numbers and apply 

for licenses beginning on January 4, 

2021. Licenses will be required for all 

covered aluminum imports on or after 

January 25, 2021. For further 

information regarding a one-year delay 

for portions of the final rule, see 

SUPPLEMENTARY INFORMATION. 

ADDRESSES: The new AIM system 

website that will be operational on 

January 4, 2021 is https://

www.trade.gov/aluminum. Through this 

website, potential license applicants can 

register for the online license 

application platform and apply for 

licenses. Additionally, the public AIM 

monitor is also featured on this website. 

More information can be found at 

https://www.trade.gov/aluminum. 

Commerce is offering a virtual 

demonstration of the online license 

application platform for potential 

license applicants. Commerce is also 

offering a virtual demonstration of the 

public AIM monitor, which is available 

to the general public. Although the 

demonstrations will be completely 

virtual, Commerce will have a limited 

number of spots available for 

participation in the demonstrations, that 

will occur prior to the effective date of 

this rule. For specific dates and times of 

the demonstrations, and to participate 

in the demonstrations, please visit 

https://www.trade.gov/aluminum. 

FOR FURTHER INFORMATION CONTACT: Julie 

Al-Saadawi at (202) 482–1930, Brandon 

Custard at (202) 482–1823, or Jessica 

Link at (202) 482–1411. 

SUPPLEMENTARY INFORMATION: 

Background 

On May 17, 2019, the United States 

announced joint understandings with 

Canada and Mexico, respectively, 

concerning trade in aluminum covered 

by the action taken pursuant to Section 

232 of the Trade Expansion Act of 1962, 

as amended. Among other things, the 

understandings call for the monitoring 

of aluminum trade between the United 

States and Canada and Mexico, 

respectively. Consistent with the joint 

understandings, and to enhance U.S. 

Government monitoring and analysis of 

aluminum products more generally, 

Commerce published a proposed rule on 

April 29, 2020 to establish the AIM 

system. The goal of the AIM system is 

to allow for the effective and timely 

monitoring of import surges of specific 

aluminum products and to aid in the 

prevention of transshipment of 

aluminum products. Over the past two 

decades, Commerce has operated the 

similar recently updated Steel Import 

Monitoring and Analysis (SIMA) system 

that allows for the effective and timely 

monitoring of import surges of specific 

steel products, and aids in the 

prevention of transshipment of steel 

products. 

Modeling the AIM System on the SIMA 

System 

To the extent practicable, the AIM 

System will operate in a similar manner 

as the SIMA system, which has been 

operating under its current authority 


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1See Steel Import Monitoring and Analysis 

System, Final Rule, 70 FR 72373 (December 5, 

2005). 

2See The Effect of Imports of Aluminum on the 

National Security: An Investigation Conducted 

Under Section 232 of the Trade Expansion Act of 

1962, As Amended, U.S. Department of Commerce 

Report, dated January 11, 2018 (https://

www.commerce.gov/files/effect-imports-aluminumnational-security-investigation-conducted-undersection-232-trade). 

3 Id. 

4Adjusting Imports of Aluminum Into the United 

States, Proclamation 9704, 83 FR 11619, 11620 

(March 15, 2018) (Presidential Proclamation 9704). 

5See Adjusting Imports of Aluminum Into the 

United States, Proclamation 9710, 83 FR 13355 

(March 22, 2018) (Presidential Proclamation 9710); 

Adjusting Imports of Aluminum Into the United 

States, Proclamation 9739, 83 FR 20677 (April 30, 

2018) (Presidential Proclamation 9739); Adjusting 

Imports of Aluminum Into the United States, 

Proclamation 9758, 83 FR 25849 (May 31, 2018) 

(Presidential Proclamation 9758); Adjusting Imports 

of Aluminum Into the United States, Proclamation 

9776, 83 FR 45019 (August 28, 2018) (Presidential 

Proclamation 9776); Adjusting Imports of Derivative 

Aluminum Articles and Derivative Steel Articles 

into the United States, Proclamation 9980, 85 FR 

5281 (January 24, 2020) (Presidential Proclamation 

9980); and Adjusting Imports of Aluminum Articles 

Into United States, Proclamation 10060, 85 FR 

49921 (August 14, 2020) (Presidential Proclamation 

10060). 

6See Presidential Proclamation 9704, 83 FR at 

11620. 

7 Id. 

8See Presidential Proclamation 9758, 83 FR at 

25850. 

9See Joint Statement by the United States and 

Canada on Section 232 Duties on Steel and 

Aluminum, dated May 17, 2019, available at 

https://ustr.gov/sites/default/files/Joint_Statement_

by_the_United_States_and_Canada.pdf; Joint 

Statement by the United States and Mexico on 

Section 232 Duties on Steel and Aluminum, dated 

May 17, 2019, available at https://ustr.gov/sites/ 

default/files/Joint_Statement_by_the_United_

States_and_Mexico.pdf. 

10See Adjusting Imports of Aluminum into the 

United States, Proclamation 9893, 84 FR 23983 

(May 19, 2019). 11Aluminum Import Monitoring and Analysis 

System Proposed Rule, 85 FR 23748 (April 29, 

2020) (Proposed Rule). 12See Modification of Regulations Regarding the 

Steel Import Monitoring and Analysis System, 85 

FR 56162 (September 11, 2020) (SIMA 

Modification). 

since March 11, 2005.1 The purpose of 

the SIMA system is to provide steel 

producers, steel consumers, importers, 

and the general public with accurate 

and timely information on anticipated 

imports of certain steel products into 

the United States. Steel import licenses, 

issued through the online SIMA 

licensing system, are required by U.S. 

Customs and Border Protection (CBP or 

Customs) for filing entry summary 

documentation, or its electronic 

equivalent, for imports of certain steel 

mill products into the United States. 

Through the monitoring tool, certain 

import data collected from the licenses 

are aggregated weekly and reported on 

the publicly available SIMA website, 

https://www.trade.gov/steel. This tool 

provides valuable data regarding U.S. 

imports of certain steel mill imports, as 

early as possible, and makes such data 

available to the public up to eight weeks 

in advance of official U.S. import 

statistics issued by the U.S. Census 

Bureau (Census). 

Section 232 Tariff on Imports of 

Aluminum Into the United States 

On January 19, 2018, pursuant to 

section 232 of the Trade Expansion Act 

of 1962 (the Trade Expansion Act), as 

amended (19 U.S.C. 1862), the Secretary 

of Commerce (Secretary) transmitted to 

the President a report on his 

investigation into the effect of imports 

of aluminum articles on the national 

security of the United States.2 The 

Secretary found and advised the 

President that aluminum articles were 

being imported into the United States in 

such quantities and under such 

circumstances as to threaten to impair 

the national security of the United 

States.3 In Presidential Proclamation 

9704 of March 8, 2018 (Adjusting 

Imports of Aluminum Into the United 

States) (Proclamation 9704), the 

President concurred with the Secretary’s 

findings and decided to adjust the 

imports of aluminum articles, as defined 

in clause 1 of Proclamation 9704, by 

imposing a 10 percent ad valorem tariff 

on such articles imported from most 

countries.4 Between March 2018 and 

August 2020, the President made several 

additional adjustments to the imports of 

aluminum articles.5

As a result, effective March 23, 2018, 

certain aluminum imports were subject 

to Section 232 tariffs, and imports from 

Canada and Mexico were exempted 

from these tariffs. With respect to 

Canada and Mexico, Proclamation 9704 

provided that the United States would 

continue ongoing discussions with these 

countries and exempt aluminum 

imports from these countries from 

Section 232 tariffs.6 Further, 

Proclamation 9704 stated that Canada 

and Mexico would be expected to take 

action to prevent transshipment of 

aluminum imports through these 

countries to the United States.7

Subsequently, Presidential Proclamation 

9758 of May 31, 2018 (Adjusting 

Imports of Aluminum into the United 

States) (Proclamation 9758) removed the 

exemption for aluminum imports from 

Canada and Mexico, and imposed 

Section 232 duties on aluminum 

imports from these countries, effective 

June 1, 2018.8

On May 17, 2019, the United States 

announced that discussions had yielded 

joint understandings with Canada and 

Mexico, respectively, to remove the 

Section 232 tariffs for aluminum 

imports from those countries.9 As part 

of the joint understandings, the United 

States and Canada, and the United 

States and Mexico, agreed to implement 

effective measures to prevent the 

transshipment of aluminum products 

made outside of the United States, 

Canada, and Mexico, among other 

commitments. Additionally, the joint 

understandings provide that the 

countries will establish an agreed-upon 

process for monitoring aluminum trade 

between them. In light of the joint 

understandings, Presidential 

Proclamation 9893 of May 19, 2019 

(Adjusting Imports of Aluminum into 

the United States) (Proclamation 9893) 

provided that a satisfactory alternative 

means had been agreed upon and, 

effective May 21, 2019, aluminum 

imports from Canada and Mexico would 

not be subject to Section 232 tariffs.10

Proposed Rule 

On April 29, 2020, Commerce 

published a proposal for the 

establishment of the AIM system in 19 

CFR part 361.11 Commerce received 17 

comments on the Proposed Rule, and we 

have addressed those comments below. 

The Proposed Rule, comments received, 

and this final rule can be accessed using 

the Federal eRulemaking portal at 

http://www.regulations.gov/. After 

analyzing and considering the 

comments received, we are adopting 

regulations to establish the AIM system. 

Explanation of Regulatory Provisions 

and Changes From the Proposed Rule 

Pursuant to its authority under the 

Census Act, as amended (the Census 

Act) (13 U.S.C. 301(a) and 302), and 

consistent with the joint 

understandings, Commerce is 

establishing a system of import 

licensing to facilitate the monitoring of 

imports of aluminum articles, including 

monitoring for import surges, known as 

the AIM system. Commerce has thus 

proposed a rule and received comments 

regarding the establishment of the AIM 

system. The AIM system will operate in 

a similar way as the existing SIMA 

system (19 CFR part 360) and will be 

codified under 19 CFR part 361. Also, 

Commerce recently incorporated minor 

changes into its regulations for the 

SIMA system.12 The AIM system tracks 

the modified SIMA system as closely as 

possible except where necessary to 

address the inherent differences 

between steel and aluminum imports. 

The responsibility for issuing these 

regulations is delegated to the Assistant 

Secretary for Enforcement and 

Compliance. 


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83806 Federal Register / Vol. 85, No. 247 / Wednesday, December 23, 2020 / Rules and Regulations 

13The AIM system will cover basic aluminum 

products under the following HTS codes: 7601, 

7604, 7605, 7606, 7607, 7608, 7609, 7616.99.51.60, 

and 7616.99.51.70. As discussed in 19 CFR 

361.101(a)(1), a list of the products covered by the 

AIM system by Harmonized Tariff Schedule (HTS) 

codes can be obtained on the AIM system website. 

The HTS codes, which are maintained by the U.S. 

International Trade Commission (ITC), may be 

updated periodically to reflect revisions to the 

codes. 

14See 19 CFR 143.21 through 143.28 for further 

information on informal entries. 

15As discussed further below, this definition is 

directly responsive to the comments raised on the 

Proposed Rule as well as third-party sources, such 

as the discussion of primary aluminum production 

featured on the website of the Aluminum 

Association (available at https://

www.aluminum.org/industries/production/primaryproduction). This discussion demonstrates that 

there is a well-understood and generally accepted 

description of the primary aluminum production 

process in the aluminum industry that allows 

Commerce to adopt the definitions in this final rule. 

16As discussed further below, this definition 

takes into account comments on the Proposed Rule 

as well as third-party sources, such as the 

discussion of secondary aluminum production 

featured on the website of the Aluminum 

Association (available at https://

www.aluminum.org/industries/production/ 

secondary-production). 

The AIM system is based entirely on 

a web-based platform at https://

www.trade.gov/aluminum and is 

comprised of the online registration 

system, automatic aluminum import 

license issuance system, and aluminum 

import monitor. As addressed in further 

detail below, for purposes of importing 

basic aluminum products,13 any 

importer, importing company, customs 

broker or importer’s agent of basic 

aluminum products must (1) register 

and obtain a username, (2) file for and 

obtain a unique aluminum import 

license (issued automatically) for each 

shipment, and (3) provide the license 

number to CBP as part of the submission 

of the entry summary form, Customs 

Form 7501, or its electronic equivalent. 

As discussed below, aluminum imports 

valued under $5,000 per shipment may 

obtain a multi-use low-value license. 

Additionally, informal entries are 

exempt from the licensing 

requirement.14

The public AIM monitor, described 

further below, will aggregate and report 

certain information obtained from the 

aluminum licenses on a monthly basis 

and will be refreshed each week, as 

appropriate. Additionally, outdated 

license information will be replaced, 

where available, with publicly available 

U.S. import statistics. Like the public 

SIMA monitor, the public AIM monitor 

will function as an early warning 

system, yielding public data up to eight 

weeks prior to the release of publicly 

available import statistics by Census. 

Online Registration System and 

Automatic Aluminum Import License 

Issuance System 

Similar to the SIMA system, the AIM 

system will include both an online 

registration system and an automatic 

aluminum import license issuance 

system, as provided in 19 CFR 361.101– 

103. Section 361.102, covering the 

online registration system, provides that 

in order to obtain an aluminum import 

license, any importer, importing 

company, customs broker or the 

importer’s agent must first register with 

Commerce and obtain a username to log 

into the automatic aluminum import 

license issuance system. Although a 

primary username will be issued to an 

importing company or brokerage house, 

all operating units within the company 

(e.g., individual branches, divisions or 

employees) may have separate 

usernames associated with different 

email addresses that will be associated 

with the parent company. The AIM 

system will be designed to allow 

multiple users of a single Employer 

Identification Number (EIN) from 

different locations within the company 

to enter information simultaneously. 

There is no fee to register (see 

§ 361.106), and a username will be 

issued immediately if all registration 

fields are completed. As part of the 

registration process, the importer, 

importing company, customs broker, or 

importer’s agent will be required to 

provide certain general information, 

including the applicant company name, 

EIN or the CBP-issued importer number 

(where no EIN is available), address, 

phone number, and email address for 

both the company’s headquarters and 

any branch offices that will be applying 

for aluminum licenses. This information 

will be used solely for the purposes of 

administering the aluminum import 

licensing and monitoring programs. The 

information will not be released by 

Commerce, except as required by U.S. 

law. 

Section 361.103, covering the 

automatic issuance of import licenses, 

provides that aluminum import licenses 

will be issued to registered importers, 

customs brokers, or their agents through 

an automatic aluminum import 

licensing system. The separately issued 

username discussed above will be 

required to apply for the import license. 

There will be no fee charged to apply for 

the import licenses (see § 361.106). Like 

steel import licenses, aluminum import 

licenses will be issued automatically 

after the completion of all fields on the 

application form. In order to obtain the 

license, the applicant (also referred to as 

the filer) must report the information 

identified under § 361.103(c)(1) in the 

fields of the license application form. 

Certain fields will be generated 

automatically in the license form from 

the information in the registration 

system. Other information will be 

available from drop down lists in the 

application form (e.g., aluminum HTS 

numbers, country of origin, country of 

smelt, port of entry) and will not have 

to be typed. 

Much of the information requested on 

the license form is readily available to 

the importer or its broker and is similar 

to the information required by CBP for 

purposes of the entry summary. For 

certain fields, the information requested 

is not already required by CBP. 

Specifically, in the Proposed Rule 

Commerce proposed a field to reflect the 

country where the primary aluminum 

used in the manufacture of the imported 

aluminum product was smelted and 

poured. However, based on comments, 

and as discussed further below, in this 

final rule Commerce has altered this 

requirement. As stated in 

§ 361.103(c)(1)(xiii), (xiv), and (xv), 

Commerce requires the applicant to 

provide information in three separate 

fields: (1) The country where the largest 

volume of primary aluminum used in 

the manufacture of the imported 

aluminum product was smelted 

(referred to as ‘‘country of smelt for the 

largest volume of primary aluminum’’ as 

shorthand), (2) the country where the 

second largest volume of primary 

aluminum used in the manufacture of 

the imported aluminum product was 

smelted (referred to as ‘‘country of smelt 

for the second largest volume of primary 

aluminum’’ as shorthand), and (3) the 

country where the aluminum used in 

the imported aluminum product was 

most recently cast (referred to as 

‘‘country of most recent cast’’ for 

shorthand). These fields are further 

described under § 361.103(c)(3). The 

reference to ‘‘pour’’ and ‘‘poured’’ is 

removed from the final rule. 

Section 361.103(c)(3)(i)(A) defines the 

field for the country of smelt for the 

largest volume of primary aluminum as 

the country where the largest volume of 

new aluminum metal is produced from 

alumina (or aluminum oxide) by the 

electrolytic Hall-He ́roult process.15

Section 361.103(c)(3)(i)(B) provides that 

filers may state ‘‘not applicable’’ in this 

field if the product contains only 

secondary aluminum and no primary 

aluminum. Secondary aluminum is 

defined as aluminum metal that is 

produced from recycled aluminum 

scrap through a re-melting process.16

Additionally, recognizing that importers 

may have some initial difficulties in 

securing this information, 


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17As discussed further below, this definition 

takes into account comments on the Proposed Rule 

as well as third-party sources, such as the 

discussion of aluminum processing featured on the 

website of the Aluminum Association (available at 

https://www.aluminum.org/industries/processing). 

§ 361.103(c)(3)(i)(C) allows filers to state 

‘‘unknown’’ for this field on the license 

application on a temporary basis. 

Specifically, ‘‘unknown’’ may be stated 

for a period of one year from the 

publication of the final rule (i.e., up to 

December 23, 2021) to allow license 

applicants sufficient time to gather the 

requisite information. Effective 

December 24, 2021, filers will no longer 

be able to state ‘‘unknown’’ and then 

will be required to provide the 

requested information for this field. 

Similar to the country of smelt for the 

largest volume of primary aluminum 

field, § 361.103(c)(3)(ii)(A) defines the 

field for the country of smelt for the 

second largest volume of primary 

aluminum as the country where the 

second largest volume of new aluminum 

metal is produced from alumina (or 

aluminum oxide) by the electrolytic 

Hall–He ́roult process. Section 

361.103(c)(3)(ii)(B) also provides that 

filers may state ‘‘not applicable’’ in this 

field if the product contains only 

secondary aluminum and no primary 

aluminum. Additionally, filers may 

state ‘‘not applicable’’ in this field if the 

product does not contain a second 

largest volume of primary aluminum. 

Further, filers will be allowed to state 

‘‘unknown’’ in this field for a period of 

one year from the publication of the 

final rule (i.e., up to December 23, 2021) 

for the reasons stated above. Effective 

December 24, 2021, filers will no longer 

be able to state ‘‘unknown’’ and then 

will be required to provide the 

requested information for this field. 

Section 361.103(c)(3)(iii)(A) defines 

the field for the country of most recent 

cast as the country where the aluminum 

(with or without alloying elements) was 

last liquified by heat and cast into a 

solid state. The final solid state can take 

the form of either a semi-finished 

product (slab, billets or ingots) or a 

finished aluminum product.17 Unlike 

the two fields described above, section 

361.103(c)(3)(iii)(B) and (C) provide that 

filers will not be allowed to state ‘‘not 

applicable’’ or ‘‘unknown’’ for this field. 

As discussed further below, the country 

of most recent cast is information that 

generally is readily available to the 

importer or its broker and is most likely 

to be identified in the import 

documentation accompanying the entry 

summary to be filed with CBP (invoices, 

lab reports, etc.). In some instances, the 

country of most recent cast may be 

identified as the country of origin. 

Further, because a semi-finished or 

finished aluminum product could go 

through the casting process multiple 

times before importation into the United 

States, the field only requests the 

country of most recent cast. 

A sample copy of the aluminum 

import license and the accompanying 

instructions will be available for 

viewing on Enforcement and 

Compliance’s website (https://

www.trade.gov/aluminum/). Upon 

completion of the application form, the 

importer, customs broker or the 

importer’s agent will certify as to the 

accuracy and completeness of the 

information and submit the form 

electronically. Once the license is 

issued, the system will automatically 

issue an aluminum import license 

number which will appear on the 

application page. The applicant will 

also receive a confirmation email. The 

refreshed form containing the submitted 

information and the newly issued 

license number will appear on the 

screen (the ‘‘license form’’). Applicants 

can print the license form themselves. If 

needed, copies of completed license 

forms can be retrieved by the user or 

requested from Commerce during 

normal business hours. 

Section 361.103(e) requires that users 

correct licenses themselves if they 

determine that there is an error 

submitted. To access a previously 

issued license, a user must log on with 

his/her username and identify the 

license number and the volume 

(quantity in kilograms) for the first 

product shown on the license. The 

information on the license should match 

the information presented in the entry 

summary data as closely as possible 

which includes the value and quantity 

of the shipment, the expected date of 

importation, and the customs port of 

entry. 

Pursuant to § 361.101(b), the 

aluminum import license will be 

required for every entry of covered 

aluminum products (with certain 

exceptions for foreign trade zones and 

informal entries described below). As 

with SIMA, a single license can cover 

multiple products, as long as the 

information at the top of the form (i.e., 

importer, exporter, manufacturer, 

country of origin and exportation, the 

expected date of export, first and second 

country of smelt, and expected date of 

import), are the same for the shipment. 

However, separate licenses will be 

required if any of the information above 

differs with respect to a given set of 

covered imported aluminum products. 

As a result, a single CBP entry may 

require more than one aluminum import 

license. The applicable license 

number(s) must cover the total quantity 

of the aluminum product entered and 

should match the information provided 

on the CBP entry summary. There is no 

requirement to present physical copies 

of the license forms at the time of entry 

summary. However, copies must be 

maintained in accordance with CBP’s 

normal requirements. Licenses will be 

issued for single use and will be specific 

to an entry (as discussed above), with 

the exception of low-value licenses 

described below. 

Certain information collected from the 

license application system that can be 

aggregated without revealing business 

proprietary information will be reported 

on the public AIM monitor, as described 

in further detail below. All other 

information including copies of the 

licenses and the names of importers, 

exporters, and manufacturers, will be 

considered business proprietary 

information and will not be released to 

the public. 

Duration of the Aluminum Import 

License 

In accordance with § 361.103(d), the 

aluminum import license can be applied 

for up to 60 days prior to the expected 

date of import and until the date of 

filing of the CBP entry summary 

documents, or its electronic equivalent. 

The aluminum import license is valid 

for up to 75 days. However, import 

licenses which are valid on the date of 

import but expire prior to the filing of 

CBP entry summary documents will be 

accepted. Issues related to foreign trade 

zones are addressed below. 

License Rules for Certain Types of 

Entries 

In accordance with § 361.101(e), 

aluminum import licenses are not 

required on temporary importation bond 

(TIB) entries, transportation and 

exportation (T&E) entries or entries into 

a bonded warehouse. Covered 

aluminum products withdrawn for 

consumption from a bonded warehouse 

will require a license at the entry 

summary. 

Foreign Trade Zone Admissions 

Pursuant to § 361.101(c), all 

shipments of covered aluminum 

products into foreign trade zone (FTZ), 

known as FTZ admissions, will require 

an aluminum import license prior to the 

filing of FTZ admission documents. The 

license number(s) must be reported on 

the FTZ admission documents and/or 

status designation (Customs Form 214) 

at the time of filing. There is no 

requirement to present physical copies 

of the license forms at the time of FTZ 

admission. However, copies must be 


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83808 Federal Register / Vol. 85, No. 247 / Wednesday, December 23, 2020 / Rules and Regulations 

18See SIMA Modification. 

19As discussed below, after the AIM system is in 

place, Commerce will seek additional comment 

from parties on potential improvements or changes 

to the system in a subsequent notice, including 

adding aluminum scrap products to the licensing 

requirement. 

maintained in accordance with 

Customs’ normal requirements. FTZ 

admission documents without the 

required license number(s) will not be 

considered complete and will be subject 

to liquidated damages for violation of 

the bond condition requiring timely 

completion of admission. A further 

aluminum import license will not be 

required for shipments of entries for 

consumption from zones into the 

commerce of the United States. In the 

case of FTZ admissions, the aluminum 

import license can be applied for up to 

60 days prior to the expected date of 

importation into the Zone and until the 

date of filing of Customs Form 214. For 

FTZs, the licenses do not expire and 

covered aluminum products do not 

require a new license when leaving the 

zone and entering for consumption. 

Informal Entries and Low-Value 

Licenses 

In accordance with § 361.101(d), no 

import license shall be required on 

informal entries of covered aluminum 

products, such as merchandise valued at 

less than $2,500 (see 19 CFR 143.21 

through 143.28 for further information). 

This exemption applies to informal 

entries only; imports of aluminum 

valued at less than $2,500 that are part 

of a formal entry will require a license. 

Pursuant to § 361.103(f), for 

shipments containing less than $5,000 

worth of aluminum, applicants can 

apply for a reusable low-value license. 

Public AIM Monitor 

As provided in § 361.104, the public 

AIM monitor, featured on the AIM 

system website, will report certain 

aggregate information on imports of 

aluminum product categories using both 

publicly available import data and data 

obtained from the aluminum licenses. 

The public AIM monitor will provide 

information on U.S. imports of 

aluminum from all countries by broad 

product categories in both value and 

volume measures. Once the license 

collection begins, additional data will 

be added to the public AIM monitor. 

Aggregate data will be reported, as 

appropriate, on a monthly basis by 

country of origin, country where the 

largest volume of primary aluminum 

used in the manufacture of the product 

was smelted, country where the second 

largest volume of primary aluminum 

used in the manufacture of the product 

was smelted, country of most recent 

cast, and relevant aluminum product 

grouping, etc. and will include import 

quantity (metric tons), import Customs 

value (U.S. $), and average unit value 

($/metric ton). The website will also 

contain certain aggregate data at the 6- 

digit Harmonized Tariff Schedule level 

and will also present a range of 

historical data for comparison purposes. 

Provision of aggregate data on the 

website may be revisited should 

concerns arise over the possible release 

of proprietary data. The public AIM 

monitor will be similar to SIMA’s but 

will not incorporate preliminary Census 

data. Commerce believes that the early 

release preliminary data from Census is 

not critical to the early warning monitor 

because the aluminum import license 

data will be available. 

With respect to the public AIM 

monitor, which will aggregate and 

report certain license data, Commerce 

will only release or update weekly data 

on the country of smelt and cast for each 

product group (at the 6-digit HTS level) 

if there are sufficient observations for 

the product groups. Commerce releases 

data on its public AIM monitor under 

the authority of the Census Act (13 

U.S.C. 301(a) and 302) and must adhere 

to Census guidance for the release of 

data which requires the protection of 

proprietary data. After collecting the 

data on the countries of smelt and 

country of most recent cast, Commerce 

will determine whether there are 

sufficient data observations to report at 

a 6-digit product group level without 

disclosing proprietary data. The public 

AIM monitor will divide license data 

into various product groupings, which 

can be seen at https://www.trade.gov/ 

aluminum. In instances where there are 

few (i.e., less than three) observations of 

certain country of origin/product group 

combinations, Commerce will not 

provide this disaggregated data (i.e., 

product group level) when adding the 

countries of smelt and country of cast 

data. Further, provision of aggregate 

data on the public AIM monitor may be 

revisited should concerns arise over the 

possible release of business proprietary 

data. 

Reported monthly import data will be 

updated each week with new data 

collected from licenses issued in the 

prior week. The data collected may be 

adjusted periodically for corrected, 

canceled or unused aluminum import 

licenses, if deemed appropriate, for 

accurate monitoring purposes. 

Information provided in the public AIM 

monitor will mirror the information 

available on the public SIMA monitor.18

The public AIM monitor will also 

present a range of historical data for 

comparison purposes. This will include 

comparisons to the previous month and 

to the same month in the previous year; 

three month rolling averages along with 

similar comparisons to the immediately 

preceding period, the same period from 

the preceding year; and monthly import 

data on each aluminum product 

category. 

At the sub-regulatory level, Commerce 

will consider adding additional product 

groups (for example, aluminum scrap) 

to the public AIM monitor beyond the 

HTS categories covered by the license 

requirement, which will be based on 

publicly available import data.19

Miscellaneous Provisions 

Section 361.105 is reserved. Section 

361.106 provides that no fees will be 

charged for obtaining a username, 

issuing an aluminum import license or 

accessing the public AIM monitor. 

Additionally, § 361.107 provides that 

the AIM system will generally be 

accessible 24 hours a day, 7 days a week 

but may be unavailable at times for 

server maintenance. If the system is 

unavailable for an extended period of 

time, parties will be able to obtain 

licenses from Commerce directly via 

email (aluminum.license@trade.gov) 

during regular business hours. Should 

the system be inaccessible for an 

extended period of time, Commerce 

would advise Customs to consider this 

as part of mitigation on any liquidated 

damage claims that may be issued. 

Lastly, § 361.108 states that Commerce 

may revoke a filer’s electronic licensing 

privileges if the filer consistently files 

inaccurate licensing information or 

otherwise abuses the system. In such 

instances, the filer would only be able 

to obtain a license directly from 

Commerce, which may take 10 working 

days to process. Delays in the filing 

caused by the removal of a filer’s 

electronic filing privilege will not be 

considered a mitigating factor by CBP. 

Response to Comments Received on the 

Proposed Rule 

Commerce received 17 comments on 

the proposed rule that Commerce 

considered in finalizing this rule. Below 

is a summary of the comments, grouped 

by issue category, followed by 

Commerce’s response. Further, because 

the AIM system is being adopted for the 

first time in this final rule, after the AIM 

system is in place, Commerce will seek 

additional comment from parties on 

potential improvements or changes to 

the system in a subsequent notice. 

Parties will have the opportunity to 

provide further comment on any issue 


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Federal Register / Vol. 85, No. 247 / Wednesday, December 23, 2020 / Rules and Regulations 83809 

discussed herein or any related topic at 

that time. 

1. Country of Smelt and Pour Field 

Several commenters supported the 

general concept of a ‘‘smelt and pour’’ 

requirement, while several other 

commenters opposed it. Most 

commenters recommended using the 

term ‘‘smelt and cast’’ instead of ‘‘smelt 

and pour’’ because they argued that 

‘‘pour’’ was not a term used widely in 

the aluminum industry. These 

commenters recommended a wide range 

of alternatives. 

a. Replacing ‘‘Pour’’ With ‘‘Casting’’ 

Several commenters recommended 

that Commerce collect information on 

the country of smelt and replace the 

term ‘‘pour’’ with the country of most 

recent cast. Another commenter 

recommended collecting information 

only on the country of most recent cast, 

but not the country where primary 

aluminum was smelted. 

b. Traceability of Country of Smelt 

Several commenters stated that filers 

would not always know where primary 

aluminum used in their products was 

originally smelted because primary 

aluminum is often smelted and shipped 

to one or more third countries where it 

may be re-melted, alloyed, and/or 

shaped before shipment to the U.S. 

These commenters were concerned that 

tracing the primary aluminum, from the 

original smelting, through all the stages 

of re-melting in different countries 

might not be possible. However, several 

other commenters asserted that it is 

possible to trace the country of smelt, 

but it might take some time to gather 

such information. Another commenter 

requested that Commerce collect 

information on country of origin, and 

opposed collecting information on 

smelting, pouring, or casting. This 

commenter stated that it would be 

burdensome to collect information 

beyond country of origin for alloys and 

secondary products but did not provide 

further details about the burden. This 

commenter also stated that it would be 

impossible to collect ‘‘smelt and pour’’ 

information for scrap. 

One commenter asserted that 

aluminum semi-finished goods (profiles, 

castings, and rolled products) were 

produced using a mixture of primary 

aluminum, secondary (recycled) 

aluminum, and pre- and post-consumer 

aluminum scrap. The commenter stated 

that it was unclear how a smelt and 

pour field should be completed for 

typical aluminum products where the 

aluminum was smelted in various 

countries. This commenter 

recommended removing the smelt and 

pour field altogether, allowing an 

‘‘unknown’’ option, or replacing smelt 

and pour with ‘‘last melted and 

poured.’’ Several other commenters 

explained that some aluminum imports 

contain only secondary (recycled) 

aluminum and, as a result, requested 

that importers have the option of 

reporting ‘‘no primary aluminum’’ in 

the smelt and pour (or smelt and cast) 

field. Another commenter also 

requested that the AIM system collect 

information on country of alloying 

which may be different from the country 

of most recent cast. 

c. Requiring Further Documentation and 

Additional Requirements 

Two commenters requested that 

Commerce collect documentation 

regarding the country of smelt and pour 

or the country of origin. One of these 

commenters requested that Commerce 

collect Country of Origin and Country of 

Analysis certificates, and another 

commenter requested the collection of 

mill test certificates for each stage of 

processing. Another commenter 

suggested that CBP examine the 

aluminum licenses, not just the license 

number, and inspect them against other 

import documents. Similarly, another 

commenter suggested that 

documentation proving Mexican 

country of origin should be required for 

imports from Mexico. These 

commenters expressed concerns that 

primary aluminum could be produced 

in countries other than Canada and 

Mexico, shipped to these countries as 

either ingots or other shapes, re-melted, 

and then entered duty-free if declared as 

Canadian or Mexican country of origin. 

Response: In the Proposed Rule, 

Commerce proposed a field to reflect the 

country where the primary aluminum 

used in the manufacture of the imported 

aluminum product was smelted and 

poured. Based on comments received on 

the Proposed Rule, Commerce will make 

several modifications to better reflect 

the characteristics of the aluminum 

industry and provide clarity to license 

applicants. These modifications are 

described in detail above and 

summarized here. 

Specifically, the reference to ‘‘country 

of smelt’’ has been further refined and 

the reference to ‘‘country of pour’’ is 

removed from the final rule. Pursuant to 

§ 361.103(c)(1)(xiii), (xiv), and (xv), 

Commerce will require the license 

applicant to provide information in 

three separate fields: (1) The country 

where the largest volume of primary 

aluminum used in the manufacture of 

the imported aluminum product was 

smelted (referred to as ‘‘country of smelt 

for the largest volume of primary 

aluminum’’ as shorthand), (2) the 

country where the second largest 

volume of primary aluminum used in 

the manufacture of the imported 

aluminum product was smelted 

(referred to as ‘‘country of smelt for the 

second largest volume of primary 

aluminum’’ as shorthand), and (3) the 

country where the aluminum used in 

the imported aluminum product was 

most recently cast (referred to as 

‘‘country of most recent cast’’ for 

shorthand). These fields are further 

described under § 361.103(c)(3), 

including definitions. These updates 

also are adopted in the aluminum 

license application form. We address 

individual comments below. 

As discussed above, after the AIM 

system is in place, Commerce will seek 

additional comment from parties on 

potential improvements or changes to 

the system in a subsequent notice. In 

particular, parties may comment on the 

requirement to report the country of 

smelt for the largest and second largest 

volume of primary aluminum and the 

country of most recent cast discussed 

herein. 

A. Replace ‘‘Pour’’ With the Term ‘‘Most 

Recent Casting’’ and Have Separate 

License Fields for ‘‘Smelting’’ and 

‘‘Most Recent Casting’’ 

We agree with commenters that the 

reference to ‘‘country of pour’’ should 

be removed from the final rule because 

this term is not widely used in the 

aluminum industry. Additionally, based 

on comments, we have adopted the 

three fields described above. Requiring 

the completion of these separate fields 

will allow Commerce to collect data that 

are most relevant to the aluminum 

industry while minimizing the burden 

to applicants. Moreover, collection of 

this data will allow for the effective and 

timely monitoring of import surges of 

specific aluminum products and will 

assist in preventing the transshipment 

of aluminum products. Separately 

requiring the identification of the 

country of smelt for the largest and 

second largest volume of primary 

aluminum and the country of most 

recent cast better reflects data available 

to the industry. Furthermore, the 

specificity of the requested information 

should minimize confusion caused by 

the initially proposed ‘‘smelt and pour’’ 

field. 

Commerce also agrees with certain 

commenters’ requests that clear 

definitions regarding these terms should 

be included in the aluminum license 

application. Specifically, in the country 

of smelt for the largest volume of 

primary aluminum field, the license 


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83810 Federal Register / Vol. 85, No. 247 / Wednesday, December 23, 2020 / Rules and Regulations 

20See https://www.aluminum.org/industries/ 

production/primary-production. 21 Id. 22See https://www.aluminum.org/industries/ 

production/secondary-production. 

23See http://centuryaluminum.com/plantsproducts/sebree/index.html, accessed July 17, 2020 

and https://www.aluminum.org/sites/default/files/ 

GAG_001_Terms_and_Definitions_3rd_Edition_

2011_01_August_21_2011_JW.pdf, accessed July 17, 

2020. 

24See https://www.aluminum.org/industries/ 

processing. 

25See SIMA Modification, 85 FR at 56166. 

applicant will be required to identify 

the country where the largest quantity of 

new aluminum metal is produced from 

alumina (or aluminum oxide) by the 

electrolytic Hall-He ́roult process.20 The 

country of smelt for the second largest 

volume of primary aluminum field 

adopts a similar definition. The 

establishment of these fields and the 

adopted definitions for these fields takes 

into account comments on the Proposed 

Rule as well as third-party sources, such 

as the discussion of primary aluminum 

production featured on the website of 

the Aluminum Association.21 Thus, 

these definitions are consistent with the 

well-understood and generally accepted 

description of the primary aluminum 

production process in the aluminum 

industry. Additionally, these precise 

field names and definitions are further 

refinements of the term ‘‘country of 

smelt,’’ that was included the Proposed 

Rule, to provide increased clarity and 

consistency for all potentially regulated 

entities. 

Moreover, by including a field for the 

country of smelt for the second largest 

volume of primary aluminum, 

Commerce will address concerns from 

foreign producers, importers, and 

downstream producers that primary 

aluminum is often melted and 

chemically mixed with secondary 

aluminum and/or primary aluminum 

from multiple countries. At the same 

time, Commerce will allow applicants to 

state ‘‘not applicable’’ in this field if the 

product does not contain a second 

largest volume of primary aluminum. 

Additionally, applicants may state ‘‘not 

applicable’’ in this field if the product 

contains only secondary aluminum and 

no primary aluminum. For clarity, 

Commerce defines secondary aluminum 

as aluminum metal that is produced 

from recycled aluminum scrap through 

a re-melting process.22 Consistent with 

other definitions adopted in this final 

rule, this definition takes into account 

comments on the Proposed Rule as well 

as third-party sources, and reflects a 

well-understood and generally accepted 

description of the secondary aluminum 

production process in the aluminum 

industry. 

Lastly, in the country of most recent 

cast field, the license applicant will be 

required to identify the country where 

the aluminum (with or without alloying 

elements) was last liquified by heat, and 

cast into a solid state.23 The final solid 

state can take the form of either a semifinished product (slab, billets or ingots) 

or a finished aluminum product.24 This 

is a refinement of the term ‘‘country of 

pour,’’ that was also in the Proposed 

Rule, and also provides increased clarity 

as requested by commenters. And 

similar to the above definitions, this 

definition takes into account third-party 

sources and reflects a well-understood 

and generally accepted description of 

aluminum processing in the aluminum 

industry. In light of this, we are 

adopting these fields and corresponding 

definitions in the final rule. 

B. Option To State ‘‘Unknown’’ in the 

Fields for the Country of Smelt for the 

Largest and Second Largest Volume of 

Primary Aluminum for a One-Year 

Period 

As stated above, recognizing that 

importers may have some initial 

difficulty in securing the information 

necessary to complete the fields for the 

country of smelt for the largest and 

second largest volume of primary 

aluminum, Commerce will allow filers 

to state ‘‘unknown’’ in these fields on a 

temporary basis. Specifically, 

‘‘unknown’’ may be stated for a period 

of one year from the publication of the 

final rule (i.e., up to December 23, 2021) 

to enable license applicants sufficient 

time to gather the requisite information. 

Effective one year from the publication 

of the final rule, December 24, 2021, 

filers will no longer be able to state 

‘‘unknown’’ and then will be required to 

provide the requested information for 

this field. 

This will address concerns from 

commenters who do not always know 

the country where primary aluminum 

was smelted, especially when it is remelted and alloyed with secondary 

aluminum. In contrast, for the modified 

SIMA system, Commerce determined 

that steel license applicants would be 

expected to know the country where the 

steel used in the manufacture of the 

product is melted and poured for 

purposes of completing this field in the 

license application. Specifically, 

Commerce determined that this 

information is identifiable in the mill 

test certification that would be readily 

available to the applicant, and, for this 

reason, declined to allow SIMA license 

applicants an option to state 

‘‘unknown’’ in this field.25 Given the 

concerns identified above (i.e., that 

aluminum license applicants may not 

know the country where primary 

aluminum was smelted), Commerce is 

allowing the use of the ‘‘unknown’’ 

option for aluminum license applicants 

as described herein. Nevertheless, 

Commerce recognizes that allowing an 

‘‘unknown’’ option presents the 

potential for abuse and possible 

loophole concerns related to 

circumvention/transshipment and may 

inhibit the accurate collection of data. 

Therefore, Commerce will implement 

the following measures. 

First, Commerce will allow the use of 

the ‘‘unknown’’ option for one year after 

the publication of the final rule, as 

described above. This will place 

importers on notice that they need to 

start collecting the necessary 

documentation that tracks this 

information within their supply chains. 

It will also allow the AIM system to be 

launched expeditiously while providing 

importers an adjustment period to start 

collecting this information. By 

providing this adjustment period and 

considering the burden to importers, the 

AIM system would then be aligned with 

SIMA requirements in one year when 

the ‘‘unknown’’ option is removed from 

the form. 

Second, applicants are required to 

certify that the information on the 

license application is correct to the best 

of the applicant’s knowledge. Therefore, 

when importers select ‘‘unknown’’ in 

the license application, they are 

certifying that this is the best 

information available to them at the 

time of license application. 

Third, Commerce will monitor use of 

the ‘‘unknown’’ option for abuse, in a 

similar manner to current monitoring of 

the use of low-value import licenses in 

the SIMA system. Commerce will 

identify license applicants who 

repeatedly report ‘‘unknown’’ in the 

fields for the countries where the largest 

and/or second largest volume(s) of 

primary aluminum is smelted and 

contact these applicants to confirm that 

they are providing the best available 

information. 

Fourth, to the extent possible without 

revealing business proprietary 

information, Commerce will also report 

data on the volume of imports 

associated with licenses that use the 

‘‘unknown’’ option on the public AIM 

monitor. This will increase transparency 

and allow the industry to closely 

monitor, including raising concerns, of 

potential abuse and circumvention/ 

transshipment. 


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Federal Register / Vol. 85, No. 247 / Wednesday, December 23, 2020 / Rules and Regulations 83811 

26See Proposed Rule, 85 FR at 23751. 

27See Presidential Proclamation 9980, 85 FR 

5281. 

28 Id. 

29See Proposed Rule. 

C. Further Documentation and 

Additional Requirements 

Although commenters requested that 

Commerce collect further 

documentation (i.e., mill test 

certificates, Country of Analysis/Origin 

certificates) and/or require CBP to 

examine licenses in order to prevent 

transshipment and circumvention/ 

evasion, Commerce will not require 

such documentation or requirement at 

this time. These suggestions would 

create additional burdens and the public 

has not had an opportunity to comment. 

Moreover, it would be administratively 

burdensome for Commerce to examine 

these documents in issuing licenses 

through the automated license 

application system, and for CBP to 

examine such documentation upon 

entry of covered aluminum products. 

Such a requirement would necessitate 

further inter-agency consultation and 

coordination and has not been 

considered for purposes of this final 

rule. 

Finally, Commerce will not collect 

information on the country of alloying 

because this would add another field to 

the license form and would likely 

provide redundant information that is 

already collected through the 

identification of country of most recent 

cast. 

That said, as discussed above, after 

the AIM system is in place, Commerce 

will seek additional comment from 

parties on potential improvements or 

changes to the system in a subsequent 

notice. Parties may further comment on 

the issues discussed above at that time. 

2. Expanding the License Requirement 

for Aluminum Scrap and/or Other 

Aluminum Products Not Included in the 

Proposed Rule 

The Proposed Rule solicited 

comments on a licensing requirement 

for aluminum products subject to 

Section 232 tariffs, pursuant to 

Presidential Proclamation 9704,26 but 

several commenters discussed whether 

the licensing requirement should be 

expanded to cover additional aluminum 

products. Specifically, several 

commenters requested confirmation that 

scrap products (not subject to Section 

232 tariffs) be exempted from the 

Proposed Rule’s smelt and pour 

requirement but did not comment on 

whether scrap products should be 

subject to the licensing requirement in 

the first instance. Several commenters 

stated that scrap should be subject to the 

licensing requirement, though not 

subject to the Proposed Rule’s smelt and 

pour requirement, including one 

commenter that requested all of HTSUS 

Chapter 76 be subject to the licensing 

requirement. One commenter 

recommended allowing scrap importers 

to list the country where the scrap was 

purchased as the country of origin. 

Additionally, a commenter 

recommended expanding the licensing 

requirement to cover aluminum wire 

and cable products (HTS 7614.90.20, 

7614.90.40, and 7614.90.50) because 

these products are now subject to 

Section 232 tariffs, pursuant to 

Presidential Proclamation 9980.27

Response: The AIM system will not 

require import licenses for aluminum 

scrap (HTS 7602), and certain 

downstream/derivative products whose 

inclusion is requested in comments and 

are now subject to Section 232 tariffs 

pursuant to Presidential Proclamation 

9980 (i.e., aluminum wire and cable 

products (HTS 7614.90.20, 7614.90.40, 

and 7614.90.50)).28 Commerce did not 

request comments on including these 

products in the Proposed Rule 29 and, as 

a result, the public has not been 

afforded an opportunity to provide 

comments on such a change to the scope 

of products subject to the AIM system. 

However, Commerce has considered the 

commenters’ assertion that collecting 

data on scrap and downstream products 

will assist in monitoring potential 

evasion/circumvention. Accordingly, as 

discussed above, after the AIM system is 

in place, Commerce will seek additional 

comment from parties on potential 

improvements or changes to the system 

in a subsequent notice. Parties may 

comment on the inclusion of these 

products in the AIM system’s import 

license requirement at that time. 

Furthermore, as noted above, at the subregulatory level, Commerce will 

consider adding additional product 

groups (such as aluminum scrap) to the 

public AIM monitor beyond the HTS 

categories covered by the license 

requirement, which will be based only 

on publicly available import data. 

3. Reconciling License Values Post-Entry 

Several commenters stated that 

aluminum prices are based on a London 

Metal Exchange (LME) reference price 

that is often unavailable at time of 

importation, so the price of the product 

imported would need to be corrected 

(reconciled) post-entry. These 

commenters were concerned that 

importers would need to correct values 

for all or nearly all aluminum imports 

after entry, increasing the public burden 

on completing the license application. 

Response: As per 19 CFR 361.103(e), 

applicants will need to correct their 

licenses if they determine that there was 

an error in their application. The 

information on the license should match 

the information presented in the 

Customs Form 7501 entry summary 

document as closely as possible; this 

includes the value and quantity of the 

shipment, the expected date of 

importation, and the Customs port of 

entry. Commerce has included 

instructions on the license application, 

specifying that importers are to provide 

their best estimate of the value of 

imports at the time of license 

completion. Although this estimate does 

not need to perfectly match the final 

reconciled value on CBP entry summary 

documents, the estimate should be 

reasonably accurate, based on invoices, 

shipping documents, or the current LME 

reference price for the commodity 

imported (at time of license 

completion). Further, the regulations 

state that licenses are to closely reflect 

the information contained in the entry 

summaries. Therefore, importers will 

have the ability to edit and correct the 

information provided on the licenses 

after entry and will be able to address 

large discrepancies in accordance with 

19 CFR 361.103(e). 

4. Reporting of Data in the Public AIM 

Monitor 

There were two comments about the 

reporting of data in the public AIM 

monitor. One commenter requested that 

data be collected and reported at the 10- 

digit HTS level in order to distinguish 

between two types of aluminum 

products, can sheet end and body stock, 

that are the same at the 8-digit HTS 

level. Another commenter requested 

that the public AIM monitor publicly 

disclose specific import data (including 

specific importers and sources of 

imports), rather than aggregate import 

data to increase transparency. 

Response: Commerce understands 

that it would be optimal from the data 

users’ perspective to have the full 10- 

digit information collected through the 

licenses available to the users of the 

public AIM monitor. However, this may 

contain proprietary data, making it 

impossible for Commerce to provide so 

much detail. Commerce will release 

data in as much detail as possible (i.e., 

at the most disaggregated level possible) 

without releasing companies’ 

proprietary information. Like the public 

SIMA monitor, Commerce will release 

data on its public AIM monitor under 

the authority of the Census Act (13 

U.S.C. 301(a) and 302) and must adhere 


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83812 Federal Register / Vol. 85, No. 247 / Wednesday, December 23, 2020 / Rules and Regulations 

30See Joint Statement by the United States and 

Canada on Section 232 Duties on Steel and 

Aluminum, dated May 17, 2019, available at 

https://ustr.gov/sites/default/files/Joint_Statement_

by_the_United_States_and_Canada.pdf; Joint 

Statement by the United States and Mexico on 

Section 232 Duties on Steel and Aluminum, dated 

May 17, 2019, available at https://ustr.gov/sites/ 

default/files/Joint_Statement_by_the_United_

States_and_Mexico.pdf. 

31See Joint Statement by the United States and 

Mexico on Section 232 Duties on Steel and 

Aluminum, dated May 17, 2019, available at 

https://ustr.gov/sites/default/files/Joint_Statement_

by_the_United_States_and_Mexico.pdf. 

to Census guidance for the release of 

data which requires the protection of 

proprietary data. After collecting license 

data, Commerce will determine whether 

there are sufficient data observations 

(i.e., more than three) to report at a 6- 

digit HTS level without disclosing 

business proprietary data. As with steel 

license data, the rationale for releasing 

only 6-digit HTS detail information is 

based on the notion that releasing data 

at the 10-digit HTS level from the 

license collection (updated weekly) 

could violate these rules and likely 

release identifiable proprietary 

information. Once Commerce begins the 

license collection, Commerce will reevaluate the level of product detail it 

can release appropriately without 

disclosing proprietary information. 

5. Timing of License Application/ 

Validity 

One commenter requested allowing 

quarterly licenses that were only 

estimates of the total import volume, 

created up to 120 days before 

importation to reduce the public burden 

and to provide an early warning about 

imports farther in advance than the 60 

days in the proposed rule. Another 

commenter requested that Commerce 

not require licenses too far ahead of 

importation date (no more than 30 

days). 

Response: In accordance with 

§ 361.103(d), and as described above, 

Commerce will require applicants to 

obtain a license prior to entry, up to 60 

days in advance, the same period as the 

existing SIMA system. Licenses will be 

automatic and immediate, so an 

importer could create a license only 

minutes before entry. However, 

applicants will be encouraged to create 

licenses further in advance to maximize 

Commerce’s ability to provide the 

public with an early warning about 

import trends. Licenses cannot be based 

on quarterly summaries, and volumes 

should closely match those on all other 

documents required for importation 

because allowing vague quarterly 

estimates would undermine the 

accuracy of the system. 

6. Collecting Information Related to 

Section 232 Tariffs 

There were several comments about 

Section 232 tariffs and tariff exclusions. 

One commenter requested requiring 

importers to indicate whether they 

received an exclusion on the license and 

requested that the public AIM monitor 

present exclusion data on its website. 

Another commenter requested that 

licensing only be required for imports 

from countries that are not exempt from 

the Section 232 program. 

Response: Commerce, at this time, 

will not require AIM license applicants 

to report information on Section 232 

exclusions in the license application. As 

an initial matter, the AIM system and 

the Section 232 exclusion process, 

although both housed within 

Commerce, are administered separately 

and under separate legal authorities. 

Therefore, inclusion of a new field for 

Section 232 exclusions will require 

further consideration and analysis. 

Further, because Commerce did not 

request comments on including this 

additional field in the Proposed Rule, 

the public has not been afforded an 

opportunity to provide comments on 

what would be a significant change to 

the license application. 

That said, Commerce has considered 

the commenters’ assertion that 

collecting data on Section 232 

exclusions could assist in monitoring 

for potential surges. Accordingly, as 

discussed above, after the AIM system is 

in place, Commerce will seek additional 

comment from parties on potential 

improvements or changes to the system 

in a subsequent notice, including the 

potential inclusion of a field for Section 

232 exclusions on the AIM license 

application, at that time. 

Additionally, Commerce is not 

accepting the commenter’s request that 

licenses only be required for imports 

from countries that are not exempt from 

Section 232 tariffs. Requiring licenses 

for aluminum imports from all countries 

is consistent with the objectives of the 

joint understandings and the AIM 

system to monitor all imports of 

aluminum for potential surges. Indeed, 

a main objective of the joint 

understandings is to monitor potential 

surge patterns involving countries 

exempted from the Section 232 tariffs.30

7. Training Materials 

One commenter requested additional 

training material on how to create 

licenses and reconcile import values. 

Response: Commerce will create 

training webinars, a ‘‘Frequently Asked 

Questions’’ page on the AIM system 

website, and other materials to ensure 

that the public understands the 

licensing requirement. This does not 

require regulatory modifications. 

8. Bonded Warehouses 

One commenter requested that 

bonded warehouses not be exempted 

from licensing requirements. The 

commenter raised concerns that, 

because licenses can be obtained 

quickly and automatically, exempting 

bonded warehouses from licensing 

requirements creates the potential for 

importers to stockpile aluminum 

without licenses and then to later 

import them into the United States for 

consumption based on more favorable 

pricing conditions in the U.S. market. 

This commenter asserted that storing 

goods in bonded warehouses would also 

undermine the early warning provided 

by requiring importers to obtain licenses 

prior to entry of aluminum products. 

Response: As provided in section 19 

CFR 361.101(e) and consistent with the 

SIMA system, Commerce will not 

require users to obtain aluminum 

import licenses for entry into bonded 

warehouses. However, entries of 

covered aluminum products withdrawn 

for consumption from bonded 

warehouses will require a license at the 

entry summary. Entry into bonded 

warehouses does not constitute an entry 

for consumption as provided in 

§ 361.101(b) and (e), and some of the 

aluminum could subsequently be reexported from bonded warehouses. 

Additionally, Commerce also finds that 

including these shipments in the 

aluminum license data would likely 

overestimate monthly imports of 

aluminum for consumption. 

Furthermore, this would require users to 

obtain two separate licenses for 

importation into bonded warehouses 

and importation into consumption. This 

would increase the public burden and 

further reduce the accuracy of AIM 

licenses because the system would 

double-count these licenses. 

9. Request for Further Consultation With 

Mexican Government 

Several commenters requested that 

the United States and Mexico 

implement an ‘‘agreed-upon process for 

monitoring aluminum trade between 

both countries’’ as part of USMCA 

negotiations. One commenter sought 

explicit clarification regarding whether 

the AIM system constitutes the ‘‘agreedupon process for monitoring aluminum 

trade between countries’’ in accordance 

with the joint understandings on 

aluminum.31 In particular, this 

commenter requested that the U.S. 


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32See generally Proposed Rule, 85 FR at 23748. 

33This estimate is based on CBP data covering 

May 2019. Specifically, in May 2019 there were 

approximately 64,000 entries subject to the SIMA 

licensing requirement based on the covered HTS 

categories for SIMA. In that same month, 

approximately 31,000 entries entered under the 

covered HTS categories for AIM. 

clarify the role of the AIM system with 

regard to the objectives of the joint 

understandings. This commenter also 

requested that Commerce clarify 

whether any additional measures to 

prevent unfair imports and 

transshipment are intended to 

complement the AIM system. This 

commenter further requested 

clarification regarding whether the AIM 

system could be modified in the future 

in the event of an ‘‘alternative bilateral’’ 

agreement. 

Another commenter asserted that the 

joint understandings specify that the 

importing country may request 

consultation with the exporting country 

in the event of an import surge. This 

commenter requested that the AIM 

system therefore include a method for 

periodic consultations with the 

Government of Mexico. 

Response: Although Commerce is 

cognizant of commenters’ concerns 

regarding increased imports and 

transshipment, Commerce will not 

consult further with the Government of 

Mexico at this time. The Office of the 

U.S. Trade Representative is already 

actively engaged in ongoing discussions 

with the Mexican Government regarding 

import surges. Commenters should 

therefore direct relevant comments or 

questions to USTR. The Government of 

Mexico is aware that the AIM system 

has been proposed by the U.S. 

Government for monitoring aluminum 

import surges.32 Furthermore, the AIM 

system is a monitoring system and not 

an enforcement mechanism, therefore, 

incorporating a consultation method 

into the system exceeds the authority 

under which the system is established 

and the scope of its intended activities. 

Classifications 

Executive Order 12866 

The Office of Management and Budget 

(OMB) has determined that this final 

rule is significant, but not economically 

significant, for purposes of Executive 

Order 12866. 

Executive Order 13771 

This final rule is not subject to 

Executive Order 13771 because it 

imposes de minimis costs. 

Executive Order 13132 

This final rule does not contain 

policies with federalism implications as 

that term is defined in section 1(a) of 

Executive Order 13132, dated August 4, 

1999 (64 FR 43255 (August 10, 1999)). 

Paperwork Reduction Act 

This rule contains a collection of 

information subject to the Paperwork 

Reduction Act, 44 U.S.C. Chapter 35 

(PRA). Similar requirements have been 

approved for steel by OMB (OMB No.: 

0625–0245; Expiration Date: 07/31/ 

2023). Based on Commerce’s experience 

with steel and sample data for 

aluminum entries, Commerce estimates 

that public reporting for the data 

collection of information in the 

aluminum import license will be less 

than 10.5 minutes per response, 

including the time for reviewing 

instructions, and completing and 

reviewing and correcting the collection 

of information. Commerce also 

estimates that the average registered 

applicant will complete about 173 

licenses per year each and an estimated 

total of 278,538 regular licenses and 50 

low value licenses will be issued each 

year. 

Paperwork Reduction Act Data 

OMB Number: 0625–0279. 

ITA Number: ITA–4142a (regular 

license); ITA–4142b (low-value license). 

Type of Review: Regular Submission. 

Affected Public: Business or other forprofit. 

Estimated Number of Registered 

Users: 1,750. 

Estimated Time per Response: Less 

than 10.5 minutes. 

Estimated Total Annual Burden 

Hours: 48,749 hours. 

Estimated Total Annual Costs: $0.00. 

Notwithstanding any other provision 

of law, no person is required to respond 

to nor shall a person be subject to a 

penalty for failure to comply with a 

collection of information subject to the 

requirements of the Paperwork 

Reduction Act unless that collection of 

information displays a current valid 

OMB Control Number. As discussed 

above, after the AIM system is in place, 

Commerce will seek additional 

comment from parties on potential 

improvements or changes to the system 

in a subsequent notice. Parties may 

further comment on this collection of 

information at that time. 

Regulatory Flexibility Act 

The Chief Counsel for Regulation of 

the Department of Commerce certified 

to the Chief Counsel for Advocacy of the 

Small Business Administration at the 

proposed rule stage that this rule if 

adopted, would not have a significant 

economic impact on a substantial 

number of small entities as that term is 

defined in the Regulatory Flexibility 

Act, 5 U.S.C. 601 et seq. (RFA). The 

factual basis for the certification is 

found in the proposed rule and is 

repeated below. No comments were 

received on the certification or the 

economic impacts of this action. As a 

result, no final regulatory flexibility 

analysis is required and none was 

prepared. 

This rule will not have a significant 

economic impact on a substantial 

number of small entities. This rule, if 

implemented, would: (1) Require 

importers of covered aluminum 

products to apply for and obtain an 

import license from Commerce’s online 

license application system; (2) for 

purposes of obtaining the license, 

require import license applicants to 

provide information that is largely 

already required for purposes of 

importation into the customs territory of 

the United States pursuant to CBP 

requirements; (3) for information that is 

not already required for entry purposes, 

require import license applicants to 

specify certain information including 

the country where primary aluminum 

used in the manufacture of the imported 

aluminum product was smelted and 

where the product was most recently 

cast; and (4) cover the following HTS 

codes: 7601, 7604, 7605, 7606, 7607, 

7608, 7609, 7616.99.51.60, and 

7616.99.51.70, and any subsequent 

revisions to these HTS classifications. 

The entities that would be impacted 

by this rule are importers and brokerage 

companies that import aluminum 

products. Based on statistics derived 

from current license applications for 

steel under the SIMA system, of the 

approximately 563,107 licenses (both 

regular and low-value licenses) issued 

each year, Commerce estimates that less 

than two percent (11,262) of steel 

license applications are filed by 

importers and brokerage companies 

considered to be small entities. 

Commerce estimates that the number of 

aluminum licenses issued under the 

AIM system will be about half of the 

number of steel licenses under the 

SIMA system, based on statistics for one 

month’s entry information.33 Therefore, 

our estimate for aluminum is that 

approximately 278,588 licenses (both 

regular and low-value licenses) will be 

issued each year, and of that figure, less 

than two percent (5,572) of the license 

applications will be filed by importers 

and brokerage companies considered to 

be small entities. 


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Based on the current usage of the 

SIMA system, Commerce does not 

anticipate that this rule will have a 

significant economic impact on a 

substantial number of small entities. 

The AIM system will mirror the SIMA 

system to the extent practicable. In most 

cases, brokerage companies will apply 

for the license on behalf of the 

aluminum importers. Many of the same 

brokerage firms that handle steel 

imports will likely handle aluminum 

imports, and, therefore, are familiar 

with the SIMA online license 

application system upon which the AIM 

system is based. Most brokerage 

companies that are currently involved 

in filing documentation for importing 

goods into the United States are 

accustomed to CBP’s automated entry 

filing systems. Today, CBP’s filings are 

handled electronically. Additionally, 

the regulated entities are already 

required to provide certain information 

required by the aluminum license 

application, including the name and 

address of the importer, type of 

aluminum product, and country of 

origin, along with additional 

information for purposes of filing the 

entry summary documentation required 

by CBP. For certain fields, in particular, 

the fields for the country where the 

largest and second largest volume of 

primary aluminum is smelted and the 

country where the aluminum product 

was most recently cast, the information 

requested is not already required by 

CBP. For the first two fields, Commerce 

recognizes that there may be some 

difficulty in reporting the requested 

information, and, therefore, is allowing 

parties to state ‘‘unknown’’ for one year 

from the publication of the final rule for 

these fields. In this one year time, 

Commerce anticipates that those parties 

will be able to obtain the requisite 

information. Additionally, Commerce 

believes that the country where the 

aluminum product was most recently 

cast is information that generally is 

readily available to the importer or its 

broker and is most likely to be identified 

in the import documentation 

accompanying the entry summary to be 

filed with CBP (invoices, lab reports, 

etc.). In some instances, the country of 

most recent cast may be identified as the 

country of origin. Therefore, the license 

application should not be a significant 

obstacle to any firm. 

Further, should an importer or 

brokerage company need to register for 

an account or apply for a license nonelectronically, an email/phone option is 

available at Commerce during regular 

business hours. There will be no cost to 

register for a company-specific 

aluminum license account and no cost 

to file for the license. Each license form 

is expected to take less than 10.5 

minutes to complete and collects much 

of the same information required on the 

CBP entry summary documentation. 

The import license is the only 

additional U.S. entry requirement that 

the importers or their representatives 

must fulfill in order to import each 

covered product shipment under 19 

CFR part 361. 

Commerce does not charge fees for 

licenses. Similar to the estimates used 

for the steel license program, Commerce 

estimates that the likely aggregate 

license costs incurred by small entities 

in terms of the time to apply for licenses 

as a result of this rule would be less 

than two percent, or an estimated 

$19,500, of the estimated total $974,980 

cost to all aluminum importers to 

process the on-line automatic licenses. 

These calculations are based on an 

hourly pay rate of $20.00 multiplied by 

the estimated 48,750 total annual 

burden hours. The average cost of a 

single license is less than $4.17 based 

on the estimate that one license requires 

less than 10.5 minutes of the filer’s time. 

Therefore, the Department certified 

that the final rule will not have a 

significant economic impact on a 

substantial number of small business 

entities. 

List of Subjects in 19 CFR Part 361 

Administrative practice and 

procedure, Business and industry, 

Imports, Reporting and recordkeeping 

requirements, Aluminum. 

Dated: December 16, 2020. 

Jeffrey I. Kessler, 

Assistant Secretary for Enforcement and 

Compliance. 

For the reasons stated in the 

preamble, the Department of Commerce 

adds 19 CFR part 361 as follows: 

PART 361—ALUMINUM IMPORT 

MONITORING AND ANALYSIS SYSTEM 

Sec. 

361.101 Aluminum import licensing. 

361.102 Online registration. 

361.103 Automatic issuance of import 

licenses. 

361.104 Aluminum import monitoring. 

361.105 [Reserved] 

361.106 Fees. 

361.107 Hours of operation. 

361.108 Loss of electronic licensing 

privileges. 

Authority: 13 U.S.C. 301(a) and 302. 

§ 361.101 Aluminum import licensing. 

(a) In general. (1) All imports of basic 

aluminum products are subject to the 

import licensing requirements imposed 

by the U.S. Department of Commerce 

(Commerce). These products are listed 

on the Aluminum Import Monitoring 

and Analysis (AIM) system website 

(https://www.trade.gov/aluminum). 

Registered users will be able to obtain 

aluminum import licenses on the AIM 

system website. This website contains 

two sections related to import 

licensing—the online registration 

system and the automatic aluminum 

import license issuance system. 

Aluminum import licenses must be 

provided to U.S. Customs and Border 

Protection (CBP or Customs) as 

discussed in this section. Information 

gathered from these licenses will be 

aggregated and posted on the import 

monitoring section of the AIM system 

website. 

(2) A single license may cover 

multiple products as long as certain 

information on the license (e.g., 

importer, exporter, manufacturer and 

country of origin) remains the same. 

However, separate licenses for 

aluminum entered under a single entry 

will be required if the information 

differs. As a result, a single Customs 

entry may require more than one 

aluminum import license. The 

applicable license(s) must cover the 

total quantity of aluminum entered and 

should cover the same information 

provided on the Customs entry 

summary. 

(b) Entries for consumption. All 

entries for consumption of covered 

aluminum products, other than the 

exceptions discussed in paragraphs (c) 

and (d) of this section, will require an 

import license prior to the filing of 

Customs entry summary documents, or 

its electronic equivalent. The license 

number(s) must be reported on the entry 

summary (Customs Form 7501), or its 

electronic equivalent, at the time of 

filing. There is no requirement to 

present physical copies of the license 

forms at the time of entry summary. 

However, copies must be maintained in 

accordance with Customs’ normal 

requirements. Entry summaries 

submitted without the required license 

number(s) will be considered 

incomplete and will be subject to 

liquidated damages for violation of the 

bond condition requiring timely 

completion of entry. 

(c) Foreign Trade Zone admissions. 

All shipments of covered aluminum 

products into a foreign trade zone (FTZ), 

known as FTZ admissions, will require 

an import license prior to the filing of 

FTZ admission documents, or its 

electronic equivalents. The license 

number(s) must be reported on the 

application for FTZ admission and/or 

status designation (Customs Form 214) 

at the time of filing. There is no 


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requirement to present physical copies 

of the license forms at the time of FTZ 

admission; however, copies must be 

maintained in accordance with 

Customs’ normal requirements. FTZ 

admission documents submitted 

without the required license number(s) 

will not be considered complete and 

will be subject to liquidated damages for 

violation of the bond condition 

requiring timely completion of 

admission. The aluminum license for 

FTZ admission does not expire, and a 

further aluminum license will not be 

required for shipments of entries for 

consumption from zones into the 

commerce of the United States. 

(d) Informal entries. No import license 

shall be required on informal entries of 

covered aluminum products, such as 

merchandise valued at less than $2,500. 

This exemption applies to informal 

entries only; imports of aluminum 

valued at less than $2,500 that are part 

of a formal entry will require a license. 

For additional information, refer to 19 

CFR 143.21 through 143.28. 

(e) Other non-consumption entries. 

Import licenses are not required on 

temporary importation bond (TIB) 

entries, transportation and exportation 

(T&E) entries or entries into a bonded 

warehouse. Covered aluminum products 

withdrawn for consumption from a 

bonded warehouse will require a license 

at the entry summary in accordance 

with paragraph (b) of this section. 

§ 361.102 Online registration. 

(a) In general. (1) Any importer, 

importing company, customs broker or 

importer’s agent with a U.S. street 

address may register and obtain the 

username necessary to log on to the 

automatic aluminum import license 

issuance system. Foreign companies 

may obtain a username if they have a 

U.S. address through which they may be 

reached; P.O. boxes will not be 

accepted. A username will be issued 

within two business days. Companies 

will be able to register online through 

the AIM system website. However, 

should a company prefer to apply for a 

username non-electronically, a phone/ 

email option will be available at 

Commerce during regular business 

hours. 

(2) This username will be required in 

order to log on to the aluminum import 

license issuance system. A single 

username will be issued to an importer, 

customs broker or importer’s agent. 

Operating units within the company 

(e.g., individual branches, divisions or 

employees) will all use the same basic 

company username but can supply 

suffixes to identify the branches. The 

aluminum import license issuance 

system will be designed to allow 

multiple users of a single identification 

number from different locations within 

the company to enter information 

simultaneously. 

(b) Information required to obtain a 

username. In order to obtain a 

username, the importer, importing 

company, customs broker or importer’s 

agent will be required to provide general 

information. This information will 

include: The filer company name, 

employer identification number (EIN) or 

Customs ID number (the Customs-issued 

importer number) (where no EIN is 

available), U.S. street address, phone 

number, contact information and email 

address for both the company 

headquarters and any branch offices that 

will be applying for aluminum licenses. 

It is the responsibility of the applicant 

to keep the information up to date. This 

information will not be released by 

Commerce, except as required by U.S. 

law. 

§ 361.103 Automatic issuance of import 

licenses. 

(a) In general. Aluminum import 

licenses will be issued to registered 

importers, customs brokers or their 

agents through an automatic aluminum 

import licensing system. The licenses 

will be issued automatically after the 

completion of the form. 

(b) Customs entry number. Filers are 

not required to report a Customs entry 

number to obtain an import license but 

are encouraged to do so if the Customs 

entry number is known at the time of 

filing for the license. 

(c) Information required to obtain an 

import license. (1) The following 

information is required to be reported in 

order to obtain an import license (if 

using the automatic licensing system, 

some of this information will be 

provided automatically from 

information submitted as part of the 

registration process): 

(i) Filer company name and address; 

(ii) Filer contact name, phone 

number, email address; 

(iii) Entry type (i.e., Consumption, 

FTZ); 

(iv) Importer name; 

(v) Exporter name; 

(vi) Manufacturer name (filer may 

state ‘‘unknown’’); 

(vii) Country of origin; 

(viii) Country of exportation; 

(ix) Expected date of export; 

(x) Expected date of import; 

(xi) Expected port of entry; 

(xii) Current Harmonized Tariff 

Schedule (HTS) number (from Chapter 

76); 

(xiii) Country where the largest 

volume of primary aluminum used in 

the manufacture of the product was 

smelted (see paragraph (c)(3)(i) of this 

section); 

(xiv) Country where the second 

largest volume of primary aluminum 

used in the manufacture of the product 

was smelted (see paragraph (c)(3)(ii) of 

this section); 

(xv) Country where the product was 

most recently cast (see paragraph 

(c)(3)(iii) of this section); 

(xvi) Quantity (in kilograms); and 

(xvii) Customs value (US$). 

(2) Certain fields will be automatically 

filled out by the automatic license 

system based on information submitted 

by the filer (e.g., product category, unit 

value). Filers should review these fields 

to help confirm the accuracy of the 

submitted data. 

(3)(i) For purposes of paragraph 

(c)(1)(xiii) of this section: 

(A) The field in the license 

application requiring identification of 

the country where the largest volume of 

primary aluminum used in the 

manufacture of the product was smelted 

applies to the country where the largest 

volume of new aluminum metal is 

produced from alumina (or aluminum 

oxide) by the electrolytic Hall–He ́roult 

process. 

(B) Filers may state ‘‘not applicable’’ 

for this field if the product contains 

only secondary aluminum and no 

primary aluminum. Secondary 

aluminum is defined as aluminum 

metal that is produced from recycled 

aluminum scrap through a re-melting 

process. 

(C) For license applications up to 

December 23, 2021, filers may state 

‘‘unknown’’ for this field. Effective 

December 24, 2021, filers may not state 

‘‘unknown’’ for this field. 

(ii) For purposes of paragraph 

(c)(1)(xiv) of this section: 

(A) The field in the license 

application requiring identification of 

the country where the second largest 

volume of primary aluminum used in 

the manufacture of the product was 

smelted applies to the country where 

the second largest volume of new 

aluminum metal is produced from 

alumina (or aluminum oxide) by the 

electrolytic Hall–He ́roult process. 

(B) Filers may state ‘‘not applicable’’ 

for this field if the product does not 

contain a second largest volume of 

primary aluminum or if the product 

contains only secondary aluminum and 

no primary aluminum. Secondary 

aluminum is defined as aluminum 

metal that is produced from recycled 

aluminum scrap through a re-melting 

process. 

(C) For license applications up to 

December 23, 2021, filers may state 


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83816 Federal Register / Vol. 85, No. 247 / Wednesday, December 23, 2020 / Rules and Regulations 

‘‘unknown’’ for this field. Effective 

December 24, 2021, filers may not state 

‘‘unknown’’ for this field. 

(iii) For purposes of paragraph 

(c)(1)(xv) of this section: 

(A) The field in the license 

application requiring identification of 

the country where the product was most 

recently cast applies to the country 

where the aluminum (with or without 

alloying elements) was last liquified by 

heat and cast into a solid state. The final 

solid state can take the form of either a 

semi-finished product (slab, billets or 

ingots) or a finished aluminum product. 

(B) Filers may not state ‘‘not 

applicable’’ for this field. 

(C) Filers may not state ‘‘unknown’’ 

for this field. 

(4) Upon completion of the form, the 

importer, customs broker or the 

importer’s agent will certify as to the 

accuracy and completeness of the 

information and submit the form 

electronically. After refreshing the page, 

the system will automatically issue an 

aluminum import license number. The 

refreshed form containing the submitted 

information and the newly issued 

license number will appear on the 

screen (the ‘‘license form’’). Filers can 

print the license form themselves only 

at that time. For security purposes, users 

will not be able to retrieve licenses 

themselves from the license system at a 

later date for reprinting. If needed, 

copies of completed license forms can 

be requested from Commerce during 

normal business hours. 

(d) Duration of the aluminum import 

license. The aluminum import license 

can be applied for up to 60 days prior 

to the expected date of importation and 

until the date of filing of the entry 

summary documents, or in the case of 

FTZ admissions, the filing of Customs 

Form 214, or their electronic 

equivalents. With the exception of the 

licenses for FTZ admission (see 

§ 361.101(c)), the aluminum import 

license is valid for 75 days; however, 

import licenses that were valid on the 

date of importation but expired prior to 

the filing of entry summary data will be 

accepted. 

(e) Correcting submitted license 

information. Users will need to correct 

licenses themselves if they determine 

that there was an error submitted. To 

access a previously issued license, a 

user must log on with his username and 

identify the license number and the 

volume (quantity in kilograms) for the 

first product shown on the license. The 

information on the license should match 

the information presented in the entry 

summary data as closely as possible. 

This includes the value and quantity of 

the shipment, the expected date of 

importation, and the Customs port of 

entry. 

(f) Low-value licenses. There is one 

exception to the requirement for 

obtaining a unique license for each 

Customs entry. If the total value of the 

covered aluminum portion of an entry is 

less than $5,000, applicants may apply 

to Commerce for a low-value license 

that can be used in lieu of a single-entry 

license for low-value entries. 

§ 361.104 Aluminum import monitoring. 

(a) Commerce will maintain an import 

monitoring system on the public AIM 

system website that will report certain 

aggregate information on imports of 

aluminum products obtained from the 

aluminum licenses and, where 

available, from publicly available U.S. 

import statistics. Aggregate data will be 

reported, as appropriate, on a monthly 

basis by country of origin, country of 

smelt, country of last cast, relevant 

aluminum product grouping, etc., and 

will include import quantity (metric 

tons), import Customs value (U.S. $), 

and average unit value ($/metric ton). 

The website will also contain certain 

aggregate data at the 6-digit Harmonized 

Tariff Schedule level and will also 

present a range of historical data for 

comparison purposes. Provision of 

aggregate data on the website may be 

revisited should concerns arise over the 

possible release of proprietary data. 

(b) Reported monthly import data will 

be refreshed each week, as appropriate, 

with new data on licenses issued during 

the previous week. This data will also 

be adjusted periodically for cancelled or 

unused aluminum import licenses, as 

appropriate. Additionally, outdated 

license data will be replaced, where 

available, with publicly available U.S. 

import statistics. 

§ 361.105 [Reserved] 

§ 361.106 Fees. 

No fees will be charged for obtaining 

a username, issuing an aluminum 

import license or accessing the 

aluminum import monitoring system. 

§ 361.107 Hours of operation. 

The automatic licensing system will 

generally be accessible 24 hours a day, 

7 days a week but may be unavailable 

at selected times for server maintenance. 

If the system is unavailable for an 

extended period of time, parties will be 

able to obtain licenses from Commerce 

directly via email (aluminum.license@

trade.gov) during regular business 

hours. Should the system be 

inaccessible for an extended period of 

time, Commerce would advise CBP to 

consider this as part of mitigation on 

any liquidated damage claims that may 

be issued. 

§ 361.108 Loss of electronic licensing 

privileges. 

Should Commerce determine that a 

filer consistently files inaccurate 

licensing information or otherwise 

abuses the licensing system, Commerce 

may revoke its electronic licensing 

privileges without prior notice. The filer 

will then only be able to obtain a license 

directly from Commerce. Because of the 

additional time needed to review such 

forms, Commerce may require up to 10 

working days to process such forms. 

Delays in filing caused by the removal 

of a filer’s electronic filing privilege will 

not be considered a mitigating factor by 

CBP. 

[FR Doc. 2020–28166 Filed 12–22–20; 8:45 am] 

BILLING CODE 3510–DS–P 

DEPARTMENT OF LABOR 

Office of the Secretary 

29 CFR Part 20 

RIN 1290–AA44 

Second and Subsequent Notifications 

AGENCY: Office of the Secretary, Labor. 

ACTION: Final rule. 

SUMMARY: This final rule makes two 

changes. First, the final rule more 

clearly permits Department of Labor 

agency heads (or designees) to send 

second and subsequent demand letters 

at intervals of time separated by less 

than thirty days. Second, the final rule 

encourages debt collection efforts to 

proceed promptly so that, if needed, 

uncollected debt may be referred to the 

Department of Justice in a timely 

manner. 

DATES: This final rule is effective on 

December 23, 2020. 

FOR FURTHER INFORMATION CONTACT: Erin 

FitzGerald, Senior Policy Advisor, U.S. 

Department of Labor, Room S–2312, 200 

Constitution Avenue NW, Washington, 

DC 20210; telephone: (202) 693–5076 

(this is not a toll-free number). 

SUPPLEMENTARY INFORMATION: 

I. Overview of Amendments 

Agencies within the Department of 

Labor (Department) often must collect 

debt owed them, including debt relating 

to legal violations such as citation 

penalties. To collect such debt, agencies 

sometimes must send multiple demand 

letters. Prior to this final rule, 29 CFR 

20.55(a) provided that ‘‘second and 

subsequent demands shall generally be 


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