[Federal Register: July 17, 2003 (Volume 68, Number 137)]
[Rules and Regulations]
[Page 42533-42543]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr17jy03-19]
[[Page 42533]]
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Part III
Department of Commerce
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Bureau of the Census
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15 CFR Part 30
Automated Export System Mandatory Filing for Items on the Commerce
Control List (CCL) and the United States Munitions List (USML) that
Currently Require a Shipper's Export Declaration (SED); Final Rule
[[Page 42534]]
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DEPARTMENT OF COMMERCE
Bureau of the Census
15 CFR Part 30
[Docket Number 010622161-3092-03]
RIN 0607-AA34
Automated Export System Mandatory Filing for Items on the
Commerce Control List (CCL) and the United States Munitions List (USML)
That Currently Require a Shipper's Export Declaration (SED)
AGENCY: Bureau of the Census, Commerce.
ACTION: Final rule.
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SUMMARY: The U.S. Census Bureau (Census Bureau) is amending the Foreign
Trade Statistics Regulations (FTSR) to incorporate requirements for the
mandatory Automated Export System (AES)/AESDirect filing for items
identified on the Department of Commerce's Commerce Control List (CCL)
and the Department of State's United States Munitions List (USML). The
AES is the electronic method to file the paper Shipper's Export
Declaration (SED) and the ocean manifest information directly with the
Bureau of Customs and Border Protection (CBP). AESDirect is the Census
Bureau's free Internet-based system for filing SED information with the
CBP's AES. Further references to AES covers both AES and AESDirect. You
are only required to file information via AES for those CCL and USML
items that require an SED. This rule will, among other things, provide
provisions for AES mandatory filing in the FTSR.
DATES: Effective Date: This rule is effective August 18, 2003.
Implementation Date: The Census Bureau will implement provisions of
this rule on October 18, 2003. This will allow all affected entities
sufficient time to come into compliance with this rule.
FOR FURTHER INFORMATION CONTACT: C. Harvey Monk, Jr., Chief, Foreign
Trade Division, U.S. Census Bureau, Room 2104, Federal Building 3,
Washington, DC 20233-6700, (301) 763-2255, by fax (301) 457-2645, or by
e-mail: c.harvey.monk.jr@census.gov.
SUPPLEMENTARY INFORMATION:
Background
The Census Bureau is responsible for collecting, compiling, and
publishing trade statistics for the United States under the provisions
of Title 13, United States Code (U.S.C.), chapter 9, section 301. The
paper SED and the AES are the primary media used for collecting such
trade data, and the information contained therein is used by the Census
Bureau for statistical purposes only. This information is exempt from
public disclosure under the provisions of Title 13, U.S.C., chapter 9,
section 301(g). The SED and AES records also are used for export
control purposes under Title 50, U.S.C., and Title 22, U.S.C., to
detect and prevent the export of certain critical technology and
commodities to unauthorized destinations or end users and to ensure
compliance with export control laws and regulations under the authority
of the Department of State.
Under the current rules and regulations, export information is
compiled from both paper and electronic transactions filed by the
export community with CBP and the Census Bureau. The AES is an
electronic method by which the U.S. principal party in interest (USPPI)
or the authorized agent can transmit the required export information.
For purposes of completing the SED or AES record, the USPPI is the
person in the United States that receives the primary benefit, monetary
or otherwise, from the export transaction. The authorized agent is the
person in the United States who is authorized by power of attorney or
written authorization by the USPPI or the foreign principal party in
interest to prepare and file the SED or AES record. A paper SED or the
electronic equivalent AES record is required, with certain exceptions,
for exports of merchandise valued at more than $2,500 from the United
States, Puerto Rico, and the U.S. Virgin Islands to foreign countries
or exports between the U.S. Virgin Islands and Puerto Rico and the
United States. The SED or AES record also is required for all exports
under a Bureau of Industry and Security (BIS) or Department of State
(State Department) export license or State Department license
exemption, regardless of value, unless exempted from the requirement
for an SED or AES record by the State Department (see 15 CFR, part 30,
Sec. 30.55(h)(2) and 22 CFR parts 120-130).
For export data filed via a paper SED, the USPPI or freight
forwarder must present the SED to the exporting carrier when the cargo
is tendered to the carrier. The vessel, air, or rail carrier must
present the manifest and supporting documentation to the CBP Port
Director at the port of export within four days after departure if a
bond is posted with CBP. However, this rule does not apply to SEDs or
AES shipments subject to BIS or State Department licenses or State
Department license exemptions. If the information is filed in the AES,
an exemption legend is included on the vessel, air, or rail manifest,
or other commercial loading documents indicating that no SED is
attached, with a transaction identification number or unique identifier
to identify the electronic AES record. If no manifest is required or
the manifest is electronically filed, the paper SEDs or the
electronically filed AES exemption legends are presented directly to
CBP.
Electronic filing strengthens the U.S. Government's ability to
control the export of critical goods and technologies and weapons of
mass destruction to prohibited and unauthorized end-users and affords
the government the ability to significantly improve the quality,
timeliness, and coverage of export statistics. Currently, fifty (50)
percent of the paper SEDs submitted contain one or more errors in
export reporting, accounting for a significant percentage of unreported
exports. Reporting on the AES has demonstrated that, compared to paper
filing, the error rate is reduced substantially and coverage is
improved. Currently, the error rate for export transactions filed
through the AES is approximately six (6) percent. At this time, the
electronic AES filing of the required export information under Title
13, U.S.C., Section 301, is strictly voluntary for the export of most
items.
On November 29, 1999, the President signed H.R. 3194, the
Consolidated Appropriations Act of 1999, into law (Pub. L. 106-113).
Section 1252(a) of this law, amends Title 13, U.S.C., chapter 9,
section 301, to add subsection ``(h)'' authorizing the Secretary of
Commerce to require by regulation, mandatory reporting requirements for
filing export information through the AES for items identified on the
CCL and USML that require the SED. The effective date of this amendment
was 270 days after the Secretary of Commerce, the Secretary of the
Treasury, and the Director of the National Institute of Standards and
Technology jointly provided a certification to the Committee on Foreign
Relations of the Senate and the Committee on International Relations of
the U.S. House of Representatives that a secure AES mainframe computer
system of CBP and the Internet-based AESDirect system of the Census
Bureau was capable of handling the expected volume of information
required to be filed, plus the anticipated volume from voluntary use of
the AES, and AES had been successfully implemented and tested and was
fully functional with respect to reporting all items on the CCL and
USML, including quantities and destinations. The required certification
report was submitted to Congress in June 2001. The certification report
[[Page 42535]]
described the security measures in place to develop, implement, and
maintain each system; summarized the information system assessment
reports prepared by the General Services Administration, Office of
Information Security, and CBP; and provided the Census Bureau's
response to those security assessment reports listing the specific
actions taken by both agencies to ensure the security and functionality
of the system. In addition, the AES received a security accreditation
from CBP, and the AESDirect system received a security accreditation
from the Census Bureau. On July 26, 2001, the Census Bureau published a
program notice in the Federal Register (66 FR 39006) announcing that
the AES certification report was submitted to Congress, and that the
Census Bureau would be issuing rules, and allowing the public to
comment, on this subject.
As authorized by section 1252(b) of Pub. L. 106-113, the Census
Bureau is amending the FTSR to specify the mandatory provisions for
electronically filing SEDs as well as the time and place requirements
for filing. In addition, the Census Bureau is amending the FTSR to
specify: (1) The requirements for the filing of SEDs through the
electronic AES and the provisions and responsibilities of parties
exporting items identified on the CCL and USML via the AES; (2) the
provision by the Department of Commerce for the establishment of on-
line assistance services to be available for those individuals who must
use the AES; (3) the provision by the Department of Commerce for
ensuring that an individual required to use the AES is able to print
out from the AES a validated record of the individual's submission,
including the date of submission and a transaction number or unique
identifier, where appropriate, for the export transaction; and (4) a
requirement that the Department of Commerce print out and maintain on
file a paper copy or other acceptable back-up record of the
individual's submission at a location selected by the Secretary of
Commerce.
The Census Bureau is amending the FTSR to specify how electronic
export information is identified on the manifest by mode of
transportation and defining the carrier's responsibilities. In addition
to amending regulations to provide for the mandatory filing via the
AES, this rule amends Sec. Sec. 30.63 (14)-(21) to collect additional
data through the AES to meet the State Department's requirements and
will assist the Department of State to implement the Congressional
requirement in section 38(i) of the Arms Export Control Act, Title 22
U.S.C., section 2778(i) for U.S. persons to provide to the Department
of State a report containing all shipment information of items
controlled under the International Traffic in Arms Regulations (ITAR),
22 CFR parts 120-130. Finally, this rule adds to the paper SED the
requirement to enter the freight forwarder's Employer Identification
Number (EIN) when required. This requirement applies to filers who are
not required to file through AES and who choose to file a paper SED,
rather than filing voluntarily through AES.
One additional revision the Census Bureau is making to the FTSR is
the removal of AES Filing Option 3. Option 3 allowed the filer to
provide partial predeparture information and complete information five
(5) working days from the date of exportation. The Census Bureau
identified four (4) specific reasons for eliminating Option 3. Option 3
has shown to be underutilized by the AES filers. Of the 734,916 total
average AES shipment transactions collected per month, Option 3 filings
averaged only 28,739 or 3.9 percent. Additionally, of the 5,000 plus
AES filers, only 53 filers used Option 3 and of those, only seven (7)
used Option 3 exclusively. The data collected were often incomplete and
inaccurate because of missing postdeparture filings. Lastly, Option 3
has shown to be a burden by requiring filers to transmit twice for one
shipment.
The Census Bureau published a proposed rulemaking and request for
comments in the Federal Register on October 9, 2002 (67 FR 62911). As
previously noted, the Census Bureau also published a program notice on
the subject (66 FR 39006) on July 26, 2001. A summary of comments
received from the export trade community and the Census Bureau's
responses to the comments are presented in this rule. The effective
date of this rule is August 18, 2003. The Census Bureau will implement
provisions of this rule on October 18, 2003. This will allow all
affected entities sufficient time to come into compliance with this
rule.
Response to Comments
The Census Bureau received 14 letters commenting on the Notice of
Proposed Rulemaking (NPR) published in the Federal Register on October
9, 2002 (67 FR 62911). Nine of the letters contained comments on two or
more issues. The Census Bureau sent letters to all commentors
addressing their concerns. After consideration of the comments
received, the Census Bureau revised certain provisions in the final
rule to address the concerns of the commentors and to clarify the
requirements of the rule. The major concerns were as follows:
1. Clarify the future status of postdeparture filing utilizing AES
Option 4 or another form of postdeparture reporting. There is concern
among commentors that the Census Bureau will discontinue allowing
postdeparture filing for data on export transactions reported through
the AES. This is not the case. The Census Bureau does not intend to
eliminate Option 4 postdeparture filing. We intend to eliminate only
Option 3 filing, a hybrid pre- and postdeparture filing procedure. For
reasons given in the NPR, AES Option 3 is underutilized by AES filers,
and its use has resulted in incomplete and inaccurate data filing. Only
seven (7) companies, representing less than four (4) percent of monthly
export trade data transactions, used Option 3 exclusively to file data
on export shipments. By requiring filers to transmit partial
predeparture information initially and complete information after
exportation, Option 3 has been a burden to AES filers.
Other commentors are in favor of eliminating Option 3 filing only
if the Census Bureau makes a commitment to maintaining Option 4 or some
form of postdeparture filing. Several commentors requested that the
Census Bureau, in its final decision, emphasize the importance of
retaining Option 4 filing in light of various governmental initiatives
that are intended to capture information on export shipments as early
as possible.
The Census Bureau supports postdeparture filing through AES because
it recognizes that some trade community business practices may preclude
predeparture filings. AES Option 4 filing considers the trade
community's business practices and also provides for an approval
process that ensures that only the most compliant companies are
approved. While it is possible that Option 4 filing may undergo
modifications due to current or future Census Bureau or other
government agency initiatives, the Census Bureau will continue to work
closely with its counterparts in other agencies to make available to
the exporting community some form of postdeparture filing. In the case
of ITAR controlled exports, the Department of State has determined that
because of law enforcement as well as national security concerns, it
will no longer authorize the use of AES Option 4.
2. Amend the proposed rule to address time and place for presenting
the exemption statements to carriers. Commentors are concerned that
USPPIs and authorized freight forwarders may
[[Page 42536]]
not always be able to present exemption information to exporting
carriers at the time cargo is first tendered to the exporting carrier,
especially when the carrier assumes responsibility for cargo at an
inland port and provides intermodal transportation to the port of
exportation. In some situations, the USPPI or forwarding agent may not
have produced export documentation on which exemption information is
required to be shown, at the time goods are tendered to the first
carrier.
The Census Bureau agrees that the USPPI or its authorized agent
does not always have exemption information available to provide to the
carrier when cargo is initially tendered to a carrier for export. This
is especially true in cases where the USPPI or agent arranges
transportation that involves more than one carrier. The intent of Sec.
30.12(d) of the FTSR is to require AES filers to deliver exemption
information to the exporting carrier. To clarify the intent of this
section, the Census Bureau is amending Sec. 30.12(d) to emphasize that
the USPPI or forwarding agent is required to deliver the AES exemption
legend to the exporting carrier, that is, the carrier that will
transport the goods to the foreign country.
3. Clarify filing responsibilities of the USPPI and its authorized
freight forwarder. Commentors are concerned about the documentation
responsibilities of the USPPI and the authorized forwarding agent in
reporting information on export transactions. Responsibilities of the
USPPI and authorized agent, including those involving routed export
transactions, are specifically described in sections 30.4(b) and (c) of
the FTSR. The Census Bureau does not intend to imply that any provision
of section 30.4 is being revised by amending any other section of Title
15, Code of Federal Regulations, part 30 (the FTSR).
Two commentors proposed the institution of a joint filing system to
be used by the USPPI and the authorized agent as a means to reduce
liability on the parties and to alleviate the dependency of each party
on the other to file complete data on export transactions. The Census
Bureau considered establishing a method of filing export information
that would allow the USPPI and the authorized forwarding agent to
submit information jointly to CBP via the AES. However, the Census
Bureau did not go forward with this filing option because of the cost
of implementation and the potential risks associated with matching
information from two different parties.
4. Explain the need for reporting additional address information
for the USPPI. Several commentors expressed concern that by amending
Sec. 30.7(d)(3) of the FTSR, the Census Bureau is requiring additional
address information from the USPPI. Some commentors indicated that the
new address requirement would be difficult to comply with because of
the lack of information on the origin of shipments for multiunit
establishments. Many commentors also questioned the reason for the
amendment. In amending Sec. 30.7(d)(3) of the FTSR, the Census Bureau
is not requiring an additional address for the USPPI, but is merely
defining the address required for the USPPI as the location where the
goods began their journey to the port of export. For shipments handled
by freight forwarders, it is the responsibility of the USPPI to provide
forwarding agents addresses that reflect the origin of goods for export
reporting purposes.
The address should correspond to the two-digit state code reported
for the state of origin. However, the Census Bureau requires the entire
address, including ZIP Code, to develop and compile substate data or
metropolitan area export data to replace the discontinued exporter
location series. Substate data are used by local and State governments,
among other parties, to gauge the impact of trade legislation on the
economy of local jurisdictions as well as to monitor local area trade
development programs. Since about 90 percent of AES transactions
currently have transaction-level addresses reported, the Census Bureau
does not expect to add significantly to the reporting burden of AES
filers with this requirement.
5. Amend the proposed rule requiring reporting of the
Transportation Reference Number (TRN) to reflect current trade
practices. Commentors are concerned that filers of export data will not
have the information to comply, in a timely manner, with the
requirements of Sec. Sec. 30.7(j) and 30.63(b)(11) of the FTSR,
specifically for shipments sent by air and truck. After consideration
of comments received concerning reporting of the TRN, the Census Bureau
has determined that documents specified in the NPR, namely, the master
air waybill for air shipments, the bill of lading for rail shipments,
and the Freight or Pro Bill for truck shipments, are not usually
available to the USPPI or the authorized agent at the time cargo is
given to air, rail, and truck carriers. Currently, the TRN is a
conditional field in the AES except for shipments made by vessel where
the information is required. The Census Bureau has made the TRN an
optional reporting requirement for other than vessel shipments filed
through the AES or via the SED. The Census Bureau amended language
contained in Sec. Sec. 30.7(j) and 30.63 (c) of the FTSR to reflect
these revisions.
6. Clarify the responsibilities of exporting carriers relative to
presentation of the exemption legend to the CBP. Several commentors
indicated concern about the proposed language in FTSR Sec. Sec. 30.21,
30.22, and 30.65 regarding requirements for annotating and transmitting
exemption statements for export shipments and filing of manifests by
exporting carriers. Some commentors think that the language could imply
responsibility on the part of exporting carriers for properly
annotating the exemption legend. This is not the case. The USPPI or the
authorized agent is responsible for properly annotating the exemption
legend.
Further, there is concern that references to carriers exempt from
filing manifests as detailed in Sec. 30.21(f) of the regulations do
not include carriers for all modes of transportation. It is not the
Census Bureau's intent to institute a change in carrier responsibility
with regard to the annotation and presentation of proof of filing
citations or exemption legends for shipments filed through the AES or
shipments for which SEDs are not required. When required, it is the
responsibility of the USPPI or the authorized agent to provide the
exemption legend or proof of filing citation on bills of lading, air
waybills or other commercial loading documents for presentation to the
carrier prior to export.
The Census Bureau does not propose to hold exporting carriers
liable for the content of exemption legends presented by USPPIs or
authorized agents for transactions reported through the AES or by way
of the paper SED. The Census Bureau is revising the language contained
in Sec. 30.22(a) and (b) and Sec. 30.65(b) of the FTSR to clarify the
responsibility of exporting carriers with regard to the content and
submission of exemption legends. The Census Bureau also is revising the
language contained in Sec. 30.21(4) to include references to all modes
of transportation exempt from filing manifests with the CBP.
Also, commentors expressed concern about the lack of availability
of the International Traffic in Arms Regulations (ITAR) applicable to
shipments filed through the AES and mentioned in these and other
sections of the FTSR. The State Department will issue a final rule
concerning time of filing and proof of filing citations prior to the
Census Bureau's implementation of the final rule.
[[Page 42537]]
7. Clarify the role of Data Entry Centers (DECs) in filing for CCL
and USML export shipments. Some commentors are concerned about the role
of DECs in handling shipments on the CCL and USML subsequent to
issuance of this rule. Currently, DECs may transmit through the AES
export information submitted by a USPPI or authorized agent, including
items identified on the CCL or USML lists. With issuance of this rule,
only the USPPI or its authorized agent may file information on CCL or
USML shipments through AES. Companies acting as DECs may transmit CCL
and USML information through the AES if: (1) The reports are prepared
by the USPPI or its authorized agent, or (2) the DEC becomes an
authorized agent for the USPPI, with a properly executed power of
attorney. The DEC cannot be the filer. The decision to transmit or not
to transmit information on CCL or USML shipments through the AES is
made solely by the DEC. Only companies acting as authorized agents of
the USPPI with a properly executed power of attorney or written
authorization are permitted to modify or amend information provided by
the USPPI either before or following transmission through the AES.
Changes to the Proposed Rule as a Result of Public Comments
The changes made in this final rule to what has been included in
the proposed rule are as follows:
(1) Section 30.7(j) is amended to require reporting of the TRN
optional for shipments exported by modes of transportation other than
vessel. This change is in response to concerns addressed in Item No. 5
of the ``Response to Comments'' section.
(2) Section 30.12(d) is amended to specify the proper carrier to
which the USPPI or the authorized agent is to present the exemption
legend or proof of filing citation for shipments filed through the AES.
This change is in response to concerns addressed in Item No. 2 in the
``Response to Comments'' section.
(3) Section 30.21(4) is amended to clarify the types of carriers
excluded from filing manifests with CBP and to stipulate the conditions
under which operators of these carriers are required to present
exemption legends or filing citations to CBP. This change is in
response to concerns addressed in Item No. 6 in the ``Response to
Comments'' section.
(4) Sections 30.22(a) and (b) are amended to clarify language
describing the exporting carrier's responsibility for transmitting the
exemption legend or proof of filing citation to CBP when an SED is not
required because data on an export transaction are filed through the
AES. This change is in response to concerns addressed in Item No. 6 in
the ``Response to Comments'' section.
(5) Section 30.22(f) is amended to limit the application of
paragraph (f) to items identified on the Department of Commerce's CCL
and the State Department's USML. This change is in response to concerns
addressed in Item No. 6 in the ``Response to Comments'' section.
(6) Section 30.63(c) is amended by making reporting of the TRN
optional for other than vessel shipments in Sec. 30.63(c). This change
is in response to concerns addressed in Item No. 5 in the ``Response to
Comments'' section.
(7) Section 30.65(b) is amended to clarify the exporting carrier's
responsibility for transmitting the exemption legend or proof of filing
citation to CBP for data on export transactions filed through the AES.
This change is in response to concerns addressed in Item No. 6 in the
``Response to Comments'' section.
Program Requirements
In order to comply with the requirements of Pub. L. 106-113,
requiring AES mandatory filing for items on the Department of
Commerce's CCL and the State Department's USML, the Census Bureau is
amending the appropriate sections of the FTSR to specify the
requirements for the AES mandatory filing and the revision to the paper
SED. For purposes of this rule, all references to filing mandatory AES
shipments are limited to those kinds of shipments and do not apply to
shipments that may be reported on the paper SED.
The Census Bureau is revising the following sections of the FTSR:
[sbull] Section 30.1 to specify the general requirements for
filing, via the AES, items identified on the CCL and USML that would
otherwise require the filing of an SED;
[sbull] Section 30.7 to add instructions for filing the address of
the USPPI, the freight forwarder's EIN on the paper SED, the
transportation reference number, instructions for filing the gross
shipping weight for air, vessel, truck, and rail modes of
transportation via paper and the AES and delete references to ``marks
and numbers'';
[sbull] Section 30.12 to specify the instructions regarding the
time and place for presenting SED information;
[sbull] Section 30.21 to specify the departing carrier's
responsibility for filing export and manifest data via paper and/or the
AES, as appropriate;
[sbull] Section 30.22 to specify the responsibilities of the
departing carrier to deliver to the CBP Port Director, at the time of
exportation, the required documentation for electronically filed items;
[sbull] Section 30.23 to amend the requirements for the pipeline
carrier when the item is identified on the CCL or USML;
[sbull] Section 30.60 is amended to specify participation
requirements in the AES;
[sbull] Section 30.61 to specify the electronic filing options
required for mandatory filing and to delete references to Option 3;
[sbull] Section 30.62 is amended to update the specifications for
certification, qualification, and standards for AES and AES Direct;
[sbull] Section 30.63 to revise the requirements for entering a
USPPI's profile in AES and to add data elements required in the AES to
validate State Department's Directorate of Defense Trade Controls
(DDTC) licensed or license-exempt shipments and to remove references to
Option 3;
[sbull] Section 30.65 to specify the requirements for annotating
the proper exemption legends when exports are filed through the AES;
[sbull] Section 30.66 to specify requirements as stated in section
1252(b)(2) of Pub. L. 106-113, which pertains to recordkeeping and
documentation requirements;
[sbull] Revise Appendix A to amend the instructions for the Letter
of Intent;
[sbull] Revise Appendix B to delete references to Option 3 filing
and to reserve it for future use; and
[sbull] Revise Appendix C to clarify export information codes,
license codes, and in-bond codes.
The collection of additional data items listed in Appendix C has
been approved by the Office of Management and Budget (OMB). In
addition, the Census Bureau is also making the minor revisions
discussed previously in the section entitled, ``Changes to the Proposed
Rule as a Result of Public Comments.''
The State Department and the Department of Homeland Security concur
with the provisions contained in this rule.
Rulemaking Requirements
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 that this rule will not have a significant impact on a
substantial number of small entities. The factual basis for this
[[Page 42538]]
certification was published in the proposed rule. No comments were
received regarding the economic impact of this rule. As a result, no
final regulatory flexibility analysis was prepared.
Executive Orders
This rule has been determined to be not significant for purposes of
Executive Order 12866. It has been determined that this rule does not
contain policies with Federalism implications as that term is defined
under Executive Order 13132.
Paperwork Reduction Act
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 (PRA), unless that collection of
information displays a current, valid OMB control number. In accordance
with the PRA, 44 U.S.C., Chapter 35, OMB approved on April 26, 2002,
with control number 0607-0512, the collection of all information
associated with the AES and SED under this rule. We estimate that each
electronic SED will take approximately 3 minutes to complete; we
estimate that each paper SED will take approximately 11 minutes to
complete.
List of Subjects in 15 CFR Part 30
Economic statistics, Foreign trade, Exports, Reporting and
recordkeeping requirements.
0
For the reasons set out in the preamble, 15 CFR part 30 is amended as
follows:
PART 30--FOREIGN TRADE STATISTICS
0
1. Revise the authority citation for part 30 to read as follows:
Authority: 5 U.S.C. 301; 13 U.S.C. 301-307; Reorganization Plan
No. 5 of 1950 (3 CFR 1949-1953 Comp., 1004); and Department of
Commerce Organization Order No. 35-2A, July 22, 1987, as amended.
0
2. In Part 30, revise all references to the ``Bureau of Export
Administration'' to read the ``Bureau of Industry and Security,'' and
revise all reference to ``BXA'' to read ``BIS.'' Also, revise all
references to the ``U.S. Customs Service'' to read the ``Bureau of
Customs and Border Protection,'' and revise all references to
``Customs'' to read ``CBP.''
0
3. Revise the heading of subpart A to read as follows:
Subpart A--General Requirements--U.S. Principal Party In Interest
(USPPI)
0
4. Amend Sec. 30.1 as follows:
0
a. Revise all references to ``exporters or their agents'' to read
``U.S. principal party in interest or the authorized agent'' in
paragraph (a).
0
b. Revise paragraph (b).
0
c. Revise paragraph (c).
The revisions read as follows:
Sec. 30.1 General Statement of requirement for Shipper's Export
Declarations (SEDs).
* * * * *
(b) SEDs shall be filed for merchandise moving as described above
regardless of the method of transportation. Instructions for the filing
of SEDs for vessels, aircraft, railway cars, etc., when sold foreign
appear in Sec. 30.33. Export information that is required to be filed
for items identified on the Commerce Control List (CCL) of the Export
Administration Regulations (EAR) (15 CFR Supplement No. 1 to part 774)
or the State Department's U.S. Munitions List (USML) of the
International Traffic in Arms Regulations (ITAR) (22 CFR, part 121) is
to be filed electronically through AES. This requirement to file
information via AES applies to those items that would otherwise require
the filing of an SED. Exemptions from these requirements and exceptions
to some of the provisions of these regulations for particular types of
transactions are found in subparts C and D of this part.
(c) In lieu of filing paper SEDs as provided elsewhere in this
Section, when an SED would be required, the USPPI or the authorized
agent is required to file shippers' export information, when required,
electronically through the AES for the export of items identified on
the CCL of the EAR (15 CFR Supp. No. 1 to Part 774) or the USML of the
ITAR (22 CFR, part 121) as provided for in subpart E of this part,
Electronic Filing Requirement-Shipper's Export Information. Information
for items identified on the USML, including those exported under an
export license exemption, must be filed electronically prior to export,
unless exempted from the SED filing requirement by the State
Department. For USML shipments, refer to the ITAR (22 CFR, parts 120-
130) for requirements concerning the AES proof of filing citation and
filing time requirements. The USPPI or the authorized agent filing SEDs
for the export of items not on the CCL or the USML has the option of
filing this information electronically as provided for in subpart E of
this part.
0
5. Amend Section 30.7 as follows:
0
a. Add paragraph (d)(3).
0
b. Revise the first sentence of paragraph (e).
0
c. Revise paragraph (j).
0
d. Remove and reserve paragraph (k).
0
e. Add a sentence after the second sentence in paragraph (l).
0
f. Revise paragraph (o).
The additions and revisions read as follows:
Sec. 30.7 Information required on Shipper's Export Declaration.
* * * * *
(d) * * *
(3) Address (number, street, city, state, Zip Code) of the USPPI.
In all export transactions, the USPPI shall report the address location
from which the merchandise actually starts its journey to the port of
export. For example, an SED covering merchandise laden aboard a truck
at a warehouse in Georgia for transport to Florida for loading onto a
vessel for export to a foreign country shall show the address of the
warehouse in Georgia. If the USPPI does not have a facility (processing
plant, warehouse, distribution center, or retail outlet, etc.) at the
location from which the goods began their export journey, report the
USPPI address from which the export was directed. For shipments of
multiple origins reported on a single SED, report the address from
which the greatest value begins its export journey or, if such
information is not known at the time of export, the address from which
the export is directed.
(e) Forwarding or other agent. The name, address, and EIN or Social
Security Number (SSN) of the duly authorized forwarding or other agent
(if any) of a principal party in interest must be recorded where
required on the SED or AES record. * * *
* * * * *
(j) Transportation Reference Number. Enter the Transportation
Reference Number as follows:
(1) Vessel Shipments. Report the booking number for all sea
shipments. The booking number is the reservation number assigned by the
carrier to hold space on the vessel for cargo being exported. This
number is required to be reported for all vessel shipments.
(2 ) Air Shipments. Report the master air waybill number for all
air shipments. The air waybill number is the reservation number
assigned by the carrier to hold space on the airplane for cargo being
exported. The reporting of this number is optional.
(3) Rail Shipments. Report the bill of lading (BOL) number for all
rail shipments. The BOL number is the reservation number assigned by
the carrier to hold space on the rail car for cargo being exported. The
reporting of this number is optional.
[[Page 42539]]
(4) Truck Shipments. Report the Freight or Pro Bill number for all
truck shipments. The Freight or Pro Bill number is the number assigned
by the carrier to hold space on the truck for cargo being exported. The
Freight or Pro Bill number correlates to a bill of lading number, air
waybill number or Trip number for multi-modal shipments. The reporting
of this number is optional.
(k) [Reserved]
(l) * * * Include marks, numbers, or other identification shown on
packages and the number and kinds of packages (i.e., boxes, barrels,
baskets, bales, etc.). * * *
(o) Gross (shipping) weight. Enter the gross shipping weight in
kilograms on the SED or the AES record, including the weight of
containers, for air, vessel, truck, and rail methods of transportation.
However, for containerized cargo in lift vans, cargo vans, or similar
substantial outer containers, the weight of such containers should not
be included in the gross weight of the commodities. If the gross
shipping weight information is not available for individual Schedule B
items because commodities covered by more than one Schedule B number
are contained in the same shipping container, approximate shipping
weights should be used for each Schedule B item in the container. The
total estimated weights must equal the actual shipping weight of the
entire container or containers and contents.
* * * * *
0
6. Revise Sec. 30.12 to read as follows:
Sec. 30.12 Time and Place for Presenting the SED, Exemption Legends
or Proof of Filing Citations.
The following conditions govern the time and place to present paper
SEDs, exemption legends, or proof of filing citations. It is the duty
of the USPPI or the authorized agent to deliver the required number of
copies of the SED, the exemption legends, or the proof of filing
citations when the cargo is tendered to the exporting carrier.
Information on items identified on the CCL of the EAR (15 CFR Supp. No.
1 to Part 774) or the USML of the ITAR (22 CFR part 121) that would
otherwise require the filing of an SED, must be filed through the AES.
Information for items identified on the USML, including those exported
under an export license exemption, must be filed electronically prior
to export, unless exempted from the SED filing requirements by the
State Department. For State Department USML shipments, refer to the
ITAR (22 CFR parts 120-130) for more specific requirements concerning
the AES proof of filing citation and filing time. Failure of the USPPI
or the authorized agent of either the USPPI or foreign principal party
in interest to comply with these requirements constitutes a violation
of the provisions of these regulations, and renders such principal
party or the authorized agent subject to the penalties provided for in
Sec. 30.95 of this part.
(a) Postal Exports. SEDs for exports of items being sent by mail,
as required in Sec. 30.1 of this part, shall be presented to the
postmaster with the packages at the time of mailing.
(b) Pipeline Exports. SEDs for exports being sent by pipeline are
not required to be presented prior to exportation; however, they are
required to be filed within four (4) working days after the end of each
calendar month. These SEDs must be filed with the CBP Port Director
having jurisdiction for the pipeline, and the filer must deliver the
SED in the number of copies specified in Sec. 30.5 of this part to
cover exports to each consignee during the calendar month.
(c) Exports by other methods of transportation. For exports sent
other than by mail or pipeline, the required number of copies of SEDs
as prescribed in Sec. 30.5 of this part shall be delivered to the
exporting carrier when the cargo is tendered to the exporting carrier.
(d) Exports Filed Via AES. For exports filed through the AES, it is
the duty of the USPPI or the authorized agent to deliver to the
exporting carrier, the AES exemption legends as provided for in Sec.
30.65 of this part or the AES proof of filing citation as provided for
in 22 CFR (parts 120-130) of the ITAR when the cargo is tendered to the
exporting carrier for transport to the foreign country.
Subpart B--General Requirements--Exporting Carriers
0
7. Revise Sec. 30.21 to read as follows:
Sec. 30.21 Requirements for the filing of manifests.
Carriers transporting merchandise via vessel, aircraft, or rail are
required to file an outbound manifest (along with the required SEDs,
supporting documentation and/or the exemption statement or the proof of
filing citation) to the CBP Port Director at the port of exportation.
Outbound vessel manifests may be filed via paper or electronically
through the vessel transportation module, a component of the AES, as
provided in CBP Regulations, 19 CFR, Sec. Sec. 4.63 and 4.76. SEDs may
be filed via paper or electronically via the AES.
(a) Paper SED--paper manifest. If filing paper SEDs and paper
manifest, attach the copies of the SEDs to the manifest. For each item
of cargo transported via vessel, the Transportation Reference Number on
the SED covering the item must be shown on the manifest.
(b) Paper SED--electronic manifest. If filing paper SEDs and the
electronic outbound vessel manifest, carriers are responsible for
submitting paper SEDs directly to the CBP Port Director.
(c) Electronic SED (AES)--paper manifest. If filing the SED
information electronically (AES) and paper outbound manifest, carriers
must annotate the outbound manifest with the appropriate AES exemption
legends as provided in Sec. 30.65 of this part.
(d) Electronic SED (AES) and manifest. If filing the SED
information and outbound vessel manifest electronically through the
AES, the carrier must adhere to the instructions specified in CBP
Regulations (19 CFR, Sec. 4.76) and Sec. 30.60 of this part and
transmit the appropriate AES proof of filing citation as provided in
Sec. 30.65 of this part.
(e) When an SED is not required. If an item does not require the
filing of an SED, the appropriate exemption legends must be annotated
on the outbound manifest or other appropriate commercial documents as
provided in Sec. 30.50 of this part.
(f) Exports to Puerto Rico. When filing paper manifests for
shipments from the United States to Puerto Rico, the manifest shall be
filed with the CBP Port Director where the merchandise is unladen in
Puerto Rico.
(1) Vessels. Vessels transporting merchandise as specified in Sec.
30.20 of this part (except vessels exempted by paragraph (f)(4) of this
section) shall file a complete Cargo Declaration Outward With
Commercial Forms, CBP Form 1302-A. In addition, vessel carriers are
required to perform the following:
(i) Bunker fuel. The manifest for vessels (including vessels
carrying bunker fuel to be laden aboard vessels on the high seas)
clearing for foreign countries shall show quantities and values of
bunker fuel taken aboard at that port for fueling use of the vessel,
apart from such quantities as may have been laden on vessels as cargo.
(ii) Coal and Fuel Oil. The quantity of coal shall be reported in
metric tons (2240 pounds), and the quantity of fuel oil shall be
reported in barrels of 158.98 liters (42 gallons). Fuel oil shall be
described in such manner as to identify diesel oil as distinguished
from other types of fuel oil.
(2) Aircraft. Aircraft transporting merchandise as specified in
Sec. 30.20 of this part, shall file a complete manifest on CBP Form
7509, as required in CBP Regulations, 19 CFR 122.72 through
[[Page 42540]]
122.76. All the cargo so laden shall be listed and shall show, for each
item, the air waybill number or marks and numbers on packages, the
number of packages, and the description of the goods.
(3) Rail carriers. Rail carriers transporting merchandise as
specified in Sec. 30.20 of this part shall file a car manifest. Such
manifest shall be filed with the CBP Port Director at the port of
exportation, giving the marks and numbers, the name of the shipper or
consignor, description of goods and the destination thereof. The
manifest may be a waybill, or copy thereof, or a copy of the manifest
prepared for foreign customers.
(4) Carriers not required to file manifests. Carriers exempted from
filing manifests are required, upon request, to present to the CBP Port
Director the proof of filing citations, SED exemption legends, or AES
exemption legends for each shipment. Failure of the carrier to do so
constitutes a violation of the provisions of these regulations, and
renders such carrier subject to the penalties provided for in Sec.
30.95 of this part.
0
8. Amend Sec. 30.22 as follows:
0
a. Revise the heading of Sec. 30.22.
0
b. Add two sentences to the end of paragraph (a).
0
c. Add two sentences after the first sentence in paragraph (b).
0
d. Add paragraph (f).
The additions and revision read as follows:
Sec. 30.22 Requirements for the filing of SEDs or AES exemption
legends and AES proof of filing citations by departing carriers.
(a) * * * When the export information for a shipment is filed
electronically via the AES, the carrier is responsible for transmitting
the appropriate AES exemption legend as provided in Sec. 30.65 of this
part and the AES proof of filing citation as provided in the ITAR (22
CFR, part 121) for USML shipments. Such transmittal shall be without
material change or amendment of the proof of filing citation as
provided to the carrier by the USPPI or the authorized agent.
(b) * * * If the export information is filed electronically via the
AES, the carrier is responsible for transmitting to the CBP Port
Director at the port of exportation the appropriate AES exemption
legend as provided in Sec. 30.65 of this part and the AES proof of
filing citation as provided in ITAR (22 CFR, part 121) for USML
shipments. Such transmittal shall be without material change or
amendment of the exemption legend or the proof of filing citation as
provided to the carrier by the USPPI or the authorized agent. * * *
* * * * *
(f) Information on items identified on the CCL of the EAR (15 CFR
Supp. No. 1 to part 774) or the USML of the ITAR (22 CFR, part 121)
that would otherwise require the filing of an SED, must be filed
through AES. The exporting carrier must not accept paper SEDs or cargo
that does not have the appropriate AES filing exemption legend as set
forth in Sec. 30.65 of this part and the AES proof of filing citation
as provided for in the ITAR (22 CFR, part 121) for USML shipments.
Acceptance of paper SEDs or cargo for items on the CCL or USML without
the appropriate exemption legend or proof of filing citation
constitutes a violation of the provisions of these regulations, and
renders such carrier subject to the penalties provided for in Sec.
30.95 of this part.
* * * * *
0
9. Amend Sec. 30.23 by adding a sentence to the end of the paragraph
to read as follows:
Sec. 30.23 Requirements for the filing of Shipper's Export
Declarations by pipeline carriers.
* * If the merchandise transported by pipeline is identified on the
CCL of the EAR (15 CFR Supplement No. 1 to part 774) or the USML of the
ITAR (22 CFR, Part 121), and requires an SED, the data regarding the
shipment must be filed electronically through the AES.
* * * * *
Subpart E--Electronic Filing Requirements--Shipper's Export
Information
0
10. Revise Sec. 30.60(a) to read as follows:
Sec. 30.60 General requirements for filing export and manifest data
electronically using the AES.
* * * * *
(a) Participation. Filing using the AES is mandatory for those
items identified on the CCL of the EAR (15 CFR Supplement No. 1 to part
774) or the USML of the ITAR (22 CFR, part 121) and that would
otherwise require the filing of an SED. All other participation in the
AES is voluntary. Information for items identified on the CCL or the
USML filed via AES must be filed by the USPPI or the authorized agent.
A Data Entry Center (DEC), service center, or port authority may
transmit an AES record for CCL or USML items, completed by the USPPI or
the authorized agent, without obtaining a power of attorney or written
authorization. A DEC, service center, or port authority must have a
power of attorney or written authorization from the USPPI or foreign
principal party in interest if it completes any export information in
AES for CCL or USML shipments. Filers may also use a software package
designed by an AES certified software vendor. Certified trade
participants (filing agents) can transmit to and receive data from the
AES pertaining to merchandise being exported from the United States.
Participants in the AES process, who may apply for AES certification,
include USPPIs or the authorized agents, ocean carriers, software
vendors, or any organization acting as a service center. Once becoming
certified, an AES filer (filing agent) must agree to stay in complete
compliance with all export rules and regulations.
* * * * *
0
11. Amend Sec. 30.61 as follows:
0
a. Revise the introductory text.
0
b. Revise paragraph (b).
0
c. Remove paragraph (c).
The revisions read as follows:
Sec. 30.61 Electronic filing options.
As an alternative to filing paper SEDs (Option 1), two electronic
filing options (Option 2 and 4) for transmitting shipper's export
information are available to U.S. principal parties or the authorized
filing agent. The electronic filing Option 4 takes into account that
complete information concerning export shipments is not always
available prior to exportation. Information on the export of items
identified on the CCL of the EAR (15 CFR Supplement No. 1 to part 774)
or the USML of the ITAR (22 CFR, part 121) that would otherwise require
the filing of an SED must be filed using Option 2. Option 4 may only be
used when the appropriate licensing agency has granted the USPPI
authorization to use this option. The available AES electronic filing
options are as follows:
* * * * *
(b) AES with no information transmitted prior to exportation
(Option 4). Option 4 is only available for approved USPPIs and requires
no export information to be transmitted electronically using AES prior
to exportation. For approved Option 4 filers, all shipments (other than
those requiring an export license, unless specifically approved by the
licensing agency for Option 4 filing, and those specifically required
under electronic filing Option 2), by all methods of transportation,
may be exported with transmission as soon as it is known, but no later
than ten (10) working days from the date of exportation. Shipments of
used vehicles between the United States
[[Page 42541]]
and Puerto Rico may be filed using Option 4. Certified AES authorized
filing agents or service centers may transmit information post
departure on behalf of approved Option 4 USPPIs, or the USPPI may
transmit the data. All USPPIs filing a Letter of Intent for Option 4
filing privileges will be cleared through a formal review process by
CBP, the Census Bureau, and other federal government agencies
participating in the AES (partnership agencies) in accordance with
provisions contained in Sec. 30.62. The USPPI or the authorized agent
must provide the exporting carrier with the USPPI's Option 4 AES
exemption legend as described in Sec. 30.65.
0
12. Amend Sec. 30.62 as follows:
0
a. Add an introductory text.
0
b. Revise paragraph (a).
0
c. Redesignate current paragraph (b) as paragraph (e).
0
d. Add a new paragraph (b).
0
e. Add paragraphs (c) and (d).
The additions and revisions read as follows:
Sec. 30.62 AES/AES Direct Certification, qualification, and
standards.
Certification for AES filing will apply to the USPPI, authorized
forwarding agent, ocean carrier, or any organization acting as a
service center transmitting export information electronically using the
AES.
(a) AES Certification Process. Applicants interested in AES filing
must submit a Letter of Intent to the Census Bureau in accordance with
the provisions contained in Sec. 30.60. CBP and the Census Bureau will
assign client representatives to work with the applicant to prepare
them for AES certification. The AES applicant must perform an initial
two-part communication test to ascertain whether the applicant's system
is capable of both transmitting data to, and receiving data from, the
AES. The applicant must demonstrate specific system application
capabilities. The capability to correctly handle these system
applications is the prerequisite to certification for participation in
the AES. The applicant must successfully transmit the AES certification
test. The CBP's and Census Bureau's client representatives provide
assistance during certification testing. These representatives make the
sole determination as to whether or not the applicant qualifies for
certification. Upon successful completion of certification testing, the
applicant's status is moved from testing mode to operational mode. Upon
certification, the filer will be required to maintain an acceptable
level of performance in AES filings. The certified AES filer may be
required to repeat the certification testing process at any time to
ensure that operational standards for quality and volume of data are
maintained. The Census Bureau will provide the certified AES filer with
a certification notice after the applicant has been approved for
operational status. The certification notice will include:
(1) The date that filers may begin transmitting ``live'' data
electronically using AES;
(2) Reporting instructions; and
(3) Examples of the required AES exemption legends.
(b) AESDirect Certification process. Applicants interested in
AESDirect filing or its by-products AESWebLink, AESPCLink, or AES EDI
Upload must complete the online AESDirect registration form. After
submitting the registration, an AESDirect filing account is created for
the filing company. The applicant will receive separate e-mails
providing an AESDirect user name, temporary administrator code, and
temporary password. The filer uses the temporary administrator code to
create a permanent administrator code that allows the user to create a
permanent password. The user name and new permanent password will allow
the filer to complete certification testing. Upon successful completion
of the certification testing, notification by e-mail will be sent when
an account is fully activated for filing via AESDirect. Print the page
congratulating the filer on passing the test for retention purposes.
The activation notice will specify which AES filing status the account
has been authorized.
(c) Filing agent certification. Once an authorized filing agent has
successfully completed the certification process, the USPPI using that
agent does not need further AES certification. The certified filing
agent must have a properly executed power of attorney, a written
authorization from the USPPI or foreign principal party in interest, or
an SED signed by the USPPI to transmit their data electronically using
the AES. The USPPI or authorized agent that utilizes a service center
or port authority must complete certification testing, unless the
service center or port authority has a formal power of attorney or
written authorization from the USPPI to file the export information on
behalf of the USPPI.
(d) AES filing standards. The certified AES filer's data will be
monitored and reviewed for quality, timeliness, and coverage. The
Census Bureau will notify the AES filer if the filer fails to maintain
an acceptable level of quality, timeliness, and coverage in the
transmission of export data or fails to maintain compliance with Census
Bureau regulations contained in this Section. The Census Bureau, if
necessary, will take appropriate action to correct the specific
situation(s). In the case of AESDirect, when submitting a registration
form to AESDirect, the registering company is certifying that it will
be in compliance with all applicable laws and regulations. This
includes complying with the following security requirements:
(1) AESDirect user names, administrator codes, and passwords are to
be neither written down nor disclosed to any unauthorized user or any
persons outside of the registered company. Filers must change
administrator codes or passwords for security purposes when prompted to
do so.
(2) Registered companies are responsible for those persons having a
user name, administrator code, and password. If an employee with access
to the user name, administrator code, and password leaves the company
or otherwise is no longer an authorized user, the company must change
the password, administrator code, and user name in the system and must
do so immediately in order to ensure the integrity and confidentiality
of Title 13 data.
(3) Antivirus software must be installed and set to run
automatically on all computers that access AESDirect. All AESDirect
registered companies will maintain subscriptions with their antivirus
software vendor to keep antivirus lists current. Registered companies
are responsible for performing full scans of these systems on a regular
basis and eliminating any virus contamination. If the registered
company's computer system is infected with a virus, the company should
refrain from using AESDirect until it is virus free. Failure to comply
with these requirements will result in immediate loss of privilege to
use AESDirect until the registered company can establish to the
satisfaction of the Census Bureau's Foreign Trade Division Computer
Security Officer that the company's computer systems accessing
AESDirect are virus free.
* * * * *
0
13. Amend Sec. 30.63 as follows:
0
a. Revise paragraphs (a)(1) and (b)(13).
0
b. Add paragraphs (b)(14) through (b)(21).
0
c. Revise paragraph (c).
The additions and revisions read as follows:
[[Page 42542]]
Sec. 30.63 Information required to be reported electronically through
AES (data elements).
(a) * * *
(1) USPPI/USPPI identification.--(i) Name and address of the USPPI.
For details on the reporting responsibilities of USPPIs, see Sec. 30.4
and Sec. 30.7 (d)(1), (2), (3), and (e).
(ii) USPPI's profile. The USPPI's EIN or Social Security Number
(SSN) and the USPPI's name, address, contact, and telephone number must
be reported with every shipment. If neither EIN or SSN is available for
the USPPI, as in the case of a foreign entity being shown as the USPPI
as defined in Sec. 30.7(d), the border crossing number, passport
number, or any other number assigned by CBP is required to be reported.
(See Sec. 30.7(d)(2) for a detailed description of the EIN.)
(b) * * *
(13) Filing option indicator. Report the 1-character filing option
that indicates Option 2 or 4 filing.
(14) Directorate of Defense Trade Controls (DDTC) Registration
Number. The number assigned by DDTC to persons who are required to
register per Part 122 of the ITAR (22 CFR, 120-130), that has an
authorization (license or exemption) from DDTC to export the article.
(15) DDTC Significant Military Equipment (SME) Indicator. A term
used to designate articles on the USML for which special export
controls are warranted because of their capacity for substantial
military utility or capability. See Sec. 120.7 of the ITAR 22 CFR,
parts 120-130, for a definition of SME and Sec. 121.1 for items
designated as SME articles.
(16) DDTC Eligible Party Certification Indicator. Certification by
the U.S. exporter that the exporter is an eligible party to participate
in defense trade. See ITAR 22 CFR 120.1(c). This certification is
required only when an exemption is claimed.
(17) DDTC USML Category Code. The USML category of the article
being exported (22 CFR, part 121).
(18) DDTC Unit of Measure (UOM). This unit of measure is the UOM
covering the article being shipped as described on the export
authorization or declared under an ITAR exemption.
(19) DDTC Quantity. This quantity is for the article being shipped.
The quantity is the total number of units that corresponds to the DDTC
Unit of Measure Code.
(20) DDTC Exemption Number. The exemption number is the specific
citation from the Code of Federal Regulations (22 CFR, parts 120-130)
that exempts the shipment from the requirements for a license or other
written authorization from DDTC.
(21) DDTC Export License Line Number. The line number of the State
Department export license that corresponds to the article being
exported.
(c) Optional data elements are as follows:
(1) Transportation Reference Number for other than vessel
shipments.
(i) Air Shipments. Report the master air waybill for air shipments.
The air waybill number is the reservation number assigned by the
carrier to hold space on the airplane for cargo being exported.
(ii) Rail Shipments. Report the bill of lading (BOL) number for all
rail shipments. The BOL number is the reservation number assigned by
the carrier to hold space on the rail car for cargo being exported.
(iii) Truck Shipments. Report the Freight or Pro Bill number for
all truck shipments. The Freight or Pro Bill number is the number
assigned by the carrier to hold space on the truck for cargo being
exported. The Freight or Pro Bill number correlates to a bill of lading
number, air waybill number of Trip number for multi-modal shipments.
2. Seal number. Report the security seal number of the seal placed
on the equipment.
0
14. Revise Sec. 30.65 to read as follows:
Sec. 30.65 Annotating the proper exemption legends or proof of filing
citations for shipments transmitted electronically.
(a) Items identified on the USML must meet the predeparture
reporting requirements identified in the ITAR (22 CFR, part 120-130)
for the State Department requirements concerning AES proof of filing
citations and time and place of filing.
(b) For shipments other than USML, the USPPI or the authorized
agent is responsible for annotating the proper exemption legend on the
bill of lading, air waybill, or other commercial loading document for
presentation to the carrier prior to tendering the cargo to the
exporting carrier. The carrier is responsible for transmitting the
appropriate exemption legend to the CBP Port Director at the port of
exportation as stated in Sec. 30.21 and Sec. 30.22 of this part. Such
transmittal shall be without material change or amendment of the
exemption legend as provided to the carrier by the USPPI or the
authorized agent. The exemption legend will identify that the shipment
information has been accepted as transmitted and electronically filed
using the AES. The exemption legend must appear on the bill of lading,
air waybill, or other commercial loading documentation and the manifest
and must be clearly visible and include either of the following:
(1) For shipments other than USML, the exemption legend will
include the statement, ``NO SED REQUIRED-AES,'' followed by the filer's
identification number and a unique shipment reference number referred
to as the External Transaction Number (XTN) or the returned
confirmation number provided by AES when the transmission is accepted,
referred to as the Internal Transaction Number (ITN). Items on the USML
must meet the predeparture reporting requirements in the ITAR (22 CFR
parts 120-130).
(2) For USPPIs who have been approved to participate in Filing
Option 4, the exemption statement, ``NO SED REQUIRED-AES4,'' followed
by the USPPI's EIN followed by the filer's identification number if
other than the USPPI files the data.
0
15. Revise Sec. 30.66 to read as follows:
Sec. 30.66 Support, documentation and record keeping requirements.
(a) Support. ``ASKAES@census.gov'' is an online service that allows
electronic filers to seek assistance pertaining to AES. AESDirect is
supported by a help desk available twelve (12) hours a day, seven (7)
days a week.
(b) Documentation. Filers using the AESDirect are able to print out
from the AESDirect a validated record of the filer's submission. Filers
using AES are able to print records containing date of submission and a
unique identification number for each AES record submitted. The Census
Bureau will maintain an electronic file of data sent through AES to
ensure that an individual is able to receive from the system, a
validated record of the submission. The USPPI or the authorized agent
of the USPPI or the authorized agent of the foreign principal party in
interest may request a copy of the electronic record submitted as
provided for in Sec. 30.91 of this part.
(c) Recordkeeping. All parties to the export transaction (owners
and operators of the exporting carriers and U.S. principal party and/or
the authorized agents) must retain documents or records pertaining to
the shipment for five (5) years from the date of export. CBP, the
Census Bureau, and other participating agencies may require that these
documents be produced at any time within the 5-year time period for
inspection or copying. These records may be retained in an elected
format, including electronic or hard copy as provided in the applicable
agency's regulations. Acceptance of the
[[Page 42543]]
documents by CBP or the Census Bureau does not relieve the USPPI or the
authorized agent from providing complete and accurate information after
the fact. The Department of State or other regulatory agencies may have
additional recordkeeping requirements for exports.
0
16. Amend Appendix A as follows:
0
a. Add introductory text.
0
b. Revise items A.5, A.6, and A.10.
0
c. Revise paragraphs B and C.
0
d. Add paragraph D.
The additions and revisions read as follows:
Appendix A to Part 30--Format for the Letter of Intent, Automated
Export System (AES)
The first requirement for participation in AES is a Letter of
Intent. The Letter of Intent is a written statement of a company's
desire to participate in the AES. It must set forth a commitment to
develop, maintain, and adhere to CBP and Census performance
requirements and operations standards. Once the letter of intent is
received, a CBP Client Representative and U.S. Census Bureau Client
Representative will be assigned to the company. Census will forward
additional information to prepare the company for participation in
AES.
A. Letters of Intent should be on company letterhead and must
include:
* * * * *
5. Computer Site Location Address, City, State, Postal Code
(Where transmissions will be initiated)
6. Type of Business--USPPI, Freight Forwarder/Broker, Ocean
Carrier, Software Vendor, Service Center, etc. (Indicate all that
apply)
(i) Freight Forwarders/Brokers, indicate the number of USPPIs
for whom you file export information (SEDs)
(ii) USPPIs, indicate whether you are applying for AES Option 2
or Option 4* * *
10. Filer Code--EIN, SSN or SCAC (Indicate all that apply)
* * * * *
B. The following self-certification statement, signed by an
officer of the company, must be included in your letter of intent:
``We (COMPANY NAME) certify that all statements made and all
information provided herein are true and correct. I understand that
civil and criminal penalties, including forfeiture and sale, may be
imposed for making false or fraudulent statements herein, failing to
provide the requested information or for violation of U.S. laws on
exportation (13 U.S.C. 305; 22 U.S.C. 401; 18 U.S.C. 1001; 50 U.S.C.
App. 2410).''
C. The AES Option 4 privilege allows a USPPI to submit complete
data at any time prior to or after exportation provided complete
data are submitted within 10 working days after exportation.
Participants will be reviewed by several government agencies prior
to acceptance into the Option 4 program.
D. Send AES or Option 4 Letter of Intent to: Chief, Foreign
Trade Division, U.S. Census Bureau, Washington, DC 20233 or the copy
can be faxed to: 301-457-1159.
Appendix B to Part 30 [Reserved]
0
17. Remove and reserve Appendix B.
0
18. Amend Appendix C as follows:
0
a. Under the heading ``Part II--Export Information Codes,'' add four
items to the last line of listed items (after ``AE'' and before the
parenthetical sentence).
0
b. Under ``Part III--License Codes,'' revise the first subheading.
0
c. Under ``Part III--License Codes,'' add an item to the last line of
the first list of items (after ``C50 ENC'').
0
d. Under ``Part III--License Codes'':
0
1. Revise the third subheading.
0
2. Under the current subheading ``Department of State, Office of
Defense Trade Controls (ODTC) Codes,'' add an item to the last line of
the third list of items (after ``S85 DSP 85'').
0
e. Under ``Part III--License Codes,'' add an item to the last line of
the fifth list of items (after ``OPA''), and add a sentence following
the new list item under the subheading ``Other License Types.''
0
f. Under the subheading ``Part IV--In-Bond Codes,'' remove two items
from the sixth list of items (after ``37 Warehouse Withdrawal for
Transportation and Exportation'' and before ``67 Immediate Exportation
from a Foreign Trade Zone.''
The additions, revisions, and removals read as follows:
Appendix C to Part 30--Electronic (AES) Filing Codes
Part II--Export Information Codes
* * * * *
ZD Duty deferred shipments filed via AES
FI Impelled foreign military sales
CI Impelled goods donated for charity
OI All other impelled exports
* * * * *
Part III--License Codes
* * * * *
Department of Commerce, Bureau of Industry and Security (BIS)
Licenses
* * * * *
C51 AGR
* * * * *
Department of State, Directorate of Defense Trade Controls (DDTC)
Codes
* * * * *
S94 DSP-94
* * * * *
Other License Types
* * * * *
SCA Canadian ITAR Exemption
For export license exemptions under International Traffic in
Arms Regulations, refer to 22 CFR, Parts 120--130 of the ITAR for
the list of export license exemptions.
* * * * *
Part IV--In-Bond Codes
* * * * *
62 Transportation and Exportation [Removed]
63 Immediate Exportation [Removed]
* * * * *
Dated: July 14, 2003.
Charles Louis Kincannon,
Director, Bureau of the Census.
[FR Doc. 03-18093 Filed 7-16-03; 8:45 am]
BILLING CODE 3510-07-P