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Federal Register / Vol. 86, No. 173 / Friday, September 10, 2021 / Proposed Rules TABLE 18DISCOUNTED TOTAL COSTS
2021 U.S. dollars 3%

Costs

6. Costs Not Estimated in This Analysis The parties affected by the proposed rule would also face several, mostly minor costs that CBP is unable to quantify. To provide individual brokers who choose to file their triennial report electronically through the eCBP portal the ability to self-attest to their continuing education completion, CBP
would need to include a field within the triennial report, which is submitted via the eCBP portal. The programming to include this field does not add significantly to the application development budget as CBP constantly makes small changes to many aspects of CBPs authorized electronic data interchanges.
Additionally, some potential accreditors may face costs related to protesting CBPs initial decisions regarding their proposals to become accreditors.77 Accreditor-applicants would have the right to protest in accordance with procedures set out in the FAR. CBP expects these costs to be minor and protests to be rare. Brokers clients may see slight price increases for broker services. As broker costs increase, they may pass some of these costs onto their clients in the form of increased prices. However, CBP believes that the per transaction increase in
7%

PV

AV

PV

AV

$32,570,459

$6,012,425

$28,584,851

$5,996,982

penalties assessed by CBP. CBP
examined data on broker penalties, regulatory audits, and validation activities between a group of companies who employ one or more individual brokers known to voluntarily hold an industry certification that requires meeting the proposed continuing education requirement and the broader population of brokers which includes those who voluntarily complete continuing education and those who do not. This group of brokers with continuing education represents about 300 companies, which make up 54
percent of entries filed between 2017
and 2020 and 51 percent of entries filed between 2015 and 2020. CBP found that at the 99 percent confidence level, there is a statistically significant difference between these groups. Those who voluntarily hold this certification and complete continuing education have significantly lower rates of penalties, audits, and validation activities. See Table 19.78 Brokers who are not known to have continuing education are assessed 11 times as many penalties per entry filing, are audited 8 times as often, and have 5 times as many validation activities performed by CBP to investigate discrepancies when compared to companies that are known to employ brokers who voluntarily take continuing education.

prices would be so small as to be insignificant.
7. Benefits of the Rule This proposed rule, if finalized, would have many benefits to brokers, CBP, and the general public. We are able to estimate some of the benefits of the proposed rule, but many others are qualitative in nature. Brokers would benefit from improved reputation and a professionalization of the customs broker community while their clients would benefit from better performance and improved compliance. The continuing broker education requirement would provide importers and drawback claimants with greater assurance that their agents are knowledgeable of customs laws and regulations, familiar with operational processes, and can properly exercise a brokers fiduciary duties. The requirements would also help maintain a measure of consistency across all customs brokers. Providers would benefit from increased prestige due to CBP-approved accreditation. Other benefits of the proposed rule are quantitative.
CBP would benefit from a reduction in regulatory audits of broker compliance. Both CBP and brokers would benefit from fewer errors committed by brokers and fewer
TABLE 19ENFORCEMENT ACTION RATE FOR DIFFERENT GROUPS

Enforcement action
By all other companies %

Total
Penalty
Regulatory Audit
Validation Activity

267
87
311

0.00039
0.000077
0.00026

By 300
companies with continuing education %
0.000035
0.000011
0.000052

Ratio
11 to 1
8 to 1
5 to 1

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Rates are defined as the number of enforcement actions divided by the number of entries filed.

77 See
section IV.E.1. of this NPRM.
of data of companies with at least one individual broker with continuing education: Data 78 Source
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received from NCBFAA on companies participating in its broker certification program on April 28, 2021. Data on enforcement actions and the number
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of entries per company was obtained from ACE on April 11, 2021.

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