[Federal Register: February 17, 2005 (Volume 70, Number 32)]
[Proposed Rules]
[Page 8199-8227]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr17fe05-14]
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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
Foreign Trade Regulations: Mandatory Automated Export System Filing for
All Shipments Requiring Shipper's Export Declaration Information;
Proposed Rule
[[Page 8200]]
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DEPARTMENT OF COMMERCE
Bureau of the Census
15 CFR Part 30
[Docket Number 031009254-4355-02]
RIN 0607-AA38
Foreign Trade Regulations: Mandatory Automated Export System
Filing for All Shipments Requiring Shipper's Export Declaration
Information
AGENCY: Bureau of the Census, Commerce Department.
ACTION: Notice of proposed rulemaking and request for comments.
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SUMMARY: The U.S. Census Bureau (Census Bureau) proposes to amend the
Foreign Trade Statistics Regulations (FTSR) to implement provisions in
the Foreign Relations Authorization Act. Specifically, the Census
Bureau proposes to require mandatory filing of export information
through the Automated Export System (AES) or through the AESDirect for
all shipments where a Shipper's Export Declaration (SED) is currently
required. In addition to requiring mandatory AES filing, the proposed
rule makes other changes to the FTSR. These additional changes are
discussed in detail in the SUPPLEMENTARY INFORMATION section.
DATES: Submit written comments on or before April 18, 2005.
ADDRESSES: Please direct all written comments on this proposed rule to
the Director, U.S. Census Bureau, Room 2049, Federal Building 3,
Washington, DC 20233. You may also submit comments, identified by RIN
number 0607-AA38, to the Federal e-Rulemaking Portal: http://www.regulations.gov.
Please follow the instructions at that site for
submitting comments.
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, by phone (301) 763-2255, by fax (301) 457-
2645, or by e-mail: c.harvey.monk.jr@census.gov.
SUPPLEMENTARY INFORMATION:
Background
Reporting Requirements
The Census Bureau is responsible for collecting, compiling, and
publishing export 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 export trade data, and the information contained therein is
used by the Census Bureau for statistical purposes only. Information
reported in the AES is referred to as Electronic Export Information
(EEI). The SED and the EEI also are used for export control purposes
under Title 50, U.S.C., Export Administration Act, to detect and
prevent the export of certain items by unauthorized parties or to
unauthorized destinations or end users. Information collected through
the SED or AES is exempt from public disclosure unless the Secretary of
Commerce determines that such exemption would be contrary to the
national interest under the provisions of Title 13, U.S.C., Chapter 9,
Section 301(g).
Under current regulations, export information is compiled from both
paper and electronic transactions filed by the exporting community with
the Bureau of Customs and Border Protection (CBP, formerly the U.S.
Customs Service) and the Census Bureau. The AES is an electronic method
for filing the paper SED information directly with CBP and the Census
Bureau. The AESDirect is the Census Bureau's free Internet-based system
for filing SED information with the AES. Future references to the AES
also shall apply to the AESDirect unless otherwise specified.
A paper SED or the equivalent EEI is currently required, with
certain exceptions, for exports of goods from the United States,
including Foreign Trade Zones (FTZs) located therein, Puerto Rico, and
the U.S. Virgin Islands to foreign countries; for exports between the
United States and Puerto Rico; and for exports to the U.S. Virgin
Islands from the United States or Puerto Rico. The SED or the EEI also
is required for all exports requiring a license from the Bureau of
Industry and Security (BIS), a license or license exception from the
Department of State, or other government agency, regardless of value,
unless exempted from the requirement for a SED or EEI by the licensing
government agency.
Electronic Filing
Electronic filing strengthens the U.S. Government's ability to
prevent the export of certain items by unauthorized parties to
unauthorized destinations and end users, because AES aids in targeting
and identifying suspicious shipments prior to export and affords the
government the ability to significantly improve the quality,
timeliness, and coverage of export statistics. Since July 1995, the AES
has served as an information gateway for the Census Bureau and CBP to
improve the reporting of export trade information, customer service,
compliance with and enforcement of export laws, and provide paperless
reports of export information.
On November 29, 1999, the President signed into law the
Proliferation Prevention Enhancement Act of 1999, which authorized the
Secretary of Commerce to require the mandatory filing of items on the
Commerce Control List (CCL) and the U.S. Munitions List (USML).
Regulations implementing this requirement were effective October 2003
(see 68 FR 42533-42543). On September 30, 2002, the President signed
into law the Foreign Relations Authorization Act, Public Law 107-228.
This law authorizes the Secretary of Commerce, with the concurrence of
the Secretary of State and the Secretary of Homeland Security, to
publish regulations in the Federal Register mandating that all persons
who are required to file export information via the SED under Chapter 9
of Title 13, U.S.C. file such information through the AES.
The Foreign Relations Authorization Act further authorizes the
Secretary of Commerce to issue regulations regarding imposition of
penalties, both civil and criminal, for the delayed filing, failure to
file, and false filing of export information and/or using the AES to
further any illegal activity. The Act provides for administrative
proceedings for imposition of a civil penalty for violation(s) of
Public Law 107-228. Finally, the Act authorizes the Secretary of
Commerce to designate employees of the Office of Export Enforcement of
the Department of Commerce to perform the enforcement functions in
Title 13, U.S.C., Chapter 9, and delegate to customs officials in the
U.S. Department of Homeland Security authority to enforce these same
provisions.
On October 22, 2003, the Census Bureau published an advanced notice
of proposed rulemaking (ANPR) in the Federal Register (68 FR 60301)
announcing the Census Bureau's intent to propose a rule mandating
electronic filing through the AES of all information on export
shipments where a SED is required and allowing the public to comment on
this subject. The Census Bureau received and responded to two (2) non-
substantive comments to the ANPR. One commenter expressed continued
support for postdeparture filing with mandatory AES filing. The second
commenter was concerned about the ability to file complete export
information prior to exportation under the mandatory filing system.
Specifically, the commenter was concerned that accurate quantity data
would not be available in the time frames required by the revised
regulations. The Census Bureau did not
[[Page 8201]]
change the proposed rule in response to these comments since post-
departure filing remains an option under the proposed rule to allow
approved exporters the option to file export information within ten
working days from the date of exportation.
Program Requirements
To comply with the requirements of Public Law 107-228, the Census
Bureau proposes amending in its entirety the FTSR to specify the
requirements for the mandatory reporting of all export information
through the AES when a SED is required. All future references to the
SED shall be referred to as AES.
The Census Bureau proposes amending the FTSR to include the
following changes:
Rename the FTSR to ``Part 30--Foreign Trade Regulations''
(FTR) to more accurately reflect the scope of the revised regulations
implementing full mandatory AES filing, such as the inclusion of
Department of State requirements and the advanced filing requirement
implemented by CBP.
Remove requirements for filing a paper SED (Option 1),
Form 7525-V, from Title 15, Code of Federal Regulations (CFR), part 30,
so that AES will be the only mode for filing information currently
required by the SED.
Remove requirements for filing the intransit SED, Form
7513, from 15 CFR part 30. Responsibility for Form 7513 was transferred
to the U.S. Department of the Army, U.S. Army Corps of Engineers.
In Sec. 30.2, list types of export transactions outside
the scope of 15 CFR part 30 and thus the FTR. The list of out-of-scope
transactions included in Sec. 30.2 is not all-inclusive, but includes
those types of shipments about which the Census Bureau receives
frequent inquiries on how to report export information. These types of
shipments are to be excluded from EEI filing.
In Sec. 30.2(a)(2), include language specifying the four
optional means for filing EEI of which two methods require the
development of AES software using the Automated Export System Trade
Interface Requirements (AESTIR).
In Sec. 30.3, include language specifying that in
``routed'' transactions, the U.S. principal party in interest (USPPI)
will compile and transmit export information on behalf of the foreign
principal party in interest (FPPI) when authorized by the FPPI. This
language is consistent with the language of Sec. 758.3 of the Export
Administration Regulations and permits the USPPI to act as an agent of
the FPPI upon the written authorization by the FPPI.
In Sec. 30.5, revise the postdeparture (formerly Option
4) approval procedures. Certification and approval requirements for
postdeparture filing of EEI were strengthened to address U.S. national
security concerns and interests. Applications submitted by USPPIs for
postdeparture filing will be subjected to closer scrutiny by the Census
Bureau and other federal government partnership agencies participating
in the AES postdeparture filing review process. Under the proposed
revised postdeparture filing requirements: (1) authorized agents may no
longer apply for postdeparture filing status on behalf of individual
USPPIs. Only USPPIs may apply; (2) USPPIs must demonstrate the ability
to meet AES predeparture filing requirements by filing EEI to the AES
before applying for approval for postdeparture filing; (3) USPPIs must
meet a minimum number of shipments requirement before being authorized
to file postdeparture; and (4) partnership agencies of the U.S.
Government shall determine whether or not a USPPI poses a significant
threat to U.S. national security before granting the applicant
postdeparture filing status.
In Sec. 30.4, specify the time and place-of-filing
requirements for presenting proof of filing citations, postdeparture
filing citations, and/or exemption legends. Specific time and place-of-
filing requirements are included in the FTR in accordance with
provisions of Section 341(a) of Public Law 107-210, the Trade Act of
2002. With the exception of State Department USML shipments under the
control of the International Traffic in Arms Regulations and shipments
approved for postdeparture filing, EEI with the appropriate proof of
filing citations and/or exemption legends is required to be transmitted
to the exporting carrier within specified time frames depending on the
mode of transportation used. For example, transmissions for vessel
cargo shall be provided to the exporting carrier no later than 24 hours
prior to departure of the vessel from the U.S. port where cargo is
laden. Time and place-of-filing requirements for other modes of
transportation also are presented in Sec. 30.4 of the proposed FTR.
Currently, export information, with appropriate proof of filing
citations and/or exemption legends, is only required to be presented to
the exporting carrier prior to exportation.
In Sec. 30.4(b)(1) and Sec. 30.4(b)(3) specify how to
file EEI and acquire an ITN when AES, AESDirect or the participant's
AES is unavailable for filing.
In Sec. 30.6, add language specifying the specific
procedure for reporting the value of goods to the AES when inland
freight and insurance charges are not known at the time of exportation.
When goods are sold at a point other than the port of export, freight,
insurance, and other charges required to move the goods from their U.S.
point of origin to the carrier at the port of export must be added to
the selling price (or cost, if not sold) of the goods. Where the actual
amount of freight, insurance, and other domestic charges are not
available, an estimate of the domestic cost must be made and added to
the cost or selling price of the goods to obtain the value to be
reported to the AES.
In Sec. 30.6, add requirements for transmitting a Routed
Transaction Indicator and a Vehicle Identification Qualifier to the
list of data elements required to be reported to the AES. Both the
Routed Transaction Indicator and the Vehicle Identification Qualifier
indicate the conditions of other data elements reported to the AES. The
Routed Transaction Indicator gives an indication of whether or not the
EEI reported represents a routed export transaction. The Vehicle
Identification Qualifier, when reported, identifies the type of used
vehicle exported.
Remove requirements for the Date of Arrival and the Waiver
of Prior Notice Indicator from the list of data elements required to be
reported to the AES. These data elements were previously required to
overcome disparities in reporting requirements for certain export
shipments sent between the United States and Puerto Rico. With
mandatory AES reporting, the Date of Arrival and Waiver of Prior Notice
Indicator are no longer required, since shipments sent between the
United States and Puerto Rico will no longer be reported differently
than other export shipments.
Reference in subpart B export control and export licensing
issues relevant to 15 CFR part 30. This subpart proposes to add
references to export control and licensing requirements of the
Department of State and other Federal agencies in addition to expanding
those of the Department of Commerce's BIS. General guidelines for
obtaining export control and licensing information also are presented
for use by preparers and filers of EEI. The purpose of this subpart is
to consolidate references to export control issues. No new requirements
are introduced.
In Sec. 30.29, revise the language that describes the
proper manner for reporting cost of repairs and/or alterations to
goods, and the reporting of the value of replacement parts exported.
The previous version of the FTSR did not specifically describe the
manner in
[[Page 8202]]
which these export transactions would be reported. Goods previously
imported for repair and alteration only, and reexported, shall only
include the value for parts and labor. Goods exported as replacement
parts shall only include the value of the replacement part. No new
requirements are specified in Sec. 30.29.
Reference in subpart E carrier and manifest issues
pertaining to provisions relevant to 15 CFR part 30. Carrier and
manifest issues are consolidated in subpart E. Requirements for SEDs
being attached to the manifest are replaced with requirements for proof
of filing citations and/or exemption legends to be shown on the bill of
lading, air waybill, or other commercial loading documents attached to
the manifest. Specific requirements for annotating the bill of lading,
air waybill, or other commercial loading documents are included in
Sec. 30.7, subpart A of part 30.
Reference in subpart F reporting requirements for import
shipments relevant to 15 CFR part 30, including requirements for the
electronic filing of statistical data for shipments imported into FTZs.
Currently, requirements for electronically reporting FTZ admissions are
included in the Census Bureau's ``Automated Foreign Trade Zone
Reporting Program'' manual. Added to subpart F are instructions to
import filers on where to obtain information on reporting import data.
Requirements for information on imports of goods into Guam are excluded
from the FTR since Guam collects its own information on goods entering
and leaving the area.
Create a new subpart H to cover FTR penalty provisions
formerly addressed in Sec. 30.95 of the FTSR. New penalty provisions
referenced in subpart H of this part describe the increase in penalties
imposed for violations from $100 to $1,000 per each day of delinquency,
to a maximum from $1,000 to $10,000 per violation. In addition, the
penalty provisions provide for situations when the filer knowingly
fails to file, files false and/or misleading information and other
violations of the FTR where a civil penalty shall not exceed $10,000
per violation and a criminal penalty shall not exceed $10,000 or
imprisonment for not more than five (5) years, or both, per violation.
Finally, subpart H provides for the enforcement of these penalty
provisions by the Bureau of Industry and Security's Office of Export
Enforcement (OEE) and the Department of Homeland Security's CBP,
Immigration and Customs Enforcement (ICE).
Make other non-substantive revisions including revisions
to language incorporated from the current FTSR, to clarify the intent
of the regulations.
The Departments of State and Homeland Security concur with the
provisions contained in this notice of proposed rulemaking.
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 (SBA) that this rule will not have a significant impact
on a substantial number of small entities. This action would require
that USPPIs or authorized agents in the United States file export
information through the AES for all shipments where a SED is required
under the current FTSR.
The SBA's table of size standards indicates that businesses that
are the USPPI or authorized agent and file export information are
considered small businesses if they employ less than 500 people. Based
on year 2001 data, the Census Bureau estimates that there are 91,000
USPPIs that are considered small entities under the Small Business Act.
Over 90 percent of USPPIs use an authorized agent to file export
documentation. An estimate of the number of authorized agents is not
known.
The Census Bureau anticipates that the new requirement would not
significantly affect the small businesses that must now file through
the AES. It is unlikely that the regulations requiring mandatory use of
the AES to file export information would affect a substantial number of
small entities because more than 90 percent of USPPIs that are
considered small entities use an authorized agent to file export
documentation. Also, while this regulation would likely affect a
substantial number of agents that are small entities it is not likely
that the effect will be significant. The majority of agents require use
of a computer to perform required tasks. These agents are unlikely to
be significantly affected by this new requirement, as they currently
possess the technology and equipment to submit the information through
the AES. The Census Bureau has provided a free Internet-based system,
AESDirect, especially for small businesses to submit their export
information electronically. It would not be necessary for small
businesses to purchase software for this task. For these reasons, if
this proposed rule is adopted, this rule would not have a significant
economic impact on a substantial number of small entities.
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 Office of Management and Budget
(OMB) control number. This rule contains a collection-of-information
subject to the requirements of the PRA (44 U.S.C. 3501 et seq.) and
that has been approved under OMB control number 0607-0152. The
estimated burden hours for filing the SED information through AES and
related documents (e.g., the Letter of Intent (LOI) and AESDirect) are
752,000. In addition, this rule contains a collection of information
that has been approved under OMB control numbers: OMB No. 1651-0022
(Entry Summary--CBP-7501), OMB No. 1651-0027 (Record of Vessel, Foreign
Repair, or Equipment--CBP-226), and OMB No. 1651-0029 (Application for
Foreign Trade Zone Admission and Status Designation--CBP-214). The
public's reporting burden for the collection-of-information
requirements includes the time for reviewing instructions, searching
existing data sources, gathering and maintaining the data needed, and
completing and reviewing the collection-of-information requirements.
List of Subjects in 15 CFR Part 30
Economic statistics, Foreign trade, Exports, Reporting and
recordkeeping requirements.
For the reasons stated in the preamble, the Census Bureau proposes
to revise 15 CFR part 30 to read as follows:
PART 30--FOREIGN TRADE STATISTICS
Subpart A--General Requirements
Sec.
30.1 Purpose and definitions.
30.2 General requirements for filing Electronic Export Information.
30.3 Electronic Export Information filer requirements, parties to
export transactions, and responsibilities of parties to export
transactions.
[[Page 8203]]
30.4 Electronic Export Information filing procedures, deadlines, and
certification statements.
30.5 Electronic Export Information filing application and
certification processes and standards.
30.6 Electronic Export Information data elements.
30.7 Annotating the bill of lading, air waybill, and other
commercial loading documents with the proper proof of filing
citations, approved postdeparture filing citations, downtime filing
citation, and exemption legends.
30.8 Time and place for presenting proof of filing citations,
postdeparture filing citations, downtime filing citation, and
exemption legends.
30.9 Transmitting and correcting Automated Export System
information.
30.10 Authority to require production of documents and retaining
electronic data.
30.11-30.14 [Reserved]
Subpart B--Export Control and Licensing Requirements
30.15 Introduction.
30.16 Export Administration Regulations.
30.17 Customs and Border Protection Regulations.
30.18 Department of State regulations.
30.19 Other federal agency regulations.
30.20-30.24 [Reserved]
Subpart C--Special Provisions and Specific-Type Transactions
30.25 Values for certain types of transactions.
30.26 Reporting of vessels, aircraft, cargo vans, and other carriers
and containers.
30.27 Return of exported cargo to the United States prior to
reaching its final destination.
30.28 ``Split shipments'' by air.
30.29 Reporting of repairs and replacements.
30.30-30.34 [Reserved]
Subpart D--Exemptions from the Requirements for the Filing of
Electronic Export Information
30.35 Procedure for shipments exempt from filing requirements.
30.36 Exemption for shipments destined to Canada.
30.37 Miscellaneous exemptions.
30.38 Exemption from the requirements for reporting complete
commodity information.
30.39 Special exemptions for shipments to the U.S. armed services.
30.40 Special exemptions for certain shipments to U.S. Government
agencies and employees.
30.41-30.44 [Reserved]
Subpart E--General Carrier and Manifest Requirements
30.45 General statement of requirement for the filing of carrier
manifests with proof of filing citations for the electronic
submission of export information or exemption legends when Automated
Export System filing is not required.
30.46 Requirements for the filing of export information by pipeline
carriers.
30.47 Clearance or departure of carriers under bond on incomplete
manifests.
30.48-30.49 [Reserved]
Subpart F--Import Requirements
30.50 General requirements for filing import entries.
30.51 Statistical information required for import entries.
30.52 Foreign Trade Zones.
30.53 Import of goods returned for repair.
30.54 Special provisions for imports from Canada.
30.55 Confidential information, import entries, and withdrawals.
30.56-30.59 [Reserved]
Subpart G--General Administrative Provisions
30.60 Confidentiality of Electronic Export Information.
30.61 Statistical classification schedules.
30.62 Emergency exceptions.
30.63 Office of Management and Budget control numbers assigned
pursuant to the Paperwork Reduction Act.
30.64-30.69 [Reserved]
Subpart H--Penalties
30.70 Violation of the Clean Diamond Trade Act.
30.71 False or fraudulent reporting on or misuse of the Automated
Export System.
30.72 Civil penalty procedures.
30.73 Enforcement.
30.74-30.99 [Reserved]
Appendix A To Part 30--Format for the Letter of Intent, Automated
Export System
Appendix B To Part 30--Sample for Power of Attorney and Written
Authorization
Authority: 5 U.S.C. 301; 13 U.S.C. 301-307; Reorganization plan
No. 5 of 1990 (3 CFR 1949-1953 Comp., 1004); Department of Commerce
Organization Order No. 35-2A, July 22, 1987, as amended; Pub. L.
107-228, September 30, 2002.
Subpart A--General Requirements
Sec. 30.1 Purpose and definitions.
(a) This part sets forth the Foreign Trade Regulations (FTR) as
required under provisions of Title 13, United States Code (U.S.C.),
Chapter 9, Section 301. These regulations are revised pursuant to
provisions of the Foreign Relations Authorization Act, Public Law 107-
228. This Act authorizes the Secretary of Commerce, with the
concurrence of the Secretary of State and the Secretary of Homeland
Security, to publish regulations mandating that all persons who are
required to file export information under Chapter 9 of Title 13,
U.S.C., file such information through the Automated Export System (AES)
for all shipments where a Shipper's Export Declaration (SED) was
previously required. The law further authorizes the Secretary of
Commerce to issue regulations regarding imposition of civil and
criminal penalties for violations of the provisions of these
regulations.
(b) Electronic filing through the AES strengthens the U.S.
Government's ability to prevent the export of certain items by
unauthorized parties to unauthorized destinations and end users because
AES aids in targeting, identifying, and when necessary confiscating
suspicious or illegal shipments prior to exportation.
(c) Definitions used with Electronic Export Information. As used in
this part, the following definitions apply:
AES Applicant. The USPPI or authorized agent who applies to the
Census Bureau for authorization to report information electronically to
the AES, or through AESDirect or its related applications.
AESDirect. A free Internet application supported by the Census
Bureau that allows USPPIs or their agents to transmit EEI to the AES
via the Internet, at http://www.aesdirect.gov.
AES Downtime Filing Citation. A statement used in place of a proof
of filing citation when the AES or the AES participant's computer
system experiences a major failure. The downtime filing citation must
appear on the bill of lading, air waybill, or other commercial loading
documentation.
Air Waybill. The shipping document used for the transportation of
air freight: Includes conditions, limitations of liability, shipping
instructions, description of commodity, and applicable transportation
charges. It is generally similar to a straight non-negotiable bill of
lading and is used for similar purposes.
Alongside. A phrase referring to the side of a ship. Goods to be
delivered ``alongside'' are to be placed on the dock within reach of a
transport ship's tackle so that they can be loaded aboard the ship.
Annotation. An explanatory note (e.g., proof of filing citation,
postdeparture filing citation, AES downtime filing citation, or
exemption legend) placed on the bill of lading, air waybill, or other
loading document.
Authorized Agent. An individual or legal entity domiciled in or
otherwise under the jurisdiction of the United States that has obtained
power of attorney or written authorization from a USPPI or FPPI to act
on its behalf, and for purposes of this part, to complete and file the
EEI.
Automated Broker Interface (ABI). A CBP system through which an
importer or licensed customs broker can electronically file entry and
entry
[[Page 8204]]
summary data on goods imported into the United States.
Automated Export System (AES). The electronic system, including
AESDirect, for collecting Shipper's Export Declaration information (or
any successor document) from persons exporting goods from the United
States, Puerto Rico, or the U.S. Virgin Islands; between Puerto Rico
and the United States; and to the U.S. Virgin Islands from the United
States or Puerto Rico.
Automated Export System Trade Interface Requirements (AESTIR). The
document that describes the operational requirements of the AES. The
AESTIR presents record formats and other reference materials used in
the AES.
Automated Foreign Trade Zone Reporting Program (AFTZRP). The
electronic reporting program used to transmit statistical data on goods
admitted into a FTZ directly to the Census Bureau.
Bill of Lading (BL). A document that establishes the terms of a
contract between a shipper and a transportation company under which
freight is to be moved between specified points for a specified charge.
Usually prepared by the authorized agent on forms issued by the
carrier, it serves as a document of title, a contract of carriage, and
a receipt for goods.
Bond. An instrument used by CBP as a security to ensure the
performance of specific acts, such as the payment of duties and taxes
or the provision of manifest information.
Bonded Warehouse. An approved private warehouse used for the
storage of goods until duties or taxes are paid and the goods are
properly released by CBP. Bonds must be posted by the warehouse
proprietor and by the importer to indemnify the government if the goods
are released improperly.
Booking. A reservation made with a carrier for a shipment on a
specific voyage or flight.
Buyer. The entity who has entered into the export transaction to
purchase the commodities for delivery to the ultimate consignee.
Cargo. Goods being transported.
Carnet. An international customs document permitting the holder to
carry or send goods temporarily into certain foreign countries without
paying duties or posting bonds.
Carrier. An individual or legal entity in the business of
transporting passengers or goods. Airlines, trucking companies,
railroad companies, shipping lines, pipeline companies, non-vessel
operating common carriers, and slot charterers are all examples of
carriers.
Civil Penalty. A monetary penalty imposed on a USPPI or authorized
agent for failing to file export information, filing false or
misleading information, filing information late, and/or using the AES
to further any illegal activity.
Commerce Control List (CCL). A list of all items--commodities,
software, and technical data--that are subject to BIS export controls.
It incorporates not only the national security controlled items agreed
to by the Coordinating Committee on Multilateral Export Controls, but
also items controlled for foreign policy and other reasons.
Commodity. Articles exchanged in trade, and commonly used to refer
to raw materials and bulk-produced agriculture products.
Compliance Alert. A notice sent to the filer by the AES when the
shipment was not reported in accordance with this part (e.g., late
filing). The filer is required to review filing practices and take
steps to conform with export reporting requirements.
Consignee. The person or entity named in a freight contract to whom
goods have been consigned and that has the legal right to claim the
goods at the destination.
Consignment. Delivery of goods from an exporter (the consignor) to
an agent (consignee) under agreement that the agent sells the goods for
the account of the exporter. The consignor retains title to the goods
until sold. The consignee sells the goods for commission and remits the
net proceeds to the consignor.
Container. A uniform, sealed, reusable metal ``box'' in which goods
are shipped by vessel, truck, or rail.
Controlling Agency. The agency responsible for the license
determination on specified goods exported from the United States.
Country of Origin. The country where the goods were mined, grown,
or manufactured or where each foreign material used or incorporated in
a good underwent a change in tariff classification under the applicable
rule of origin for the good. The country of origin for U.S. imports
shall be reported in terms of the International Standards Organization
(ISO) codes designated in the Schedule C, Classification of Country and
Territory Designations.
Country of Ultimate Destination. The country where the goods are to
be consumed, further processed, or manufactured, as known to the
shipper at the time of exportation.
Criminal Penalty. For the purpose of this part, a penalty imposed
for knowingly failing to file export information, filing false or
misleading information, filing information late, and/or using the AES
to further illegal activity. The criminal penalty includes fines,
imprisonment, and/or forfeiture.
Customs Broker. An individual or entity licensed to enter and clear
imported goods through CBP for another individual or entity.
Destination. The foreign place to which a shipment is consigned.
Distributor. An agent who sells directly for a supplier and
maintains an inventory of the supplier's products.
Domestic Exports. Commodities that are grown, produced, or
manufactured in the United States, and commodities of foreign origin
that have been changed in the United States, including changes made in
a U.S. FTZ, from the form in which they were imported, or that have
been enhanced in value by further manufacture in the United States.
Domicile. A place of permanent residence or business.
Drayage. The charge made for hauling freight, carts, drays or
trucks.
Dun & Bradstreet Number (DUNS). The DUNS Number is a unique 9-digit
identification sequence that provides identifiers to single business
entities while linking corporate family structures together.
Dunnage. Materials placed around cargo to prevent shifting or
damage while in transit.
Duty. A charge imposed on the import of goods. Duties are generally
based on the value of the goods (ad valorem duties), some other factor
such as weight or quantity (specific duties), or a combination of value
and other factors (compound duties).
Electronic Export Information (EEI). The electronic equivalent of
the export data formerly collected on the Shipper's Export Declaration
(SED) now mandated to be filed through the AES or AESDirect.
Employer Identification Number (EIN). The USPPI's Internal Revenue
Service Employer Identification Number is the 9-digit numerical code as
reported on the Employer's Quarterly Federal Tax Return, Treasury Form
941.
End-User. The person abroad that receives and ultimately uses the
exported or reexported items. The end-user is not an authorized agent
or intermediary, but may be the purchaser or ultimate consignee.
Enhancement. A change or modification to goods that increases their
value.
Entry Number. Consists of a three-position entry filer code and a
seven-position transaction code, plus a check digit assigned by the
entry filer as a tracking number for goods entered into the United
States.
Equipment Number. The identification number for shipping
[[Page 8205]]
equipment, such as container or igloo number, truck license number or
rail car number.
Exception. A determination by BIS that releases the USPPI or the
authorized agent from the necessity to apply for a license from the
agency.
Exemption. A specific reason as cited within this part that
eliminates the requirement for filing EEI.
Exemption Legend. A notation placed on the bill of lading, air
waybill, or other commercial loading document that describes the basis
for not filing EEI for an export transaction. The exemption legend
shall reference the number of the section or provision in this part
where the particular exemption is provided (for example, Sec. 30.38).
Export. To send or transport goods out of a country for consumption
in another country.
Export Control. The establishment of procedures for the
governmental control of exports for statistical or strategic purposes.
Export Control Classification Number (ECCN). Formerly Export
Commodity Classification Number within the CCL. Every product on the
CCL has an ECCN consisting of a five-character number that identifies
categories, product groups, strategic level of control, and country
groups.
Export License. A controlling agency document authorizing export of
particular goods in specific quantities or values to a particular
destination. Issuing agencies include but are not limited to: The U.S.
State Department, Bureau of Industry and Security, and Bureau of
Alcohol, Tobacco, and Firearms.
Export Statistics. Export statistics measure the quantity or value
of goods (except for shipments to U.S. military forces overseas) moving
out of the United States to foreign countries, whether such goods are
exported from within the Customs territory of the United States, a CBP
bonded warehouse, or a U.S. FTZ.
Export Value. The estimated worth of goods at the port of export;
for example, the selling price or the cost (if the goods are not sold)
including inland or domestic freight, insurance, and other charges to
the U.S. port of export.
Fatal Error Message. A notice sent to the filer by the AES when
invalid data or a critical condition has been encountered and the EEI
has been rejected. The filer is required to immediately address the
problem, correct the data, and retransmit the EEI.
Foreign Exports. Commodities of foreign origin that have entered
the United States for consumption, for entry into a CBP bonded
warehouse or U.S. FTZ, and which, at the time of exportation, are in
substantially the same condition as when imported.
Foreign Principal Party in Interest (FPPI). The party shown on the
transportation document to whom final delivery or end-use of the goods
will be made. If the FPPI is in the United States when the goods are
purchased or obtained for export, it must be shown as the USPPI. If an
individual representing the foreign entity does not possess an EIN or
SSN, their passport number, border crossing card number, or other
official document number must be shown in the USPPI field of the EEI.
Foreign Trade Zone (FTZ). Special commercial and industrial areas
in or near ports of entry where foreign and domestic goods, including
raw materials, components, and finished goods, may be brought in
without being subject to payment of customs duties. Goods brought into
these zones may be stored, sold, exhibited, repacked, assembled,
sorted, graded, cleaned, or otherwise manipulated prior to reexport or
entry into the country's customs territory.
Forwarding Agent. The person in the United States who is authorized
by the principal party in interest to move the cargo from the United
States to the foreign destination and/or prepare and file the required
documentation.
Goods. Merchandise, supplies, raw materials, and products.
Harmonized System. A method of classifying goods in international
trade developed by the Customs Cooperation Council (now the World
Customs Organization).
Harmonized Tariff Schedule (HTS). An organized listing of goods and
their duty rates, developed by the U.S. International Trade Commission,
that is used by CBP as the basis for classifying imported products,
including establishing the duty to be charged and providing statistical
information about imports and exports.
Imports. All goods physically moving into the United States,
including:
(1) Commodities of foreign origin and
(2) Goods of domestic origin returned to the United States with no
change in condition, or after having been processed and/or assembled in
other countries.
Inbond. A procedure established by CBP under which goods are
transported or warehoused under CBP supervision until the goods are
either formally entered into the customs territory of the United States
and duties paid, or until they are exported from the United States. The
procedure is so named because the cargo moves under the carrier's bond
(financial liability assured by the carrier) from the gateway seaport
or airport and remains ``in bond'' until CBP releases the cargo at the
inland Customs point or at the port of export.
Inland Freight. The cost to ship commodities between domestic ports
and points inland by rail, air, road, or water, other than baggage,
express mail, or regular mail.
Intermediate Consignee. The person or entity in the foreign country
who acts as an agent for a principal party in interest with the purpose
of effecting delivery of items to the ultimate consignee. The
intermediate consignee may be a bank, forwarding agent, or other person
who acts as an agent for a principal party in interest.
Internal Transaction Number (ITN). The system generated number
assigned to a shipment confirming that the AES transmission was
accepted and is on file in AES.
Interplant Correspondence. Records or documents from a U.S. firm to
its subsidiary or affiliate, whether in the United States or overseas.
Intransit. Goods shipped through the United States, Puerto Rico, or
the U.S. Virgin Islands from one foreign country or area to another
foreign country or area without entering the consumption channels of
the United States.
ISO Country Codes. The 2-position alphabetic International
Standards Organization code for countries.
Letter of Intent (LOI). A written statement of an individual or a
company's desire to participate in the AES. It sets forth a commitment
to develop, maintain, and adhere to CBP and Census Bureau performance
requirements and operational standards.
License Applicant. The person who applies for an export or reexport
license for agency-controlled commodities. (For example, obtaining a
license for goods that are listed on the CCL.)
Loading Document. A document that establishes the terms of a
contract between a shipper and a transportation company under which
freight is to be moved between points for a specific charge. It is
usually prepared by the shipper and actuated by the carrier and serves
as a document of title, a contract of carriage, and a receipt for
goods. For example, the air waybill, inland bill of lading, ocean bill
of lading, and through bill of lading are all loading documents.
Manifest. A document listing and describing the cargo contents of a
carrier, container, or warehouse. Carriers required to file manifests
with the CBP Port Director must include a proof of filing citation, AES
downtime filing citation, postdeparture filing citation, or exemption
legend for all cargo being transported.
[[Page 8206]]
Merchandise. See commodity or goods.
Mode of Transportation. The method by which goods arrive in or are
exported from the United States by way of seaports, airports, or land
border crossing points. Modes of transportation include vessel, air,
truck, rail, or other. When goods are transshipped across land borders,
the mode of transportation to be reported is that by which the goods
enter or depart from the United States.
North American Free Trade Agreement (NAFTA). A formal agreement, or
treaty, between Canada, Mexico, and the United States to promote trade
amongst the three countries. It includes measures for the elimination
of tariffs and non-tariff barriers to trade, as well as numerous
specific provisions concerning the conduct of trade and investment.
Order Party. The person in the United States that conducts the
direct negotiations or correspondence with the foreign purchaser or
ultimate consignee and who, as a result of these negotiations, receives
the order from the foreign purchaser or ultimate consignee. If a U.S.
order party directly arranges for the sale and export of goods to a
foreign entity, the U.S. order party shall be listed as the USPPI in
the EEI.
Packing List. A list showing the number and kinds of items being
shipped as well as other information needed for transportation
purposes.
Partnership Agencies. U.S. Government agencies that have
statistical and analytical reporting and/or monitoring and enforcement
responsibilities related to AES postdeparture filing privileges.
Party Type. Identifies whether the Party ID is an EIN, SSN, DUNS,
or Foreign Entity reported to the AES, for example, E=EIN, S=SSN,
D=DUNS, T=Foreign Entity.
Person. In legal usage, any natural person, corporation or other
entity, domestic or foreign.
Port of Export. The seaport of CBP airport where the goods are
loaded on the exporting carrier that is taking the goods out of the
United States, or the port where exports by overland transportation
cross the U.S. border into foreign territory. In the case of an export
by mail, it includes the place of mailing.
Postdeparture Filing. The privilege granted to approved USPPIs to
file commodity data up to 10 calendar days after the date of export.
Postdeparture Filing Citation. A notation placed on the bill of
lading, air waybill, or other commercial loading document from an
approved USPPI that states that the EEI will be filed after departure
of the carrier.
Power of Attorney. A legal authorization from a USPPI or FPPI
stating that the agent has authority to act as its true and lawful
agent for purposes of preparing and filing the EEI in accordance with
the laws and regulations of the United States.
Primary Benefit. Receiving the greatest satisfaction from an export
trade negotiation; usually monetary.
Principal Parties in Interest. Those persons in a transaction that
receive the primary benefit, monetary or otherwise, from the
transaction. Generally, the principals in a transaction are the seller
and the buyer. In most cases, the forwarding or other agent is not a
principal party in interest.
Proof of Filing Citation. A notation placed on the bill of lading,
air waybill, or other commercial loading document, usually for carrier
use, that provides evidence that export information has been filed and
accepted as transmitted through the AES.
Reexport. For statistical purposes: exports of foreign-origin goods
that have previously entered the United States or Puerto Rico for
consumption, entry into a CBP bonded warehouse, or a U.S. FTZ, and at
the time of exportation, have undergone no change in form or condition
or enhancement in value by further manufacture in the United States,
Puerto Rico, the U.S. Virgin Islands, or U.S. FTZs. For the purpose of
goods subject to export controls (e.g., U.S. Munitions List (USML)
articles): the shipment of U.S.-origin products from one foreign
destination to another.
Related Party Transaction. A transaction involving trade between a
USPPI and ultimate consignee in which one exercises at least 10 percent
of interest or more (voting securities) in both.
Remission. The cancellation or release from a penalty, including
fines, imprisonment, and/or forfeiture, under this part.
Retention. The necessary act of keeping all documentation
pertaining to an export transaction for a period of at least five years
for an EEI filing, or a time frame designated by the controlling agency
for licensed shipments.
Routed Export Transaction. A transaction where the FPPI authorizes
a U.S. agent to facilitate export of items from the United States on
its behalf.
Schedule B. The Statistical Classification of Domestic and Foreign
Commodities Exported from the United States. These 10-digit commodity
classification numbers are administered by the Census Bureau and cover
everything from live animals and food products to computers and
airplanes. It should also be noted that all import and export codes
used by the United States are based on the Harmonized Tariff System.
(See HTS.)
Schedule C. The Classification of Country and Territory
Designations. The Schedule C provides a list of country of origin
codes. The country of origin is reported in terms of International
Standards Organization codes.
Schedule D. The classification of CBP ports. The Schedule D
provides a list of CBP ports and the corresponding numeric codes used
in compiling U.S. foreign trade statistics.
Schedule K. The Classification of Foreign Ports by Geographic Trade
Area and Country. The Schedule K lists the major seaports of the world
that directly handle waterborne shipments in the foreign trade of the
United States, and includes numeric codes to identify these ports. This
schedule is maintained by the Army Corps of Engineers.
Seller. The party, usually the manufacturer, producer, wholesaler,
or distributor of the goods, that receives the monetary benefit of the
export transaction (price) or other consideration for the exported
goods.
Shipment. Unless as otherwise provided, all goods being sent from
one exporter to one consignee in a single country of destination on a
single conveyance.
Shipment Reference Number. A unique identification number assigned
by the EEI filer for reference purposes. This number must remain unique
for a period of five years.
Shipping Weight. The total weight of a shipment in kilograms
including goods and packaging.
Split Shipment. A shipment booked for export on one aircraft but
split by the carrier and sent on two or more aircraft of the same
carrier.
Subzone. A special purpose foreign trade zone established as part
of a foreign trade zone project with a limited purpose that cannot be
accommodated within an existing zone. Subzones are often established to
serve the needs of a specific company and may be located within an
existing facility of the company.
Tariff Schedule. A comprehensive list or schedule of goods with
applicable duty rates to be paid or charged for each listed article as
it enters or leaves a country.
Transportation Reference Number. A reservation number assigned by
the carrier to hold space on the carrier for cargo being shipped. It is
the booking number for vessel shipments and the master air waybill
number for air shipments.
[[Page 8207]]
U.S. Principal Party In Interest (USPPI). The person or legal
entity in the United States that receives the primary benefit, monetary
or otherwise, of the export transaction. Generally, that person or
entity is the U.S. seller, manufacturer, or order party, or the foreign
entity while in the United States when purchasing or obtaining the
goods for export.
Ultimate Consignee. The person located abroad who is the true
principal party in interest, receiving the export or reexport for the
designated end use. (See also End-User.)
Unlading. The physical removal of cargo from an aircraft, truck or
vessel.
Vehicle Identification Number (VIN). A number used for the
identification of a self-propelled vehicle.
Verify Message. A notice sent to the filer by the AES when an
unlikely condition is found. The data may or may not be correct, and
the filer is required to transmit a correction, if warranted, within
four calendar days.
Warning Message. A notice sent to the filer by the AES when certain
incomplete and conflicting data reporting conditions are encountered.
AES accepts the information filed to facilitate the trade. The filer is
required to transmit a correction to the commodity data within four
calendar days. If left uncorrected, AES will periodically generate and
transmit a ``warning reminder'' message back to the filer until the
data have been corrected.
Wholesaler/Distributor. An agent who sells directly for a supplier
and maintains an inventory of the supplier's products.
Written Authorization. A written consent by the USPPI or FPPI
stating that the agent has authority to act as its true and lawful
agent for purposes of preparing and filing the EEI in accordance with
the laws and regulations of the United States.
Zone Admission Number. A unique and sequential number assigned by a
FTZ operator or user to shipments admitted to a zone.
Sec. 30.2 General requirements for filing Electronic Export
Information.
(a) Filing requirements--(1) The AES is the electronic system for
collecting SED (or any successor document) information from persons
exporting goods from the United States, Puerto Rico, Foreign Trade
Zones (FTZs) located in the United States or Puerto Rico, the U.S.
Virgin Islands, between Puerto Rico and the United States, and to the
U.S. Virgin Islands from the United States or Puerto Rico. References
to the AES also shall apply to AESDirect unless otherwise specified.
For purposes of the regulations in this part, SED information shall be
referred to as Electronic Export Information (EEI). Electronic Export
Information shall be filed through the AES by the U.S. principal party
in interest (USPPI), the USPPI's authorized agent, or the authorized
U.S. agent of the foreign principal party in interest (FPPI) for
exports of physical goods, including shipments moving pursuant to
orders received over the Internet. Exceptions, exclusions, and
exemptions to this requirement are provided for in paragraphs
(a)(1)(iv) and (d) of this section and subpart D of this part. Filing
through the AES shall be done in accordance with the definitions,
specifications, and requirements of the regulations in this part for
all export shipments, except as specifically excluded in Sec. 30.2(d)
or exempted in subpart D, when shipped as follows:
(i) To foreign countries or areas, including free (foreign trade)
zones located therein (see Sec. 30.36 for exemptions for shipments
from the United States to Canada), from any of the following:
(A) The United States, including the 50 states and the District of
Columbia.
(B) Puerto Rico.
(C) FTZs located in the United States or Puerto Rico.
(D) The U.S. Virgin Islands.
(ii) Between any of the following non-foreign areas:
(A) To Puerto Rico from the United States.
(B) To the United States from Puerto Rico.
(C) To the U.S. Virgin Islands from the United States or Puerto
Rico.
(iii) Electronic export information shall be filed for goods moving
as described in paragraphs (a)(1)(i) and (ii) of this section by any
mode of transportation. (Instructions for filing EEI for vessels,
aircraft, railway cars, and other carriers when sold while outside the
areas described in paragraphs (a)(1)(i) and (ii) are covered in Sec.
30.26.)
(iv) Notwithstanding exemptions in subpart D, EEI shall be filed
for the following types of export shipments, regardless of value:
(A) Destined for countries subject to the Department of Treasury
export licensing under the Office of Foreign Assets Control (OFAC)
regulations (31 CFR parts 500 through 599).
(B) Requiring a Department of Commerce, Bureau of Industry and
Security (BIS) license (15 CFR parts 730 through 774).
(C) Requiring a Department of State, Directorate of Defense Trade
Controls (DDTC) export license under the International Traffic in
Arms Regulations (ITAR) (22 CFR parts 120 through 130).
(D) Subject to the ITAR but exempt from license requirements.
(E) Requiring a Department of Justice, Drug Enforcement
Administration (DEA) export permit (21 CFR part 1312).
(F) Requiring an export license issued by any other federal
government agency.
(G) Classified as rough diamonds under 6-digit Harmonized System
subheadings 7102.10, 7102.21, and 7102.31.
(2) Filing methods. The USPPI has four optional means for filing
EEI: use AESDirect; develop AES software using the AESTIR; purchase
software developed by certified vendors using the AESTIR; or use an
authorized agent.
(b) General requirements--(1) Electronic Export Information shall
be filed prior to exportation unless the USPPI has been authorized to
submit export data on a postdeparture basis (See Sec. 30.5(c)).
Shipments requiring a license or license exemption may be filed
postdeparture only when the appropriate licensing agency has granted
the USPPI authorization.
(2) Specific data elements required for EEI filing are contained in
Sec. 30.6.
(3) The AES downtime procedures provide uniform instructions for
processing export transactions when the AES, AESDirect or the computer
system of an AES participant is unavailable for transmission. (See
Sec. 30.4(b)(1) and Sec. 30.4(b)(3).)
(4) Instructions for particular types of transactions and
exemptions from these requirements are found in subparts C and D of
this part.
(5) Electronic Export Information is required to be presented to
CBP prior to export for commodities being exported by vessel going
directly to the countries identified in 19 CFR 4.75(c) and by aircraft
going directly or indirectly to those countries (See 19 CFR
122.74(b)(2)).
(c) Certification and filing requirements. Filers of EEI shall be
required to meet application, certification, and filing requirements
before being approved to submit export data through the AES or
AESDirect. Steps leading toward approval for the AES or the AESDirect
filing include the following processes: (See Sec. 30.5 for specific
application, certification, and filing standards applicable to AES and
AESDirect submissions.)
(1) Submission of a Letter of Intent for AES filing or submission
of an online registration for filing through AESDirect.
[[Page 8208]]
(2) Successful completion of certification testing for AES or for
AESDirect filing.
(d) Exclusions from filing EEI. The following types of transactions
are outside the scope of this part and shall be excluded from EEI
filing:
(1) Goods shipped under CBP bond through the United States, Puerto
Rico, or the U.S. Virgin Islands from one foreign country or area to
another where such goods do not enter the consumption channels of the
United States. Shipments under CBP bond leaving the United States by
vessel may require the filing of Form 7513, Shipper's Export
Declaration for In-transit Goods.
(2) Goods shipped from the U.S. possessions of Guam Island,
American Samoa, Wake Island, Midway Island, Northern Mariana Islands,
and Canton and Enderbury Islands to foreign countries or areas, and
goods shipped between the United States and these possessions when an
export license or license exemption is not required. As per this
section, EEI is required for shipments between the United States and
Puerto Rico, or from the United States or Puerto Rico to the U.S.
Virgin Islands. (See subpart B of this part for filing requirements for
export control purposes.)
(3) Electronic transmissions and intangible transfers. (See subpart
B for export control requirements for these types of transactions.)
(4) Goods shipped to Guantanamo Bay Naval Base in Cuba from the
United States, Puerto Rico, or the U.S. Virgin Islands and from
Guantanamo Bay Naval Base to the United States, Puerto Rico, or the
U.S. Virgin Islands. (See Sec. 30.39 for filing requirements for
shipments exported by the U.S. armed services.)
(e) Penalties. Failure of the USPPI, the authorized agent of either
the USPPI or the FPPI, the exporting carrier, or any other person
subject thereto to comply with any of the requirements of the
regulations in this part renders such persons subject to the penalties
provided for in subpart H of this part.
Sec. 30.3 Electronic Export Information filer requirements, parties
to export transactions, and responsibilities of parties to export
transactions.
(a) General requirements. The filer of EEI for export transactions
is either the USPPI, its authorized agent, or the authorized U.S. agent
of the FPPI. Export data provided to the AES shall be complete,
correct, and based on personal knowledge of the facts stated or on
information furnished by the parties to the export transaction. The
filer shall be physically located in the United States at the time of
filing, have an Employer Identification Number (EIN) or social security
number (SSN), and be certified to report in the AES. The filer is
responsible for the truth, accuracy, and completeness of the EEI,
except insofar as that party can demonstrate that he or she reasonably
relied on information furnished by other responsible persons
participating in the transaction. All parties involved in export
transactions, including U.S. authorized agents, should be aware that
invoices and other commercial documents may not necessarily contain all
the information needed to prepare the EEI. The parties shall ensure
that all information needed for reporting to the AES, including correct
export licensing information, is provided to the authorized agent for
the purpose of correctly preparing the EEI.
(b) Parties to the export transaction--(1) Principal parties in
interest. Those persons in a transaction that receive the primary
benefit, monetary or otherwise, are considered principal parties to the
transaction. Generally, the principals in a transaction are the seller
and buyer.
(2) USPPI. For purposes of filing EEI, the USPPI is the person or
legal entity in the United States that receives the primary benefit,
monetary or otherwise, from the transaction. Generally, that person or
entity is the U.S. seller, manufacturer, order party, or foreign entity
purchasing or obtaining goods for export. The foreign entity shall be
listed as the USPPI if it is in the United States when the items are
purchased or obtained for export. The foreign entity shall then follow
the provisions for filing the EEI specified in Sec. 30.3 and Sec.
30.6 pertaining to the USPPI.
(i) If a U.S. manufacturer sells goods directly to an entity in a
foreign area, the U.S. manufacturer shall be listed as the USPPI in the
EEI.
(ii) If a U.S. manufacturer sells goods, as a domestic sale, to a
U.S. buyer (wholesaler/distributor) and that U.S. buyer sells the goods
for export to a FPPI, the U.S. buyer (wholesaler/distributor) shall be
listed as the USPPI in the EEI.
(iii) If a U.S. order party directly arranges for the sale and
export of goods to a foreign entity, the U.S. order party shall be
listed as the USPPI in the EEI.
(iv) If goods are temporarily imported into the United States for
reexport within one year (e.g., carnets), the authorized agent entering
the goods may be listed as the USPPI in the EEI.
(v) If a customs broker is listed as the importer of record when
entering goods into the United States for immediate consumption or
warehousing entry, the customs broker may be listed as the USPPI in the
EEI if the goods are subsequently exported without change or
enhancement.
(3) Authorized agent. The agent shall be authorized by the USPPI
or, in the case of a routed export transaction, the FPPI to prepare and
file the EEI. In a routed export transaction, the authorized agent can
be the ``exporter'' for export control purposes as defined in 15 CFR
772.1 of the U.S. Department of Commerce Export Administration
Regulations (EAR). However, the authorized agent shall not be shown as
the USPPI in the EEI unless the agent acts as a USPPI in the export
transaction as defined in paragraphs (b)(2)(iii), (iv), and (v) of this
section.
(c) General responsibilities of parties in export transactions--(1)
USPPI responsibilities. (i) The USPPI can prepare and file the EEI
itself, or it can authorize an agent to prepare and file the EEI on its
behalf. If the USPPI prepares the EEI itself, the USPPI is responsible
for the accuracy and timely transmission of all the export information
reported to the AES.
(ii) When the USPPI authorizes an agent to file the EEI on its
behalf, the USPPI is responsible for:
(A) Providing the authorized agent with accurate export information
necessary to file the EEI.
(B) Providing the authorized agent with a power of attorney or
written authorization to file the EEI (see paragraph (f) of this
section for written authorization requirements for agents).
(C) Maintaining documentation to support the information provided
to the authorized agent for filing the EEI, as specified in Sec.
30.10.
(2) Authorized agent responsibilities. The agent, when authorized
by a USPPI to prepare and file the EEI for an export transaction, is
responsible for performing the following activities:
(i) Accurately preparing and filing the EEI based on information
received from the USPPI and other parties involved in the transaction.
(ii) Obtaining a power of attorney or written authorization to
complete the EEI.
(iii) Maintaining documentation to support the information reported
to the AES, as specified in Sec. 30.10.
(iv) Upon request, providing the USPPI with a copy of the export
information filed in the manner prescribed by the USPPI.
(d) Filer responsibilities. Responsibilities of USPPIs and
authorized agents filing EEI are as follows:
(1) Transmitting complete and accurate information (see Sec. 30.4
for a
[[Page 8209]]
delineation of filing responsibilities of USPPIs and authorized
agents).
(2) Transmitting information in a timely manner in accordance with
the provisions and requirements contained in this part.
(3) Responding to fatal errors, warning, verify and reminder
messages, and compliance alerts generated by the AES in accordance with
provisions and requirements contained in this part.
(4) Providing the exporting carrier with the required proof of
filing citations or exemption legends in accordance with provisions
contained in this part.
(5) Promptly transmitting corrections or cancellations to EEI in
accordance with provisions contained in Sec. 30.9.
(6) Maintaining all necessary and proper documentation related to
EEI transactions in accordance with provisions contained in this part
(see Sec. 30.10 for specific requirements for maintaining and
producing documentation for export shipments).
(e) Responsibilities of parties in a routed export transaction. The
Census Bureau recognizes ``routed export transactions'' as a subset of
export transactions. A routed export transaction is one in which the
FPPI authorizes a U.S. agent to facilitate the export of items from the
United States and to prepare and file EEI.
(1) USPPI responsibilities. In a routed export transaction, the
FPPI may authorize or agree to allow the USPPI to prepare and file the
EEI or authorize an agent to file the EEI on its behalf. If the USPPI
prepares and files the EEI, it shall maintain documentation to support
the EEI filed. If the FPPI authorizes an agent to prepare and file the
EEI, the USPPI shall maintain documentation to support the information
provided to the agent for preparing the EEI as specified in Sec. 30.10
and provide the agent with the following information to assist in
preparing the EEI:
(i) Name and address of the USPPI.
(ii) USPPI's EIN or SSN.
(iii) Point of origin (State or FTZ).
(iv) Commercial description of commodities.
(v) Origin of goods indicator: Domestic (D) or foreign (F).
(vi) Schedule B/Harmonized Tariff Schedule (HTS) Classification
Commodity Code.
(vii) Quantity/unit of measure.
(viii) Value.
(ix) Upon request from the FPPI or its agent, the Export Control
Classification Number (ECCN) or sufficient technical information to
determine the ECCN.
(x) All licensing information necessary to file the EEI for
commodities where the Department of State, the Department of Commerce,
or other U.S. Government agency issues a license for the commodities
being exported, or the merchandise is being exported under a license
exemption.
(xi) Any information that it knows will affect the determination of
license authorization (see subpart B of this part for additional
information on licensing requirements).
(2) Authorized agent responsibilities. In a routed export
transaction, the authorized agent is responsible for obtaining a power
of attorney or written authorization from the FPPI to prepare and file
the EEI on its behalf; preparing and filing the EEI based on
information obtained from the USPPI or other parties involved in the
transaction; maintaining documentation to support the EEI reported to
the AES; and upon request by the USPPI, verifying that the information
provided by the USPPI was accurately reported to the AES. The
authorized agent also shall provide the following export information to
the AES:
(i) Date of export.
(ii) Transportation Reference Number.
(iii) Ultimate consignee.
(iv) Intermediate consignee, if applicable.
(v) Authorized agent name and address.
(vi) EIN, SSN or DUNS number of the authorized agent.
(vii) Country of ultimate destination.
(viii) Mode of transportation.
(ix) Carrier identification and conveyance name.
(x) Port of export.
(xi) Foreign port of unloading.
(xii) Shipping weight.
(xiii) ECCN.
(xiv) License or license exemption information.
(f) Authorizing an agent. In a power of attorney or other written
authorization, authority is conferred upon an agent to perform certain
specified acts or kinds of acts on behalf of a principal (see 15 CFR
758.1(h)). In cases where an authorized agent is filing EEI to the AES,
the agent shall obtain a power of attorney or written authorization
from a principal party in interest to file the information on its
behalf. A power of attorney or written authorization should specify the
responsibilities of the parties with particularity and should state
that the agent has authority to act on behalf of a principal party in
interest as its true and lawful agent for purposes of creating and
filing EEI in accordance with the laws and regulations of the United
States.
Sec. 30.4 Electronic Export Information filing procedures, deadlines,
and certification statements.
Two electronic filing options (predeparture and postdeparture) for
transmitting EEI are available to the USPPI or authorized agent. The
electronic postdeparture filing takes into account that complete
information concerning export shipments may not always be available
prior to exportation and accommodates these circumstances by providing,
when authorized, for filing of EEI after departure. For example, for
exports of seasonal and agricultural commodities, only estimated
quantities, values, and consignees may be known prior to exportation.
The procedures for obtaining certification as an AES filer and for
applying for authorization to file on a postdeparture basis are
described in Sec. 30.5.
(a) EEI transmitted predeparture. The EEI shall always be
transmitted prior to departure to AES for the following types of
shipments:
(1) Used self-propelled vehicles (except those shipped between the
United States and Puerto Rico) as defined in 19 CFR 192.1;
(2) Essential and precursor chemicals requiring a permit from the
DEA;
(3) Shipments defined as ``sensitive'' by Executive Order;
(4) Shipments where a U.S. Government agency requires predeparture
filing;
(5) Shipments defined as ``routed export transactions'' (see Sec.
30.1(c) for a list of definitions that apply to this part);
(6) Shipments to countries where complete outbound manifests are
required prior to clearing vessels or aircraft for export (see 19 CFR
4.75(c) and 122.74(b)(2) for a listing of these countries);
(7) Items identified on the U.S. Munitions List (USML) of the ITAR
(22 CFR part 121);
(8) Exports that require a license from the BIS, unless the BIS has
approved postdeparture filing privileges for the USPPI;
(9) Shipments of rough diamonds classified under Harmonized System
subheadings 7102.10, 7102.21, and 7102.31 and exported (reexported) in
accordance with the Kimberley Process; and
(10) Shipments for which the USPPI has not been approved for
postdeparture filing.
(b) Filing deadlines for EEI transmitted predeparture. The USPPI or
the authorized agent shall file the required EEI and have received the
AES Internal Transaction Number (ITN) no
[[Page 8210]]
later than the time period specified as follows:
(1) For State Department USML shipments, refer to the ITAR (22 CFR
parts 120 through 130) for specific requirements concerning
predeparture filing time frames. In addition, if a filer is unable to
acquire an ITN because AES is not operating, the filer shall not export
until AES is operating and an ITN is acquired.
(2) For non-USML shipments, file the EEI and transmit the ITN as
follows:
(i) For vessel cargo, the USPPI or the authorized agent shall file
the EEI required by Sec. 30.6 and provide the AES ITN to the exporting
carrier no later than 24 hours prior to the departure of the vessel
from the U.S. port where the cargo is laden.
(ii) For air cargo, including cargo being transported by Air
Express Couriers, the USPPI or the authorized agent shall file the EEI
required by Sec. 30.6 and provide the AES ITN to the exporting carrier
no later than two (2) hours prior to the scheduled departure time of
the aircraft.
(iii) For truck cargo, including cargo departing by Express
Consignment Couriers, the USPPI or the authorized agent shall file the
EEI required by Sec. 30.6 and provide the AES ITN to the exporting
carrier no later than one (1) hour prior to the arrival of the truck at
the United States border to go foreign.
(iv) For rail cargo, the USPPI or the authorized agent shall file
the EEI required by Sec. 30.6 and provide the AES ITN to the exporting
carrier no later than two (2) hours prior to the time the train arrives
at the U.S. border to go foreign.
(v) For mail and cargo shipped by other methods, except pipeline,
the USPPI or the authorized agent shall file the EEI required by Sec.
30.6 and provide the AES ITN to the exporting carrier no later than two
(2) hours prior to exportation. (See Sec. 30.4(d) for filing deadlines
for shipments sent by pipeline.)
(vi) For all other modes, the USPPI or the authorized agent shall
file the required EEI no later than two (2) hours prior to exportation.
(3) For non-USML shipments when the AES is unavailable, use the
following instructions:
(i) If the participant's AES is unavailable, the filer must delay
the export of the goods or find an alternative filing method;
(ii) If AES or AESDirect is unavailable, the goods may be exported
and the filer must:
(A) Provide the appropriate proof of filing citation as described
in Sec. 30.7(b)(4); and
(B) Report the EEI at the first opportunity AES is available.
(c) EEI transmitted postdeparture. Postdeparture filing is only
available for approved USPPIs and provides for the electronic filing of
the data elements required by Sec. 30.6 no later than ten (10)
calendar days from the date of exportation. For USPPIs approved for
postdeparture filing, all shipments (other than those for which
predeparture filing is specifically required), by all methods of
transportation, may be exported with the filing of EEI made
postdeparture. Certified AES authorized agents or service centers may
transmit information postdeparture on behalf of USPPIs approved for
postdeparture filing, or the approved USPPI may transmit the data
postdeparture itself. However, authorized agents or service centers
will not be approved for postdeparture filing.
(d) Pipeline. The operator of a pipeline may transport goods to a
foreign country without the prior filing of the proof of filing
citation, on the condition that within four (4) days following the end
of each calendar month the operator shall file on the AES and will
deliver to the CBP Port Director the proof of filing citation covering
all exportations through the pipeline to each consignee during the
month.
(e) Proof of filing citation or exemption legend. The USPPI or the
authorized agent shall provide the exporting carrier with the AES proof
of filing citation or exemption legend as described in Sec. 30.7.
Sec. 30.5 Electronic Export Information filing application and
certification processes and standards.
Prior to filing EEI, the USPPI or the authorized agent shall be
certified to file on the AES. A service center shall be certified to
transmit electronically to the AES. The USPPI, authorized agent, or
service center may use a software package designed by a certified
vendor to file EEI to the AES. Once an authorized agent has
successfully completed the certification process, any USPPI using that
agent does not have to be certified. The certified authorized agent
shall have a properly executed power of attorney, a written
authorization from the USPPI or FPPI, and be domiciled in the United
States to file EEI to the AES. The USPPI or authorized agent that
utilizes a certified software vender or service center shall complete
certification testing. Service centers may only transmit export
information; they may not prepare and file export information unless
they have authorization from the USPPI in the form of a power of
attorney or written authorization, thus making them authorized agents.
The USPPI seeking approval for postdeparture filing privileges shall be
approved before they or their authorized agent may file on a
postdeparture basis.
(a) AES application process--(1) AES Letter of Intent. The first
requirement for all participation in AES, including approval for
postdeparture filing privileges, is to submit a complete and accurate
Letter of Intent to the Census Bureau. The Letter of Intent is a
written statement of a company's desire to participate in AES. It shall
set forth a commitment to develop, maintain, and adhere to CBP and
Census Bureau performance requirements and operations standards. The
format and content for the Letter of Intent are provided in Appendix A
of this part.
(2) AESDirect registration. U.S. principal parties in interest
desiring to file though AESDirect shall complete the online AESDirect
registration form in lieu of the AES Letter of Intent. After submitting
the registration, an AESDirect filing account is created for the filing
company. The person designated as the account administrator is
responsible for activating the account and completing the certification
process as discussed in paragraph (b)(2) of this section.
(b) Certification process--(1) AES certification process. The USPPI
shall perform an initial two-part communication test to ascertain
whether its system is capable of both transmitting data to, and
receiving data from, the AES. The USPPI shall demonstrate specific
system application capabilities. The capability to correctly handle
these system applications is the prerequisite to certification for
participation in the AES. The USPPI shall successfully transmit the AES
certification test. The CBP's and/or Census Bureau's client
representatives provide assistance during certification testing. These
representatives make the sole determination as to whether or not the
USPPI qualifies for certification. Upon successful completion of
certification testing, the USPPI's status is moved from testing mode to
operational status. Automated Export System filers may be required to
repeat the certification testing process at any time. The Census Bureau
will provide the AES filer with a certification notice after the USPPI
has been approved for operational status. The certification notice will
include:
(i) The date that filers may begin transmitting data;
(ii) Reporting instructions; and
[[Page 8211]]
(iii) Examples of the required AES proof of filing citations,
postdeparture filing citations, AES downtime filing citation, and
exemption legends.
(2) AESDirect certification process. To become certified for
AESDirect, filers shall demonstrate knowledge of this part and the
ability to successfully transmit EEI. Upon successful completion of the
certification testing, notification by e-mail will be sent to the
account administrator when an account is fully activated for filing via
AESDirect. Certified filers should print and retain the page
congratulating the filer on passing the test.
(c) Postdeparture filing approval process. The USPPI may apply for
postdeparture filing privileges by submitting a Letter of Intent to the
Census Bureau in accordance with the provisions contained in Sec. 30.4
(see Appendix A of this part for the content and format of the Letter
of Intent). An authorized agent may not apply on behalf of a USPPI. The
Census Bureau will distribute the Letter of Intent for postdeparture
filing privileges to CBP and the other Federal Government partnership
agencies participating in the AES postdeparture filing review process.
Failure to meet the standards of the Census Bureau, CBP or any of the
partnership agencies is reason for denial of the applicant for
postdeparture filing privileges. Each partnership agency will develop
its own internal postdeparture filing acceptance standards, and each
agency will notify the Census Bureau of the USPPI's success or failure
to meet that agency's acceptance standards. Any partnership agency may
require additional information from USPPIs that are applying for
postdeparture filing. The Census Bureau will notify the USPPI of the
decision to either deny or approve their application for postdeparture
filing privileges within thirty (30) calendar days of receipt of the
Letter of Intent by the Census Bureau, or if a decision cannot be
reached at that time, the USPPI will be notified of an extension for a
final decision as soon as possible after the thirty (30) calendar days.
(1) Grounds for denial of postdeparture filing status. The Census
Bureau may deny a USPPI's application for postdeparture filing
privileges for any of the following reasons:
(i) The USPPI has not demonstrated experience in filing or
authorizing the filing of information electronically through the AES.
(ii) The USPPI's volume of EEI reported through the AES does not
warrant participation in postdeparture filing.
(iii) The USPPI is not an established USPPI with regular
operations.
(iv) The USPPI has consistently failed to submit EEI to the AES in
a timely and accurate manner.
(v) The USPPI has a history of noncompliance with Census Bureau
export regulations contained in this part.
(vi) The USPPI has been indicted, convicted, or is currently under
investigation for a felony involving a violation of federal export laws
or regulations and the Census Bureau has evidence of probable cause
supporting such violation, or the USPPI is in violation of Census
Bureau export regulations contained in this part.
(vii) The USPPI has made or caused to be made in the Letter of
Intent a false or misleading statement or omission with respect to any
material fact.
(viii) The USPPI would pose a significant threat to national
security interests such that its participation in postdeparture filing
should be denied.
(ix) The USPPI has multiple violations of either the Export
Administration Regulations (EAR) (15 CFR parts 730 through 774) or the
International Traffic in Arms Regulations (ITAR)(22 CFR parts 120
through 130) within the last three (3) years.
(2) Notice of denial. A USPPI denied postdeparture filing
privileges by other agencies shall contact those agencies regarding the
specific reason(s) for non-selection and for their appeal procedures. A
USPPI denied postdeparture filing status by the Census Bureau will be
provided with a specific reason for non-selection and a Census Bureau
point of contact in an electronic notification letter. A USPPI may
appeal the Census Bureau's non-selection decision by following the
appeal procedure and re-application procedure provided in paragraph
(c)(5) of this section.
(3) Revocation of postdeparture filing privileges--(i) Revocation
by the Census Bureau. The Census Bureau may revoke postdeparture filing
privileges of an approved USPPI for the following reasons:
(A) The USPPI's volume of EEI reported in the AES does not warrant
continued participation in postdeparture filing.
(B) The USPPI or its authorized agent has failed to submit EEI to
the AES in a timely and accurate manner;
(C) The USPPI has made or caused to be made in the Letter of Intent
a false or misleading statement or omission with respect to material
fact;
(D) The USPPI submitting the Letter of Intent has been indicted,
convicted, or is currently under investigation for a felony involving a
violation of federal export laws or regulations and the Census Bureau
has evidence of probable cause supporting such violation, or the
applicant is in violation of Census Bureau export rules and regulations
contained in this part;
(E) The USPPI has failed to comply with existing Census Bureau or
other agency export regulations or has failed to pay any outstanding
penalties assessed in connection with such noncompliance; or
(F) The USPPI would pose a significant threat to national security
interests such that its continued participation in postdeparture filing
should be terminated.
(ii) Revocation by other agencies. Any of the other agencies may
revoke a USPPI's postdeparture filing privileges with respect to
transactions subject to the jurisdiction of that agency. When doing so,
the agency shall notify both the Census Bureau and the USPPI whose
authorization is being revoked.
(4) Notice of revocation. Approved postdeparture filing USPPIs
whose postdeparture filing privileges have been revoked by other
agencies shall contact those agencies for their specific revocation and
appeal procedures. When the Census Bureau makes a determination to
revoke an approved USPPI's postdeparture filing privileges, the USPPI
will be notified electronically of the reason(s) for the decision. In
most cases, the revocation shall become effective when the USPPI has
either exhausted all appeal procedures, or thirty (30) calendar days
after receipt of the notice of revocation, if no appeal is filed.
However, in cases judged to affect national security, revocations shall
become effective immediately upon notification.
(5) Appeal procedure. Any USPPI whose request for postdeparture
filing privileges has been denied by the Census Bureau or whose
postdeparture filing privileges have been revoked by the Census Bureau
may appeal the decision by filing an appeal within thirty (30) calendar
days of receipt of the notice of decision. Appeals should be addressed
to the Chief, Foreign Trade Division, U.S. Census Bureau, Washington,
DC 20233. The Census Bureau will issue a written decision to the USPPI
within thirty (30) calendar days from the date of receipt of the appeal
by the Census Bureau. If a written decision is not issued within thirty
(30) calendar days, the Census Bureau will forward to the USPPI a
notice of extension within that time period. The USPPI will be provided
with the reasons for the extension of
[[Page 8212]]
this time period and an expected date of decision. Approved
postdeparture filing USPPIs who have had their postdeparture filing
status revoked may not reapply for this privilege for one year
following written notification of the revocation.
(d) Electronic Export Information filing standards. The data
elements required for filing EEI are contained in Sec. 30.6. When
filing EEI, the USPPI or authorized agent shall comply with the data
transmission procedures determined by CBP and the Census Bureau and
shall agree to stay in complete compliance with all export rules and
regulations in this part. Failure of the USPPI or the authorized agent
of either the USPPI or FPPI to comply with these requirements
constitutes a violation of the regulations in this part, and renders
such principal party or the authorized agent subject to the penalties
provided for in subpart H of this part. 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 export
rules and regulations. This includes complying with the following
security requirements:
(1) AESDirect user names, administrator codes, and passwords are to
be kept secure by the account administrator and not disclosed to any
unauthorized user or any persons outside the registered company. Filers
shall change administrator codes or passwords for security purposes
when employees leave the company. The administrator shall change the
password when any person with access leaves the company.
(2) Registered companies are responsible for those persons having
access to the 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 shall immediately change the password, administrator code, and
user name in the system to ensure the integrity and confidentiality of
Title 13 data.
(3) Antivirus software shall 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, but not less than every 30 days, to ensure the elimination of
any virus contamination. If the registered company's computer system is
infected with a virus, the company shall contact the Census Bureau's
Foreign Trade Division Computer Security Officer and 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.
(e) Monitoring the filing of EEI. The USPPI's or the authorized
agent's AES filings will be monitored and reviewed for quality,
timeliness, and coverage. The Census Bureau will provide performance
reports to USPPIs and authorized agents who file EEI. The Census Bureau
will take appropriate action to correct specific situations where the
USPPI or authorized agent fails to maintain acceptable levels of data
quality, timeliness, or coverage.
(f) Support. The Census Bureau provides online services that allow
the USPPI and the authorized agent to seek assistance pertaining to AES
and this part. For AES assistance, filers may send an e-mail to
ASKAES@census.gov, and for regulatory assistance, filers may send an e-
mail to FTDREGS@census.gov. AESDirect is supported by a help desk
available twelve (12) hours a day from 7 a.m. to 7 p.m. EST, seven (7)
days a week. Filers can obtain contact information from the Web site
http://www.aesdirect.gov.
Sec. 30.6 Electronic Export Information data elements.
The information specified in this section is required for shipments
transmitted to the AES. The data elements identified as ``mandatory''
shall be reported for each transaction. The data elements identified as
``conditional'' shall be reported if they are required for or apply to
the specific shipment. The data elements identified as ``optional'' may
be reported at the discretion of the USPPI or the authorized agent.
(a) Mandatory data elements are as follows:
(1) USPPI and USPPI identification. The name, address,
identification, and contact information of the USPPI shall be reported
to the AES as follows:
(i) Name of the USPPI. In all export transactions, the name listed
in the USPPI field in the EEI shall be the USPPI in the transaction.
(See Sec. 30.1 for the definition of the USPPI and Sec. 30.3 for
details on the USPPI's reporting responsibilities.)
(ii) Address of the USPPI. In all EEI filings, the USPPI shall
report the address or location (no post office box number) from which
the goods actually begin the journey to the port of export. For
example, EEI covering goods 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., whether owned
or leased) at the location from which the goods began their export
journey, report the USPPI address from which the export was directed.
For shipments with multiple origins, report the address from which the
commodity with the greatest value begins its export journey or, if such
information is not known at the time of filing, the address from which
the export is directed.
(iii) USPPI identification number. The USPPI's EIN or SSN. The
USPPI shall report its own Internal Revenue Service (IRS) EIN in the
USPPI field of the EEI. If the USPPI has only one EIN, report that EIN.
If the USPPI has more than one EIN, report an EIN that the USPPI also
uses to report employee wages and withholdings, not an EIN used to
report only company earnings or receipts. If, and only if, no IRS EIN
has been assigned to the USPPI, the USPPI's own SSN shall be reported
to the AES. Use of another company's EIN or another individual's SSN is
prohibited. The appropriate Party ID Type code shall be reported to the
AES. When a foreign entity is in the United States when the items are
purchased or obtained for export, the foreign entity is the USPPI for
filing purposes. In such situations, when the foreign entity does not
have an EIN or SSN, it shall report in the EEI a DUNS number, border
crossing number, passport number, or any number assigned by CBP.
(iv) Contact information. Show contact name and telephone number.
(2) Date of export. The date of export is the date when goods are
scheduled to leave the port of export on the exporting carrier that is
taking the goods out of the United States.
(3) Ultimate consignee. The ultimate consignee is the person,
party, or designee that is located abroad and actually receives the
export shipment. The name and address of the ultimate consignee,
whether by sale in the United States or abroad or by consignment, shall
be reported in the EEI. The ultimate consignee as known at the time of
export shall be reported. For shipments requiring an export license,
the ultimate consignee shall be the
[[Page 8213]]
person so designated on the export license or authorized to be the
ultimate consignee under the applicable license exemption in
conformance with the EAR or ITAR, as applicable. For goods sold en
route, report the appropriate ``To be Sold En Route'' indicator in the
EEI, and report corrected information as soon as it is known (see Sec.
30.9 for procedures on correcting AES information).
(4) U.S. state of origin. The U.S. state of origin is the 2-
character postal code for the state in which the goods begin their
journey to the port of export. For example, a shipment covering goods
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
Georgia as the state of origin. The U.S. state of origin may be
different from the U.S. state where the goods were produced, mined, or
grown, or where the USPPI is located. For shipments of multi-state
origin, reported as a single shipment, report the U.S. state of the
commodity with the greatest value. If such information is not known,
report the state in which the commodities are consolidated for export.
(5) Country of ultimate destination. The country of ultimate
destination is the country in which the goods are to be consumed or
further processed or manufactured. The country of ultimate destination
is the code issued by the International Standards Organization (ISO).
(i) Shipments under an export license or license exemption. For
shipments under an export license or license exemption issued by the
Department of State, DDTC, or the Department of Commerce, BIS, the
country of ultimate destination shall conform to the country of
ultimate destination as shown on the license. In the case of a
Department of State license, the country of ultimate destination is the
country specified with respect to the end user.
(ii) Shipments not moving under an export license. The country of
ultimate destination is the country known to the USPPI at the time of
exportation. The country to which the goods are being shipped is not
the country of ultimate destination if the USPPI has knowledge at the
time the goods leave the United States that they are intended for
reexport or transshipment in their present form to another known
country. For goods shipped to Canada, Mexico, Panama, Hong Kong,
Belgium, United Arab Emirates, The Netherlands, or Singapore, for
example, special care should be exercised before reporting these
countries as the ultimate destination, since these are countries
through which goods from the United States are frequently transshipped.
If the USPPI does not know the ultimate destination of the goods, the
country of destination to be shown is the last country, as known to the
USPPI at the time of shipment from the United States, to which the
goods are to be shipped in their present form. (For instructions as to
the reporting of country of destination for vessels sold or transferred
from the United States to foreign ownership, see Sec. 30.26.)
(iii) For goods to be sold en route, report the country of the
first port of call and then report corrected information as soon as it
is known.
(6) Mode of transportation. The mode of transportation is the means
by which the goods are exported from the United States.
(i) Conveyances exported under their own power. The mode of
transportation for aircraft, vessels, or locomotives (railroad stock)
transferring ownership or title and moving out of the United States
under its own power is the mode of transportation by which the
conveyance moves out of the United States.
(ii) Exports through Canada, Mexico, or other foreign countries for
transshipment to another destination. For transshipments through
Canada, Mexico, or another foreign country, the mode of transportation
is the mode of the carrier transporting the goods out of the United
States.
(7) Conveyance name/carrier name. The conveyance name/carrier name
is the name of the conveyance/carrier transporting the goods out of the
United States as known at the time of exportation. For exports by sea,
the conveyance name is the vessel name. For exports by air, rail, or
truck, the carrier name is that which corresponds to the carrier
identification as specified in paragraph (a)(8) of this section. Terms
such as airplane, train, rail, truck, vessel, barge, or international
footbridge are not acceptable. For shipments by other modes of
transportation, including mail or fixed modes (pipeline), the
conveyance/carrier name is not required.
(8) Carrier identification. The carrier identification specifies
the carrier that transports the goods out of the United States. The
carrier transporting the goods to the port of export and the carrier
transporting the goods out of the United States may be different. For
transshipments through Canada, Mexico, or another foreign country, the
carrier identification is that of the carrier that transports the goods
out of the United States. The carrier identification is the Standard
Carrier Alpha Code (SCAC) for vessel, rail, and truck shipments or the
International Air Transport Association (IATA) code for air shipments.
For other valid modes of transportation, including mail and fixed modes
(pipeline), the carrier identification is not required. The National
Motor Freight Traffic Association (NMFTA) issues and maintains the
SCAC. (See http://www.nmfta.org) The IATA issues and maintains the IATA codes. (See http://www.census.gov/trade. for a list of IATA codes.)
(9) Port of export. The port of export is the seaport or airport
where the goods are loaded on the exporting carrier that is taking the
goods out of the United States, or the port where exports by overland
transportation cross the U.S. border into foreign territory. The port
of export shall be reported in terms of Schedule D, ``Classification of
CBP Districts and Ports.'' Use port code 8000 for shipments by mail.
(i) Vessel and air exports involving several ports of exportation.
For goods loaded aboard a carrier in a port of lading, where the
carrier stops at several ports before clearing to the foreign country,
the port of export is the first port where the goods were loaded on the
exporting carrier. For goods off-loaded from the original conveyance to
another conveyance (even if the aircraft or vessel belongs to the same
carrier) at any of the ports, the port where the goods were loaded on
the last conveyance before going foreign is the port of export.
(ii) Exports through Canada, Mexico, or other foreign countries for
transshipment to another destination. For transshipments through
Canada, Mexico, or another foreign country to a third country, the port
of export is the location where the goods are loaded on the carrier
that is taking the goods out of the United States.
(10) Related company indicator. The related company indicator shows
if the USPPI and the ultimate consignee are related. A related party
transaction involves trade between an affiliated USPPI and ultimate
consignee in which one person or business exercises at least a 10
percent interest (voting securities) in both parties. Shipments to
independent distributors are considered non-related unless there is at
least 10 percent control.
(11) Domestic or foreign indicator. Indicate if the goods exported
are of domestic or foreign origin. Show foreign goods separately from
goods of domestic production even if the commodity classification
number is the same.
(i) Domestic. Exports of domestic goods include those commodities
that
[[Page 8214]]
are the growth, produce, or manufacture of the United States, including
goods exported from U.S. FTZs, Puerto Rico, or the U.S. Virgin Islands
(including commodities incorporating foreign components), and those
articles of foreign origin that have been enhanced in value or changed
from the form in which they were originally imported by further
manufacture or processing in the United States, including goods
exported from U.S. FTZs, Puerto Rico, or the U.S. Virgin Islands.
Identify domestic goods by the designation ``D'' in the EEI.
(ii) Foreign. Exports of foreign goods include those commodities
that are the growth, produce, or manufacture of foreign countries that
entered the United States, including goods admitted to U.S. FTZs as
imports and that, at the time of exportation, have undergone no change
in form or condition or enhancement in value by further manufacture in
the United States, in U.S. FTZs, in Puerto Rico, or in the U.S. Virgin
Islands. Identify foreign goods by the designation ``F'' in the EEI.
(12) Commodity classification number. Report the 10-digit commodity
classification number as provided in Schedule B, Statistical
Classification of Domestic and Foreign Commodities Exported from the
United States in the EEI. The 10-digit commodity classification number
provided in the HTS may be reported in lieu of the Schedule B commodity
classification number except as noted in the headnotes of the HTS. The
HTS is a global classification system used to describe most world trade
in goods. Furnishing the correct Schedule B or HTS number does not
relieve the USPPI or the authorized agent of furnishing, in addition, a
complete and accurate commodity description. When reporting the
Schedule B number or HTS number, the decimals shall be omitted. (See
http://www.census.gov/trade for a list of Schedule B Classification
Numbers).
(13) Commodity description. Report the description of the goods
shipped in sufficient detail to permit verification of the Schedule B
or HTS number. Clearly and fully state the name of the commodity in
terms that can be identified or associated with the language used in
Schedule B or HTS (usually the commercial name of the commodity), and
any and all characteristics of the commodity that distinguish it from
commodities of the same name covered by other Schedule B or HTS
classifications. If the shipment requires a license, the description
reported in the EEI shall conform with that shown on the license. If
the shipment qualifies for a license exemption, the description shall
be sufficient to ensure compliance with that license exemption.
However, where the description on the license does not state all of the
characteristics of the commodity that are needed to completely verify
the commodity classification number, as described in this paragraph,
report the missing characteristics, as well as the description shown on
the license, in the commodity description field of the EEI.
(14) Primary unit of measure. The unit of measure shall correspond
to the primary quantity as prescribed in the Schedule B or HTS. If
neither Schedule B or HTS specifies a unit of measure for the item, an
``X'' is required in the unit of measure field.
(15) Primary quantity. The quantity is the total number of units
that correspond to the first unit of measure specified in the Schedule
B or HTS. Where the unit of measure is in terms of weight (grams,
kilograms, metric tons, etc.), the quantity reflects the net weight,
not including the weight of barrels, boxes, or other bulky coverings,
and not including salt or pickle in the case of salted or pickled fish
or meats. For a few commodities where ``content grams'' or ``content
kilograms'' or some similar weight unit is specified in Schedule B or
HTS, the quantity may be less than the net weight. The quantity is
reported as a whole unit only, without commas or decimals. If the
quantity contains a fraction of a whole unit, round fractions of one-
half unit or more and fractions of less than one-half unit up or down
to the nearest whole unit, respectively. (For example, where the unit
for a given commodity is in terms of ``tons,'' a net quantity of 8.4
tons would be reported as 8 for the quantity. If the quantity is less
than one unit, the quantity is 1.
(16) Shipping weight. The shipping weight is the weight in
kilograms, which includes the weight of the commodity as well as the
weight of normal packaging, such as boxes, crates, barrels, etc. The
shipping weight is required for exports by air, vessel, rail, and
truck, and required for exports of household goods transported by all
modes. For exports (except household goods) by mail, fixed transport
(pipeline), or other valid modes, the shipping weight is not required
and shall be reported as zero. For containerized cargo in lift vans,
cargo vans, or similar substantial outer containers, the weight of such
containers is not included in the shipping weight. If the shipping
weight is not available for each Schedule B or HTS item included in one
or more containers, the approximate shipping weight for each item is
estimated and reported. The total of these estimated weights equals the
actual shipping weight of the entire container or containers.
(17) Value. In general, the value to be reported in the EEI shall
be the value of the goods at the U.S. port of export. The value shall
be the selling price as defined in this paragraph (or the cost if the
goods are not sold), including inland or domestic freight, insurance,
and other charges to the U.S. seaport, airport, or land border port of
export. Report value to the nearest dollar; omit cents figures.
Fractions of a dollar less than 50 cents should be ignored, and
fractions of 50 cents or more should be rounded upward to the next
dollar.
(i) Selling price. The selling price for goods exported pursuant to
sale, and the value to be reported in the EEI, is the USPPI's price to
the FPPI (the foreign buyer). Deduct from the selling price any
unconditional discounts, but do not deduct discounts that are
conditional upon a particular act or performance on the part of the
foreign buyer. For goods shipped on consignment without a sale actually
having been made at the time of export, the selling price to be
reported in the EEI is the market value at the time of export at the
U.S. port.
(ii) Adjustments. When necessary, make the following adjustments to
obtain the value.
(A) Where goods are sold at a point other than the port of export,
freight, insurance, and other charges required in moving the goods from
their U.S. point of origin to alongside the exporting carrier at the
port of export shall be added to the selling price (as defined in
paragraph (a)(17)(i) of this section) for purposes of reporting the
value in the EEI.
(B) Where the actual amount of freight, insurance, and other
domestic costs are not available, an estimate of the domestic costs
shall be made and added to the cost of the goods or selling price to
derive the value to be reported in the EEI. Add the estimated domestic
costs to the cost or selling price of the goods to obtain the value to
be reported in the EEI.
(C) Where goods are sold at a ``delivered'' price to the foreign
destination, the cost of loading the goods on the exporting carrier, if
any, and freight, insurance, and other costs beyond the port of export
shall be subtracted from the selling price for purposes of reporting
value in the EEI. If the actual amount of such costs is not available,
an estimate of the costs should be subtracted from the selling price.
(D) Costs added to or subtracted from the selling price in
accordance with the
[[Page 8215]]
instructions in this paragraph (a)(17)(ii) should not be shown
separately in the EEI, but the value reported should be the value after
making such adjustments, where required, to arrive at the value of the
goods at the U.S. port of export.
(iii) Exclusions. Exclude the following from the selling price of
goods exported.
(A) Commissions to be paid by the USPPI to its agent abroad or
commissions to be deducted from the selling price by the USPPI's agent
abroad.
(B) The cost of loading goods on the exporting carrier at the port
of export.
(C) Freight, insurance, and any other charges or transportation
costs beyond the port of export.
(D) Any duties, taxes, or other assessments imposed by foreign
countries.
(iv) For definitions of the value to be reported in the EEI for
special types of transactions where goods are not being exported
pursuant to commercial sales, or where subsidies, government financing
or participation, or other unusual conditions are involved, see subpart
C of this part.
(18) Export information code. A code that identifies the type of
export shipment or condition of the exported items (e.g., goods donated
for relief or charity, impelled shipments, shipments under the Foreign
Military Sales program, household goods, shipments under carnet, and
all other shipments).
(19) Shipment reference number. A unique identification number
assigned by the filer that allows for the identification of the
shipment in the filer's system. The number must be unique for five (5)
years.
(20) Line number. A number that identifies the specific commodity
line item within a shipment.
(21) Hazardous material (HAZMAT) indicator. An indicator
identifying the shipment as hazardous as defined by the Department of
Transportation.
(22) Inbond code. The code indicating whether the shipment is being
transported under bond.
(23) License code/license exemption code. The code identifies the
commodity as having a Federal Government agency requirement for a
license, permit, license exception or exemption or that no license is
required.
(24) Routed export transaction indicator. An indicator that the
FPPI has authorized, through a power of attorney or written
authorization, an agent to prepare and file the EEI. See Sec. 30.3 for
responsibilities of the parties to the routed export transaction.
(25) Shipment filing action request indicator. An indicator that
allows the filer to add, change, replace, or cancel an export shipment
transaction.
(26) Line item filing action request indicator. An indicator that
allows the filer to add, change, or delete a commodity line within an
export shipment transaction.
(27) Filing option indicator. An indicator of whether the filer is
reporting export information predeparture or postdeparture. Only
approved USPPIs may file postdeparture. See Sec. 30.4 for more
information on EEI filing options.
(b) Conditional data elements are as follows:
(1) Authorized agent and authorized agent identification. If an
authorized agent is used to prepare and file the EEI, the following
information shall be provided to the AES.
(i) Name of the authorized agent. Report the name of the authorized
agent. The authorized agent is that person or entity in the United
States that is authorized by the USPPI or the FPPI to prepare and file
the EEI or the person or entity, if any, named on the export license.
(See Sec. 30.3 for details on the specific reporting responsibilities
of authorized agents and subpart B of this part for export control
licensing requirements for authorized agents.)
(ii) Address of the authorized agent. Report the address or
location (no post office box number) of the authorized agent. The
authorized agent's address shall be reported with the initial shipment.
Subsequent shipments may be identified by the agent's identification
number (see paragraph (b)(1)(iii) of this section).
(iii) Authorized agent's identification number. Report the
authorized agent's own EIN, SSN, or DUNS in the EEI for the first
shipment and for each subsequent shipment. Use of another company's or
individual's EIN or other identification number is prohibited. The type
of agent identification (E=EIN, S=SSN, etc.) shall be indicated.
(iv) Contact information. Show contact name and telephone number.
(2) Intermediate consignee. The name and address of the
intermediate consignee (if any) shall be reported. The intermediate
consignee acts in a foreign country as an agent for the principal party
in interest or the ultimate consignee for the purpose of effecting
delivery of the export shipment to the ultimate consignee. The
intermediate consignee is the person named as such on the export
license or authorized to act as such under the applicable general
license and in conformity with the Export Administration Regulations
(EAR) (15 CFR parts 730 through 774).
(3) Foreign Trade Zone (FTZ) identifier. If goods are removed from
the FTZ and not entered for consumption, report the FTZ identifier.
This is the unique 5-digit identifier assigned by the Foreign Trade
Zone Board that identifies the FTZ, sub-zone or site from which goods
are withdrawn for export.
(4) Foreign port of unlading. The foreign port of unlading is the
port and country where the goods are removed from the exporting
carrier. The foreign port does not have to be located in the country of
destination. For exports by sea to foreign countries, not including
Puerto Rico, the foreign port of unlading is the code in terms of
Schedule K, ``Classification of Foreign Ports by Geographic Trade Area
and Country.'' For exports by sea or air between the United States and
Puerto Rico, the foreign port of unlading is the code in terms of
Schedule D, ``Classification of CBP Districts and Ports.'' The foreign
port of unlading is not required for exports by other modes of
transportation, including rail, truck, mail, fixed (pipeline), or air
(unless between the U.S. and Puerto Rico).
(5) Export license number/CFR citation/authorization symbol.
License number, permit number, citation, or authorization symbol
assigned by the Department of Commerce, BIS; Department of State, DDTC;
Department of Treasury, OFAC; Department of Justice, Drug Enforcement
Administration (DEA); Nuclear Regulatory Commission (NRC); or any other
federal government agency.
(6) Export Control Classification Number (ECCN). The number used to
identify items on the Commerce Control List (CCL), Supplement No. 1 to
Part 774 of the EAR. The five (5) position ECCN consists of a set of
digits and a letter or EAR99. Section 738.2 of the EAR describes the
ECCN format.
(7) Secondary unit of measure. The unit of measure is a code that
corresponds to the secondary quantity as prescribed in the Schedule B
or HTS. If neither Schedule B nor HTS specifies a secondary unit of
measure for the item, the unit of measure is not required.
(8) Secondary quantity. The quantity is the total number of units
that correspond to the secondary unit of measure, if any, specified in
the Schedule B or HTS. See the definition of the primary quantity for
specific instructions on reporting the quantity as a weight and whole
unit, and rounding fractions.
(9) Vehicle Identification Number (VIN)/Product ID. The
identification found on the reported used vehicle. For used self-
propelled vehicles that do not
[[Page 8216]]
have a VIN, the Product ID is reported. ``Used'' vehicle refers to any
self-propelled vehicle the equitable or legal title to which has been
transferred by a manufacturer, distributor, or dealer to an ultimate
purchaser. See 19 CFR 192.1 for more information on exports of used
vehicles.
(10) Vehicle ID qualifier. The qualifier that identifies the type
of used vehicle reported. The valid codes are V for VIN and P for
Product ID.
(11) Vehicle title number. The number issued by the Motor Vehicle
Administration.
(12) Vehicle title state code. The 2-character postal abbreviation
code for the state or territory that issued the vehicle title.
(13) Entry number. The entry number is the import entry number for
a shipment transported under bond or if a FTZ or North American Free
Trade Agreement (NAFTA) deferred duty claim is made. For goods imported
into the United States for export to a third country of ultimate
destination, where the importer of record on the entry is a foreign
entity, the USPPI will be the authorized agent designated by the
foreign importer for service of process. The USPPI, in this
circumstance, is required to report the import entry number. This
number shall not contain any imbedded slashes or dashes.
(14) Transportation reference number. The transportation reference
number (TRN) is as follows:
(i) Vessel shipments. Report the booking number for vessel
shipments. The booking number is the reservation number assigned by the
carrier to hold space on the vessel for cargo being exported. The TRN
is required for all vessel shipments.
(ii) Air shipments. Report the master air waybill number for air
shipments. The air waybill number is the reservation number assigned by
the carrier to hold space on the aircraft for cargo being exported. The
TRN is optional for air shipments.
(iii) Rail shipments. Report the bill of lading (BL) number for
rail shipments. The BL number is the reservation number assigned by the
carrier to hold space on the rail car for cargo being exported. The TRN
is optional for rail shipments.
(iv) Truck shipments. Report the freight or pro bill number for
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 multimodal shipments. The TRN is
optional for truck shipments.
(15) Department of State requirements.
(i) DDTC registration number. The number assigned by DDTC to
persons who are required to register per part 122 of the ITAR (22 CFR
parts 120 through 130), that has an authorization (license or
exemption) from DDTC to export the article.
(ii) DDTC Significant Military Equipment (SME) indicator. A term
used to designate articles on the U.S. Munitions List (USML) (22 CFR
part 121) 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 through 130), for a
definition of SME and Sec. 121.1 for items designated as SME articles.
(iii) DDTC eligible party certification indicator. Certification by
the U.S. exporter that the exporter is an eligible party to participate
in defense trade. See 22 CFR 120.1(c). This certification is required
only when an exemption is claimed.
(iv) DDTC USML category code. The USML category of the article
being exported (22 CFR part 121).
(v) 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.
(vi) DDTC quantity. This quantity is for the article being shipped.
The quantity is the total number of units that corresponds to the DDTC
UOM code.
(vii) DDTC exemption number. The exemption number is the specific
citation from the ITAR (22 CFR parts 120 through 130) that exempts the
shipment from the requirements for a license or other written
authorization from DDTC.
(viii) DDTC export license line number. The line number of the
State Department export license that corresponds to the article being
exported.
(16) Kimberley Process Certificate (KPC) number and authorization
symbol. The unique identifying number of the KPC issued by the United
States KPC authority that must accompany any export shipment of rough
diamonds. Rough diamonds are classified under 6-digit Harmonized System
subheadings 7102.10, 7102.21, and 7102.31. Enter the KPC number in the
license number field excluding the 2-digit U.S. ISO country code.
(c) Optional data elements. (1) Seal number. The security seal
number placed on the equipment or container.
(2) Equipment number. Report the identification number for the
shipping equipment, such as container or igloo number, truck license
number, or rail car number.
Sec. 30.7 Annotating the bill of lading, air waybill, and other
commercial loading documents with the proper proof of filing citations,
approved postdeparture filing citations, downtime filing citation, and
exemption legends.
(a) Items identified on the U.S Munitions List (USML) (22 CFR part
121) shall meet the predeparture reporting requirements identified in
the ITAR (22 CFR parts 120 through 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 proof of filing citation
or exemption legend on the first page of the bill of lading, air
waybill, or other commercial loading document. The USPPI or the
authorized agent must provide the proof of filing citation or exemption
legend to the exporting carrier. The carrier must annotate the proof of
filing citation or exemption legend on the carrier's outbound manifest
when required. The carrier is responsible for presenting the
appropriate exemption legend or the proof of filing citation to the CBP
Port Director at the port of export as stated in subpart E of this
part. Such presentation shall be without material change or amendment
of the proof of filing citation, postdeparture filing citation, AES
downtime filing citation, or exemption legend as provided to the
carrier by the USPPI or the authorized agent. The proof of filing
citation will identify that the export information has been accepted as
transmitted. The postdeparture filing citation, AES downtime filing
citation, or exemption legend will identify that no filing is required
prior to export. The proof of filing citations, postdeparture filing
citations, or exemption legends shall appear on the bill of lading, air
waybill, manifest or other commercial loading documentation and shall
be clearly visible and include either of the following:
(1) For shipments other than USML, the proof of filing citation
shall include the statement ``AES,'' followed by the returned
confirmation number provided by the AES when the transmission is
accepted, referred to as the ITN (for example, AES ITN). Items on the
USML shall meet the predeparture reporting requirements in the ITAR (22
CFR parts 120 through 130).
(2) Requirements for shipments filed postdeparture for approved
USPPIs.
(i) If the USPPI files the EEI postdeparture, only the USPPI's EIN
and the date of export are required in the
[[Page 8217]]
postdeparture filing citation (e.g., AESPOST EIN (USPPI) mm/dd/yyyy).
(ii) If the authorized agent files the EEI postdeparture on behalf
of an approved USPPI, the filing citation will include the statement
``AESPOST,'' followed by the USPPI's EIN, followed by the filer's
identification number and the date of export (e.g., AESPOST EIN
(USPPI)-EIN (Authorized agent) mm/dd/yyyy).
(3) Exports of rough diamonds classified under Harmonized System
subheadings 7102.10, 7102.21, and 7102.31, in accordance with the Clean
Diamond Act, will require the proof of filing citation, as stated in
paragraph (b)(2) of this section, to be annotated on the Kimberley
Process Certificate.
(4) For goods shipped pursuant to Sec. 30.4(b)(3)(ii), the filer
must provide the following downtime filing citation: ``AESDOWN''
followed by the filers EIN, shipment reference number, and date of
export (e.g., AESDOWN EIN (filer) shipment reference number mm/dd/
yyyy).
Sec. 30.8 Time and place for presenting proof of filing citations,
postdeparture filing citations, AES downtime filing citation, and
exemption legends.
The following conditions govern the time and place to present proof
of filing citations, postdeparture filing citations, AES downtime
filing citation, and/or exemption legends. The USPPI or the authorized
agent is required to deliver the proof of filing citations,
postdeparture filing citations, AES downtime filing citation, and/or
exemption legends required in Sec. 30.4(a). See Sec. 30.7 for
instructions for properly formatting the proof of filing citations,
postdeparture filing citation, and AES downtime filing citation. See
subpart D of this part for instructions on properly formatting
exemption legends. Failure of the USPPI or the authorized agent of
either the USPPI or FPPI to comply with these requirements constitutes
a violation of the the regulations in this part and renders such
principal party or the authorized agent subject to the penalties
provided for in subpart H of this part.
(a) Postal exports. The proof of filing citations, postdeparture
filing citations, AES downtime filing citation, and/or exemption
legends for items being sent by mail, as required in Sec. 30.2, shall
be presented to the postmaster with the packages at the time of
mailing. The postmaster is required to deliver the proof of filing
citations and/or exemption legends prior to exportation.
(b) Pipeline exports. See subpart E of this part for the proof of
filing citation and/or exemption legend requirements.
(c) Exports by other methods of transportation. For exports sent
other than by mail or pipeline, the USPPI or the authorized agent is
required to deliver the proof of filing citations, postdeparture filing
citations, AES downtime filing citation, and/or exemption legends prior
to exportation.
Sec. 30.9 Transmitting and correcting Automated Export System
information.
(a) The USPPI or the authorized filing agent is responsible for
electronically transmitting accurate export information as known at the
time of filing in the AES and transmitting any changes to that
information as soon as they are known. Corrections, cancellations, or
amendments to that information shall be electronically identified and
transmitted to the AES for all required fields as soon as possible
after exportation. The provisions of this paragraph relating to the
reporting of corrections, cancellations, or amendments to EEI, shall
not be construed as a relaxation of the requirements of the rules and
regulations pertaining to the preparation and filing of EEI. Failure to
correct the EEI is a violation of the provisions of this part.
(b) For shipments where the USPPI or the authorized agent has
received an error message from AES, the corrections shall take place as
required. Failure to respond to error messages or otherwise transmit
corrections to the AES constitutes a violation of the regulations in
this part and renders such principal party or authorized agent subject
to the penalties provided for in subpart H of this part. A fatal error
message will cause the EEI to be rejected. This error shall be
corrected prior to exportation of goods. For EEI that generates a
warning message, the correction shall be made within four (4) calendar
days of receipt of the original transmission. For EEI that generates a
verify message, the correction, when warranted, shall be made within
four (4) calendar days. A compliance alert indicates that the shipment
was not reported in accordance with regulation. The USPPI or the
authorized agent is required to review filing practices and take
whatever corrective actions are required to conform with export
reporting requirements.
Sec. 30.10 Authority to require production of documents and retaining
electronic data.
(a) Authority to require production of documents. For purposes of
verifying the completeness and accuracy of the information reported as
required under Sec. 30.6, and for other purposes under the regulations
in this part, all parties to the export transaction (owners and
operators of the exporting carriers, USPPIs, FPPIs, and/or authorized
agents) shall retain documents or records pertaining to the shipment
for five (5) years from the date of export. The Department of State or
other regulatory agencies may have record keeping requirements for
exports that exceed the retention period specified in the regulations
in this part, and those requirements prevail. The CBP, Immigration and
Customs Enforcement (ICE), the Census Bureau, the BIS, and other
participating agencies may require that EEI, shipping documents,
invoices, orders, packing lists, and correspondence, as well as any
other relevant documents and any other information bearing upon a
particular exportation 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 for in
the applicable agency's regulations. Acceptance of the documents by
CBP, the Census Bureau, or the BIS does not relieve the USPPI or its
authorized agent from providing complete and accurate information at a
later time, if all requirements have not in fact been properly met.
(b) Retaining Electronic Export Information. Automated Export
System filers shall retain a copy of their letter of intent to
participate in AES and a copy of the electronic certification notice
from the Census Bureau that the filer's AES account has been approved
for operational status. The Letter of Intent and certification notice
shall be retained for as long as the filer submits EEI through AES.
Filers using AES are able to retrieve their AES filings. AESDirect and/
or AESPcLink filers shall retain a copy of the electronic certification
notice and print the notice indicating the filer has attained
certification on AESDirect and/or AESPcLink. Filers using the AESDirect
and/or AESPcLink are able to retrieve a copy of their submissions. The
Census Bureau will maintain a database of EEI filed in AES to ensure
that all filers can retrieve a validated record of their submissions.
The USPPI or the authorized agent of the USPPI or FPPI also may request
a copy of the electronic record, or submission from the Census Bureau,
as provided for in subpart G of this part.
[[Page 8218]]
Sec. Sec. 30.11-30.14 [Reserved]
Subpart B--Export Control and Licensing Requirements
Sec. 30.15 Introduction.
(a) For export shipments to foreign countries, the EEI is used both
for statistical and for export control purposes. All parties to an
export transaction must comply with all relevant export control
regulations, including the requirements of the statistical regulations
of this part. For convenience, references to provisions of the EAR,
ITAR, CBP, and OFAC regulations that affect the statistical reporting
requirements of this part have been incorporated into this part. For
regulations and information concerning other agencies that exercise
export control and licensing authority for particular types of
commodity shipments, a USPPI or the authorized agent shall consult the
appropriate agency regulations.
(b) In addition to the reporting requirements set forth in Sec.
30.6, further information may be required for export control purposes
by the regulations of CBP, BIS, State Department, or the U.S. Postal
Service under particular circumstances.
(c) This part requires the retention of documents or records
pertaining to a shipment for five (5) years from the date of export.
All records concerning license exceptions or license exemptions shall
be retained in the format (including electronic or hard copy) required
by the controlling agency's regulations. For information on
recordkeeping retention requirements exceeding the requirements of this
part, refer to the regulations of the agency exercising export control
authority for the specific shipment.
(d) In accordance with the provisions of subpart G of this part,
information from the EEI is used solely for official purposes, as
authorized by the Secretary of Commerce, and any unauthorized use is
not permitted.
Sec. 30.16 Export Administration Regulations (EAR).
The EAR issued by the U.S. Department of Commerce, BIS, also
contain some additional reporting requirements pertaining to EEI (see
15 CFR parts 730 through 774).
(a) The EAR require that export information be filed for shipments
from U.S. Possessions to foreign countries or areas. (See 15 CFR
758.1(b) and 772.1, definition of the United States.)
(b) Requirements to place certain export control information in the
EEI are found in the EAR.
Sec. 30.17 Customs and Border Protection regulations.
Refer to the U.S. Department of Homeland Security's CBP
regulations, 19 CFR part 192, for information referencing the advanced
electronic submission of cargo information on exports for targeting and
inspection purposes pursuant to the Trade Act of 2002. The regulations
also prohibit postdeparture filing of export information for certain
shipments, and contain other regulatory provisions affecting the
reporting of EEI. The CBP's regulations can be obtained from the U.S.
Government Printing Office's Web site at: http://www.gpoaccess.gov.
Sec. 30.18 Department of State regulations.
(a) The USPPI or the authorized agent shall file export
information, when required, for items on the U.S. Munitions List (USML)
of the ITAR (22 CFR part 121). Information for items identified on the
USML, including those exported under an export license exemption, shall
be filed prior to export.
(b) Refer to the ITAR (22 CFR parts 120 through 130) for
requirements regarding information required for electronically
reporting export information for USML shipments, proof of filing
citations, and filing time requirements.
(c) Department of State regulations can be found at: http://www.state.gov
.
Sec. 30.19 Other Federal agency regulations.
Other Federal agencies have requirements regarding the reporting of
certain types of export transactions. USPPIs and/or authorized agents
are responsible for adhering to these requirements.
Sec. Sec. 30.20-30.24 [Reserved]
Subpart: C--Special Provisions and Specific-Type Transactions
Sec. 30.25 Values for certain types of transactions.
The following special procedures govern the values to be reported
for shipments of the following unusual types:
(a) Subsidized exports of agricultural products. Where provision is
made for the payment to the USPPI for the exportation of agricultural
commodities under a program of the Department of Agriculture, the value
required to be reported for EEI is the selling price paid by the
foreign buyer minus the subsidy.
(b) General Services Administration (GSA) exports of excess
personal property. For exports of GSA excess personal property, the
value to be shown in the EEI will be ``fair market value,'' plus
charges when applicable, at which the property was transferred to GSA
by the holding agency. These charges include packing, rehabilitation,
inland freight, or drayage. The estimated ``fair market value'' may be
zero, or it may be a percentage of the original or estimated
acquisition costs. (Bill of lading, air waybill, and other commercial
loading documents for such shipments will bear the notation ``Excess
Personal Property, GSA Regulations 1-III, 303.03.'')
Sec. 30.26 Reporting of vessels, aircraft, cargo vans, and other
carriers and containers.
(a) Vessels, locomotives, aircraft, rail cars, ferries, trucks,
other vehicles, trailers, pallets, cargo vans, lift vans, or similar
shipping containers are not considered ``shipped'' in terms of the
regulations in this part, when they are moving, either loaded or empty,
without transfer of ownership or title, in their capacity as carriers
of goods or as instruments of such carriers, and EEI is not required.
(b) However, EEI shall be filed for such items, when moving as
goods pursuant to sale or other transfer from ownership in the United
States to ownership abroad. If a vessel, car, aircraft, locomotive,
rail car, vehicle, or container, whether in service or newly built or
manufactured, is sold or transferred to foreign ownership while in the
Customs territory of the United States or at a port in such area, EEI
shall be reported in accordance with the general requirements of the
regulations in this part, identifying the port through or from which
the vessel, aircraft, locomotive, rail car, car, vehicle, or container
first leaves the United States after sale or transfer. If the vessel,
aircraft, locomotive, rail car, car, vehicle, or shipping container is
outside the Customs territory of the United States at the time of sale
or transfer to foreign ownership, EEI shall be reported identifying the
last port of clearance or departure from the United States prior to
sale or transfer. The country of destination to be shown in the EEI for
vessels sold foreign is the country of new ownership. The country for
which the vessel clears, or the country of registry of the vessel,
should not be reported as the country of destination in the EEI unless
such country is the country of new ownership.
Sec. 30.27 Return of exported cargo to the United States prior to
reaching its final destination.
When goods reported as exported from the United States are not
exported or returned without having been entered
[[Page 8219]]
into a foreign destination, the filer shall correct or cancel the EEI.
Sec. 30.28 ``Split shipments'' by air.
When a shipment by air covered by a single EEI submission is
divided by the exporting carrier at the port of export where the
manifest is filed, and part of the shipment is exported on one aircraft
and part on another aircraft of the same carrier, the following
procedures shall apply:
(a) The carrier shall deliver the manifest to the CBP Port Director
with the manifest covering the flight on which the first part of the
split shipment is exported and shall make no changes to the EEI.
However, the manifest shall show in the ``number of packages'' column
the actual portion of the declared total quantity being carried and
shall carry a notation to indicate ``Split Shipment.'' All manifests
with the notation ``Split Shipment'' will have identical ITNs.
(b) On each subsequent manifest covering a flight on which any part
of a split shipment is exported, a prominent notation ``SPLIT
SHIPMENT'' shall be made on the manifest for identification. On the
last shipment, the notation shall read ``SPLIT SHIPMENT, FINAL.'' Each
subsequent manifest covering a part of a split shipment shall also show
in the ``number of packages'' column only the goods carried on that
particular flight and a reference to the total amount originally
declared for export (for example, 5 of 11, or 5/11). Immediately
following the line showing the portion of the split shipment carried on
that flight, a notation will be made showing the air waybill number
shown in the original EEI and the portions of the originally declared
total carried on each previous flight, together with the number and
date of each such previous flight (for example, air waybill 123; 1 of 2
flight 36A, June 6 SPLIT SHIPMENT; 2 of 2, flight 40X, June 6 SPLIT
SHIPMENT, FINAL).
(c) Since the complete EEI was filed for the entire shipment
initially, additional electronic reporting will not be required for
these subsequent shipments.
Sec. 30.29 Reporting of repairs and replacements.
These guidelines will govern the reporting of the following:
(a) The return of goods previously imported for repair and
alteration only and other returns to the foreign shipper of temporary
imported goods (declared as such on importation) shall have Schedule B
or HTS classification commodity number 9801.10.0000. The value reported
in the EEI shall include parts and labor. The value of the original
product shall not be included.
(b) Goods that are covered under warranty.
(1) Goods that are reexported after repair under warranty shall
follow the procedures in paragraph (a) of this section. It is
recommended that the bill of lading, air waybill, or other loading
documents include the statement, ``This product was repaired under
warranty.''
(2) Goods that are replaced under warranty at no charge to the
customer shall include the statement, ``Product replaced under
warranty, value for EEI purposes'' on the bill of lading, air waybill,
or other commercial-loading documents. Place the notation below the
proof of filing citation or exemption legend on the commercial
document. Report the value of the replacement part only.
Sec. Sec. 30.30-30.34 [Reserved]
Subpart D--Exemptions From the Requirements for the Filing of
Electronic Export Information
Sec. 30.35 Procedure for shipments exempt from filing requirements.
Where an exemption from the requirement for filing is provided in
this subpart, a legend describing the basis for the exemption shall be
made on the first page of the bill of lading, air waybill, or other
commercial loading document for carrier use, or on the carrier's
outbound manifest. The exemption legend shall reference the number of
the section or provision in this part where the particular exemption is
provided (for example, Sec. 30.36).
Sec. 30.36 Exemption for shipments destined to Canada.
(a) Except as noted in Sec. 30.2(a)(1)(iv), and in paragraph (b)
of this section, shipments originating in the United States where the
country of ultimate destination is Canada are exempt from the EEI
reporting requirements of this part.
(b) This exemption does not apply to the following types of export
shipments:
(1) Sent for storage in Canada, but ultimately destined for third
countries.
(2) Exports moving from the United States through Canada to a third
destination shall be reported in the same manner as for all other
exports. The USPPI or authorized agent shall follow the instructions as
contained in this part for preparing and filing the EEI.
(3) Requiring a Department of State, DDTC, export license under the
ITAR (22 CFR parts 120 through 130).
(4) Requiring a Department of Commerce, BIS export license under
EAR 15 CFR parts 730 through 774.
(5) Subject to the ITAR, but exempt from license requirements.
(6) Classified as rough diamonds under 6-digit Harmonized System
subheadings 7102.10, 7102.21, and 7102.31.
Sec. 30.37 Miscellaneous exemptions.
Electronic Export Information is not required for the following
kinds of shipments. However, the Census Bureau has the authority to
periodically require the reporting of shipments that are normally
exempt from filing.
(a) Except as noted in Sec. 30.2(a)(1)(iv), exports of commodities
where the value of the commodities shipped from one USPPI to one
consignee on a single exporting carrier, classified under an individual
Schedule B or HTS commodity classification code, is $2,500 or less.
This exemption applies to individual Schedule B or HTS commodity
classification codes regardless of the total shipment value. In
instances where a shipment contains a mixture of individual Schedule B
or HTS commodity codes valued $2,500 or less and individual Schedule B
or HTS commodity classification codes valued over $2,500, only those
commodity classification codes valued over $2,500 need be reported. If
the filer reports multiple items of the same Schedule B or HTS code,
this exception only applies if the total value of exports for the
Schedule B/HTS code is $2,500 or less. This exemption does not apply to
shipments requiring a license from either the Department of Commerce or
the Department of State or a license exemption for commodities
controlled under the USML.
(b) Tools of trade and their containers that are usual and
reasonable kinds and quantities of commodities and software intended
for use by individual USPPIs or by employees or representatives of the
exporting company in furthering the enterprises and undertakings of the
USPPI abroad. Commodities and software eligible for this exemption are
those that do not require an export license or that are exported as
tools of the trade under a license exception of the EAR (15 CFR
740.9(a)(2)(i) and 740.14(b)(4)), and are subject to the following
provisions:
(1) Are owned by the individual USPPI or exporting company.
(2) Accompany the individual USPPI, employee, or representative of
the exporting company.
(3) Are necessary and appropriate and intended for the personal
and/or business use of the individual USPPI,
[[Page 8220]]
employee, or representative of the company or business.
(4) Are not for sale.
(5) Are returned to the United States no later than one year from
the date of export.
(6) Are not shipped under a bill of lading or an air waybill.
(c) Shipments from one point in the United States to another point
in the United States by routes passing through Canada or Mexico.
(d) Shipments from one point in Canada or Mexico to another point
in the same country by routes through the United States.
(e) Shipments, other than by vessel, of goods for which no export
licenses or ITAR exemptions are required, transported in bond through
the United States, and exported from another U.S. port, or transshipped
and exported directly from the port of arrival. (However, where goods
are shipped through the United States for export to a third country of
ultimate destination, but are first entered for consumption or for
warehousing in the United States, EEI shall be filed when the goods are
exported from the United States.)
(f) Exports of technology and software as defined in 15 CFR part
772 of the EAR that do not require an export license are exempt from
filing requirements. However, EEI is required for mass-market software.
For purposes of this part, mass-market software is defined as software
that is generally available to the public by being sold at retail
selling points, or directly from the software developer or supplier, by
means of over-the-counter transactions, mail-order transactions,
telephone transactions, or electronic mail-order transactions, and
designed for installation by the user without further substantial
technical support by the developer or supplier.
(g) Intangible exports of software and technology, such as
downloaded software and technical data, regardless of whether an export
license is required, and mass-market software exported electronically.
(h) Shipments to foreign libraries, government establishments, or
similar institutions, as provided in Sec. 30.40(d).
(i) Shipments as authorized under License Exception GFT for gift
parcels and humanitarian donations (see 15 CFR 740.12 of the EAR).
(j) Diplomatic pouches and their contents.
(k) Human remains and accompanying appropriate receptacles and
flowers.
(l) Shipments of interplant correspondence, executed invoices and
other documents, and other shipments of company business records from a
U.S. firm to its subsidiary or affiliate. This excludes highly
technical plans, correspondence, etc. that could be licensed.
(m) Shipments of pets as baggage, accompanied or unaccompanied, of
persons leaving the United States, including members of crews on
vessels and aircraft.
(n) Carriers' stores, not shipped under a bill of lading or an air
waybill (including goods carried in ships aboard carriers for sale to
passengers), supplies, and equipment for departing vessels, planes, or
other carriers, including usual and reasonable kinds and quantities of
bunker fuel, deck engine and steward department stores, provisions and
supplies, medicinal and surgical supplies, food stores, slop chest
articles, and saloon stores or supplies for use or consumption on board
and not intended for unlading in a foreign country, and including usual
and reasonable kinds and quantities of equipment and spare parts for
permanent use on the carrier when necessary for proper operation of
such carrier and not intended for unlading in a foreign country. Hay,
straw, feed, and other appurtenances necessary to the care and feeding
of livestock while en route to a foreign destination are considered
part of carriers' stores of carrying vessels, trains, planes, etc.
(o) Dunnage, not shipped under a bill of lading or an air waybill,
of usual and reasonable kinds and quantities necessary and appropriate
to stow or secure cargo on the outgoing or any immediate return voyage
of an exporting carrier, when exported solely for use as dunnage and
not intended for unlading in a foreign country.
(p) Shipments of aircraft parts and equipment; food, saloon, slop
chest, and related stores; and provisions and supplies for use on
aircraft by a U.S. airline to its own installations, aircraft, and
agents abroad, under EAR license exception (AVS) for aircraft and
vessels (see 15 CFR 740.15(c)).
(q) Electronic Export Information is not required for the following
types of commodities when they are not shipped as cargo under a bill of
lading or an air waybill and do not require an export license, but the
USPPI shall be prepared to make an oral declaration to the CBP Port
Director, when required: baggage and personal effects, accompanied or
unaccompanied, of persons leaving the United States, including members
of crews on vessels and aircraft.
Sec. 30.38 Exemption from the requirements for reporting complete
commodity information.
The following type of shipments will require limited reporting of
EEI when goods are shipped under a bill of lading or an air waybill. In
such cases, Schedule B or HTS commodity classification codes, unit of
measure, and domestic/foreign indicator shall not be required.
(a) Usual and reasonable kinds and quantities of wearing apparel,
articles of personal adornment, toilet articles, medicinal supplies,
food, souvenirs, games, and similar personal effects and their
containers.
(b) Usual and reasonable kinds and quantities of furniture,
household effects, household furnishings, and their containers.
(c) Usual and reasonable kinds and quantities of vehicles, such as
passenger cars, station wagons, trucks, trailers, motorcycles,
bicycles, tricycles, baby carriages, strollers, and their containers
provided that the above-indicated baggage, personal effects, and
vehicular property: (see 19 CFR part 192 for separate CBP requirements
for the exportation of used self-propelled vehicles.)
(1) Shall include only such articles as are owned by such person or
members of his/her immediate family;
(2) Shall be in his possession at the time of or prior to his/her
departure from the United States for the foreign country;
(3) Are necessary and appropriate for the use of such person or
his/her immediate family;
(4) Are intended for his use or the use of his/her immediate
family; and
(5) Are not intended for sale.
Sec. 30.39 Special exemptions for shipments to the U.S. armed
services.
Electronic Export Information is not required for any and all
commodities, whether shipped commercially or through government
channels, consigned to the U.S. Armed Services for their exclusive use,
including shipments to armed services exchange systems. This exemption
does not apply to articles that are on the USML or controlled by the
ITAR and shipments that are not consigned to the U.S. armed services
but are for their ultimate use.
Sec. 30.40 Special exemptions for certain shipments to U.S.
Government agencies and employees.
Electronic Export Information is not required for the following
types of shipments to U.S. Government agencies and employees:
(a) Office furniture, office equipment, and office supplies shipped
to and for
[[Page 8221]]
the exclusive use of U.S. Government offices.
(b) Household goods and personal property shipped to and for the
exclusive and personal use of U.S. Government employees.
(c) Food, medicines, and related items and other commissary
supplies shipped to U.S. Government offices or employees for the
exclusive use of such employees, or to U.S. Government employee
cooperatives or other associations for subsequent sale or other
distribution to such employees.
(d) Books, maps, charts, pamphlets, and similar articles shipped by
U.S. Government offices to U.S. or foreign libraries, government
establishments, or similar institutions.
Sec. Sec. 30.41-30.44 [Reserved]
Subpart E--General Carrier and Manifest Requirements
Sec. 30.45 General statement of requirement for the filing of carrier
manifests with proof of filing citations for the electronic submission
of export information or exemption legends when Automated Export System
filing is not required.
(a) Requirement for filing carrier manifest. Carriers transporting
goods from the United States, Puerto Rico, or U.S. Possessions to
foreign countries; from the United States or Puerto Rico to the U.S.
Virgin Islands; or between the United States and Puerto Rico; shall not
be granted clearance and shall not depart until complete manifests (for
vessels, aircraft, and rail carriers) have been delivered to the CBP
Port Director in accordance with all applicable requirements under CBP
regulations. Each bill of lading, air waybill, or other commercial
loading document shall contain the appropriate AES proof of filing
citations, covering all cargo for which EEI is required, or exemption
legends, covering cargo for which EEI need not be filed by the
regulations of this part. Such annotation shall be without material
change or amendment of AES proof of filing citations or exemption
legends as provided to the carrier by the USPPI or its authorized
agent.
(1) Vessels. Vessels transporting goods as specified (except
vessels exempted by paragraph (a)(4) of this section) shall file a
complete manifest. Manifests may be filed via paper or electronically
through the AES Vessel Transportation Module as provided in CBP
Regulations, 19 CFR 4.63 and 4.76.
(i) Bunker fuel. The manifest (including vessels taking bunker fuel
to be laden aboard vessels on the high seas) clearing for foreign
countries shall show the 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 goods shall file a complete
manifest as required in CBP Regulations 19 CFR 122.72 through 122.76.
The manifest shall be filed with the CBP Port Director at the port
where the goods are laden. For shipments from the United States to
Puerto Rico, the manifests shall be filed with the CBP Port Director at
the port where the goods are unladed in Puerto Rico.
(3) Rail carriers. Rail carriers transporting goods shall file a
car manifest with the CBP Port Director at the border port of export in
accordance with 19 CFR Part 123.
(4) Carriers not required to file manifests. Carriers exempted from
filing manifests under applicable CBP regulations are required, upon
request, to present to the CBP Port Director, the proof of filing
citation or exemption legend for each shipment.
(5) Penalties. Failure of the carrier to file a manifest as
required constitutes a violation of the regulations in this part and
renders such carrier subject to the penalties provided for in subpart H
of this part.
(b) Partially exported shipments. Except as provided in paragraph
(c) of this section, when a carrier identifies, prior to filing the
manifest, that a portion of the goods covered by a single EEI
transaction has not been exported on the intended carrier, it shall be
noted on the manifest submitted to CBP. The carrier shall notify the
USPPI or the authorized agent of changes to the commodity data, and the
USPPI or the authorized agent shall electronically transmit the
corrections, cancellations, or amendments as soon as they are known in
accordance with Sec. 30.9. Failure by the carrier to correct the
manifest constitutes a violation of the regulations in this part, and
renders the carrier subject to the penalties provided for in subpart H
of this part.
(c) ``Split shipments'' by air. When a shipment by air covered by a
single EEI transmission is exported in more than one aircraft of the
carrier, the ``split shipment'' procedure provided in Sec. 30.28 shall
be followed by the carrier in delivering manifests with the proof of
filing citation or exemption legend to the CBP Port Director.
(d) Attachment of commercial documents. The manifest shall carry a
notation that values stated are as presented on the bills of lading,
cargo lists, or other commercial documents. The bills of lading, cargo
lists, or other commercial forms shall be securely attached to the
manifest in such manner as to constitute one document. The manifest
shall reference the statement ``Cargo as per bills of lading attached''
or ``Cargo as per commercial forms attached.'' Also required on the
face of each bill of lading shall be the information required by the
manifest for cargo covered by that document.
(e) Exempt items. For any item for which EEI need not be reported
by the regulations in this part, a notation on the manifest, or an oral
declaration to the CBP Port Director, shall be made by the carrier as
to the basis for the exemption.
(f) Proof of filing citations and exemption legends.
(1) The exporting carrier shall not accept paper SEDs under any
circumstances nor load cargo that does not have an appropriate proof of
filing citation or exemption legend.
(2) The exporting carrier is subject to the penalties provided for
in subpart H of this part if the exporting carrier
(i) Accepts paper SEDs for cargo or
(ii) Loads cargo without appropriate AES proof of filing citations
or exemption legends.
Sec. 30.46 Requirements for the filing of export information by
pipeline carriers.
The operator of a pipeline may transport goods to a foreign country
without the prior filing of the proof of filing citation or exemption
legend, on the condition that within four (4) calendar days following
the end of each calendar month the operator will deliver to the CBP
Port Director the proof of filing citations covering all exports
through the pipeline to each consignee during the month.
Sec. 30.47 Clearance or departure of carriers under bond on
incomplete manifests.
(a) Except when carriers are transporting goods from the United
States to Puerto Rico, clearance or permission to depart may be granted
to any carrier by the CBP Port Director prior to the filing of a
complete manifest, to the extent authorized, per the bond provisions as
contained in 19 CFR 4.75, 4.76, and 122.74.
(b) Except as provided in 19 CFR 4.75, 4.76 and 122.74 as
applicable, on the bond, or on a separate listing as part of the bond,
a pro forma list of AES proof
[[Page 8222]]
of filing citations and exemption legends shall be shown by the
departing carrier. This listing may be waived by the CBP Port Director
if such waiver does not interfere with the ability of the CBP Port
Director to check on performance under the bond or with identifying
shipments for which statistical data are required.
Sec. Sec. 30.48--30.49 [Reserved]
Subpart F-Import Requirements
Sec. 30.50 General requirements for filing import entries.
Electronic entry filing Automated Broker Interface (ABI), paper
import entry summaries (CBP-7501), or paper record of vessel foreign
repair or equipment purchase (CBP-226) shall be completed by the
importer or its licensed import broker and filed directly with CBP in
accordance with 19 CFR. Information on all mail and informal entries
required for statistical and CBP purposes shall be reported, including
value not subject to duty. Upon request, the importer or import broker
shall provide the Census Bureau with information or documentation
necessary to verify the accuracy of the reported information, or to
resolve problems regarding the reported import transaction received by
the Census Bureau.
(a) Import information for statistical purposes shall be filed for
goods shipped as follows:
(1) Entering the United States from foreign countries.
(2) Admitted to U.S. FTZs.
(3) From the U.S. Virgin Islands.
(4) From other non-foreign areas (except Puerto Rico).
(b) Sources for collecting import statistics include the following:
(1) CBP's ABI Program (see 19 CFR, subpart A, part 143).
(2) CBP-7501 paper entry summaries required for individual
transactions (see 19 CFR, subpart B, part 142).
(3) CBP-226, Record of Vessel Foreign Repair or Equipment Purchase
(see 19 CFR 4.7 and 4.14).
(4) CBP-214, Application for Foreign Trade Zone Admission and/or
Status Designation (Statistical copy).
(5) Automated Foreign Trade Zone Reporting Program (AFTZRP).
Sec. 30.51 Statistical information required for import entries.
The information required for statistical purposes is, in most
cases, also required by CBP regulations for other purposes. Refer to
CBP Web site at http://www.cbp.gov to download ``Instructions for
Preparation of CBP-7501,'' for completing the paper entry summary
documentation (CBP-7501). Refer to the Customs and Trade Automated
Interface Requirements for instructions on submitting an ABI electronic
record, or instructions for completing the CBP-226 for declaring any
equipment, repair parts, materials purchased, or expense for repairs
incurred outside of the United States.
Sec. 30.52 Foreign Trade Zones.
Foreign goods entering FTZs shall be reported as a general import.
When goods are withdrawn from a FTZ for export to a foreign country,
the export shall be reported in accordance with Sec. 30.2. When goods
are drawn for domestic consumption or entry into a bonded warehouse,
the withdrawal shall be reported on CBP-7501 or through the ABI in
accordance with CBP regulations. (This section emphasizes the reporting
requirements contained in CBP regulations 19 CFR part 146, ``Foreign
Trade Zones.'') When foreign goods enter a FTZ, the zone operator is
required to file CBP-214, ``Application for Foreign Trade Zone
Admission and/or Status Designation.'' Refer to the CBP Web site for
instructions on completing the CBP-214. Per 19 CFR 146.32(a), the
applicant for admission shall present the CBP-214 to the Port Director
and shall include the statistical (pink) copy, CBP-214(A), for
transmittal to the Census Bureau, unless the applicant makes
arrangements for the electronic transmission of statistical information
to the Census Bureau through the AFTZRP. Companies operating in FTZs
interested in reporting CBP-214 statistical information electronically
on a monthly basis shall apply directly to the Census Bureau. Monthly
electronic reports shall be filed with the Census Bureau no later than
the tenth calendar day of the month following the report month.
Participation in the Census Bureau program does not relieve companies
of the responsibility to file the CBP-214 with CBP. The following data
items are required to be filed, in the AFTZRP, for statistical purposes
(Use the instructions and definitions provided in 19 CFR part 146 for
completing these fields.):
(a) HTS Classification Code.
(b) Country of Origin.
(c) Country Sub-code.
(d) U.S. Port of Entry.
(e) U.S. Port of Unlading.
(f) Transaction Type.
(g) Statistical Month.
(h) Mode of Transportation.
(i) Company Authorization Symbol.
(j) Carrier Code.
(k) Foreign Port of Lading.
(l) Date of Exportation.
(m) Date of Importation.
(n) Special Program Indicator Field.
(o) Unit of Quantity.
(p) CBP (dutiable) Value.
(q) Gross (shipping) Weight.
(r) Charges.
(s) U.S. Value.
(t) FTZ/Subzone Number.
(u) Zone Admission Number.
(v) Vessel Name.
(w) Serial number.
(x) Trade Identification.
(y) Admission Date.
Sec. 30.53 Import of goods returned for repair.
Import entries covering U.S. goods imported temporarily for repair
or alteration and reexport are required to show the following
statement: ``Imported for Repair and Reexport'' on the CBP-7501 or in
the ABI entry. Whenever goods are returned to the United States after
undergoing either repair, alteration, or assembly under HTS heading
9802, the country of origin shall be shown as the country in which the
repair, alteration, or assembly is performed. When the goods are for
reexport and if they meet all of the requirements for filing EEI, file
according to the instructions provided in Sec. 30.2, except for the
following data items:
(a) Value. Report the value of the repairs, including parts and
labor. Do not report the value of the original product. If goods are
repaired under warranty, at no charge to the customer, report the cost
to repair as if the customer is being charged.
(b) HTS Classification Code. Report HTS commodity classification
code, 9801.10.0000 for goods re-exported after repair.
Sec. 30.54 Special provisions for imports from Canada.
(a) When certain softwood lumber products described under
Harmonized Tariff Schedule of the United States (HTSUS) subheadings
4407.1000, 4409.1010, 4409.1090, and 4409.1020 are imported from
Canada, import entry records are required to show a valid Canadian
Province of Manufacture Code. The Canadian Province of Manufacture is
determined on a first mill basis (the point at which the item was first
manufactured into a covered lumber product). For purposes of
determination, Province of Manufacture is the first province where the
subject goods underwent a change in tariff classification to the tariff
classes cited in this paragraph. The Province of Manufacture Code
should replace the Country of Origin code on the CBP-7501, Entry
Summary form. For
[[Page 8223]]
electronic ABI entry summaries, the Canadian Province Code should be
transmitted in positions 6-7 of the A40 records. These requirements
apply only for imports of certain soft lumber products for which the
Country of Origin is Canada.
(b) All other imports from Canada, including certain softwood
lumber products not covered in paragraph (a) of this section, will
require the two-letter designation of the Canadian Province of Origin
to be reported on U.S. entry summary records. This information is
required only for U.S. imports that under applicable CBP rules of
origin are determined to originate in Canada. For nonmanufactured goods
determined to be of Canadian origin, the Province of Origin is defined
as the Province where the exported goods were originally grown, mined,
or otherwise produced. For goods of Canadian origin that are
manufactured or assembled in Canada, with the exception of the certain
softwood lumber products described in paragraph (a) of this section,
the Province of Origin is that in which the final manufacture or
assembly is performed prior to exporting that good to the United
States. In cases where the province in which the goods were
manufactured, assembled, grown, mined, or otherwise produced is
unknown, the province in which the Canadian vendor is located can be
reported. For those reporting on paper forms the Province of Origin
code replaces the country of origin code on the CBP-7501, Entry Summary
form.
(c) All electronic ABI entry summaries for imports originating in
Canada also required the new Canadian Province of Origin code to be
transmitted for each entry summary line item in the A40 record
positions 6-7.
(d) The Province of Origin code replaces the Country of Origin code
only for imports that have been determined, under applicable CBP rules,
to originate in Canada. Valid Canadian Province/Territory codes are:
XA--Alberta
XB--New Brunswick
XC--British Columbia
XM--Manitoba
XN--Nova Scotia
XO--Ontario
XP--Prince Edward Island
XQ--Quebec
XS--Saskatchewan
XT--Northwest Territories
XV--Nunavut
XW--Newfoundland
XY--Yukon
Sec. 30.55 Confidential information, import entries, and withdrawals.
The contents of the statistical copies of import entries and
withdrawals on file with the Census Bureau are treated as confidential
and will not be released without authorization by CBP, in accordance
with 19 CFR 103.5 relating to the copies on file in CBP offices. The
importer or import broker must provide the Census Bureau with
information or documentation necessary to verify the accuracy or
resolve problems regarding the reported import transaction.
(a) The basic responsibility for obtaining and providing the
information required by the general statistical headnotes of the HTS
rests with the person filing the import entry. This is provided for in
section 484(a) of the Tariff Act, 19 CFR 141.61(e) of CBP regulations,
and Sec. 30.50 of this subpart. Authority can also be found in CBP
Regulations 19 CFR 141.61(a) which require that the entry summary data
clearly set forth all information required.
(b) 19 CFR 141.61(e) of the CBP regulations provides that penalty
procedures relating to erroneous statistical information shall not be
invoked against any person who attempts to comply with the statistical
requirements of the General Statistical Notes of the HTS. However, in
those instances where there is evidence that statistical suffixes are
misstated to avoid quota action, or a misstatement of facts is made to
avoid import controls or restrictions related to specific commodities,
the importer or its licensed broker should be aware that the
appropriate actions will be taken under 19 U.S.C. 1592, as amended.
Sec. Sec. 30.56-30.59 [Reserved]
Subpart G--General Administrative Provisions
Sec. 30.60 Confidentiality of Electronic Export Information.
(a) Confidential status. The EEI contained in the AES is
confidential, to be used solely for official purposes as authorized by
the Secretary of Commerce. The collection of EEI by the Department of
Commerce has been approved by the Office of Management and Budget. The
information collected is used by the Census Bureau for statistical
purposes only and by the BIS of the Department of Commerce for export
control purposes. In addition, EEI is used by other Federal agencies
such as the Department of State and CBP for export control. Except as
provided for in paragraph (f) of this section, information reported
through the AES shall not be disclosed to anyone by any officer,
employee, contractor, or agent of the federal government other than to
the USPPI, FPPI, the authorized agent of the USPPI or the FPPI, or the
transporting carrier (the parties). Such disclosure shall be limited to
that information provided to the AES by each party.
(b) Penalties. Disclosure of confidentiality of EEI by any officer,
employee, contractor, or agent of the Federal Government except as
provided for in paragraphs (a) and (f) of this section renders such
persons subject to the penalties provided for in subpart H of this
part.
(c) Supplying EEI for official purposes. The EEI may be supplied to
federal agencies for official purposes, defined to include, but not
limited to:
(1) Verification of export shipments for export control and
compliance purposes;
(2) Providing proof of export; and
(3) Compliance and audit purposes by the USPPI, FPPI, agents of
USPPI and FPPI, and carriers. Such disclosure shall be limited to that
information provided to the AES by each party. Official purposes shall
also include those determined to be in the national interest pursuant
to Title 13 U.S.C., Section 301(g) and paragraph (e) of this section.
(d) Supplying EEI for non-official purposes. The EEI shall not be
disclosed by the USPPI or the authorized agent or representative of the
USPPI or authorized agent for non-official purposes, defined to
include, but not limited to:
(1) Claims for exemption from Federal internal revenue tax or state
taxes;
(2) Use by the IRS for purposes not related to export control or
compliance;
(3) Use by state and local government agencies, and non-
governmental entities; and
(4) Use by foreign governments.
(e) Copying of information to manifests. Because the ocean manifest
can be made public under provision of CBP regulations, no information
from the EEI, except the ITN, proof of filing citation or exemption
legend, shall be copied to the outward manifest of ocean carriers.
(f) Determination by the Secretary of Commerce. Under Title 13,
U.S.C., Chapter 9, Section 301(g), the EEI is exempt from public
disclosure unless the Secretary or delegate determines that such
exemption would be contrary to the national interest. The Secretary or
his or her delegate may make such information available, if he or she
determines it is in the national interest, taking such safeguards and
precautions to limit dissemination as deemed appropriate under the
circumstances. In recommendations or decisions regarding such actions,
it shall be presumed to be contrary to the national interest to provide
EEI for purposes set forth in
[[Page 8224]]
paragraph (d) of this section. In determining whether, under a
particular set of circumstances, it is contrary to the national
interest to apply the exemption, the maintenance of confidentiality and
national security shall be considered as important elements of national
interest.
Sec. 30.61 Statistical classification schedules.
The following statistical classification schedules are referenced
in this part. These schedules, except as noted, may be accessed through
the Census Bureau's Web site at: http://www.census.gov/trade.
(a) Schedule B: Statistical Classification for Domestic and Foreign
Commodities Exported from the United States shows the detailed
commodity classification requirements and 10-digit statistical
reporting numbers to be used in preparing EEI, as required by the
regulations in this part.
(b) Harmonized Tariff Schedules of the United States Annotated for
Statistical Reporting shows the 10-digit statistical reporting number
to be used in preparing import entries and withdrawal forms. (Note:
This site is maintained by the United States International Trade
Commission (USITC) at http://www.usitc.gov.)
(c) Schedule C--Classification of Country and Territory
Designations for U.S. Foreign Trade Statistics.
(d) Schedule D--Classification of CBP Districts and Ports for U.S.
Foreign Trade Statistics.
(e) Schedule K--Classification of Foreign Ports by Geographic Trade
Area and Country. (Note: This site is maintained by the Army Corps of
Engineers.)
(f) International Air Transport Association (IATA)--Code of the
carrier for air shipments. These are the 2-digit or 3-digit air carrier
codes to be used in reporting EEI, as required by the regulations in
this part.
(g) Standard Carrier Alpha Code (SCAC)--Classification of the
carrier for vessel, rail and truck shipments, showing the 4-character
code necessary to prepare EEI, as required by the regulations in this
part. (Note: This site is maintained by the National Motor Freight
Traffic Association at http://www.nmfta.org.)
Sec. 30.62 Emergency exceptions.
The Census Bureau and CBP may jointly authorize the postponement of
or exceptions to the requirements of the regulations in this part as
warranted by the circumstances in individual cases of emergency where
strict enforcement of the regulations would create a hardship. In cases
where export control requirements also are involved, the concurrence of
the regulatory agency and CBP also will be obtained.
Sec. 30.63 Office of Management and Budget control numbers assigned
pursuant to the Paperwork Reduction Act.
(a) Purpose. This subpart will comply with the requirements of the
Paperwork Reduction Act (PRA), 44 U.S.C. 3507(f), which requires that
agencies display a current control number assigned by the Director of
OMB for each agency information collection requirement.
(b) Display.
------------------------------------------------------------------------
Current OMB
15 CFR section where identified and described control no.
------------------------------------------------------------------------
30.1 through 30.99.................................... 0607-0152
------------------------------------------------------------------------
Sec. Sec. 30.64-30.69 [Reserved]
Subpart H--Penalties
Sec. 30.70 Violation of the Clean Diamond Trade Act.
Public Law 108-19, the Clean Diamond Trade Act (the Act), section
8(c), authorizes CBP and the Bureau of Immigration and Customs
Enforcement (ICE), as appropriate, to enforce the laws and regulations
governing exports of rough diamonds, including those with respect to
the validation of the Kimberley Process Certificate by the exporting
authority. The Treasury Department's OFAC also has enforcement
authority pursuant to section 5(a) of the Clean Diamond Trade Act (the
Act), Executive Order 13312, and Rough Diamonds Control Regulations (31
CFR part 592). CBP, ICE, and OFAC, pursuant to section 5(a) of the Act,
are further authorized to enforce provisions of section 8(a) of the
Act, that provide for the following civil and criminal penalties:
(a) Civil penalties. A civil penalty not to exceed $10,000 may be
imposed on any person who violates, or attempts to violate, any order
or regulation issued under the Act.
(b) Criminal penalties. For the willful violation or attempted
violation of any license, order, or regulation issued under the Act, a
fine not to exceed $50,000, shall be imposed upon conviction, or;
(1) If a natural person, imprisoned for not more than ten (10)
years, or both;
(2) If an officer, director, or agent of any corporation,
imprisoned for not more than 10 years, or both.
Sec. 30.71 False or fraudulent reporting on or misuse of the
Automated Export System.
(a) Criminal penalties. (1) Failure to file; submission of false or
misleading information. Any person, including USPPIs, authorized agents
or carriers, who knowingly fails to file or knowingly submits, directly
or indirectly, to the U.S. Government, false or misleading export
information through the AES, shall be subject to a fine not to exceed
$10,000 or imprisonment for not more than five (5) years, or both, for
each violation.
(2) Furtherance of illegal activities. Any person, including
USPPIs, authorized agents or carriers, who knowingly reports, directly
or indirectly, to the U.S. Government any information through or
otherwise uses the AES to further any illegal activity shall be subject
to a fine not to exceed $10,000 or imprisonment for not more than five
(5) years or both for each violation.
(3) Forfeiture penalties. Any person who is convicted under this
subpart shall, in addition to any other penalty, be subject to
forfeiting to the United States:
(i) Any of that person's interest in, security of, claim against,
or property or contractual rights of any kind in the goods or tangible
items that were the subject of the violation.
(ii) Any of that person's interest in, security of, claim against,
or property or contractual rights of any kind in tangible property that
was used in the export or attempt to export that was the subject of the
violation.
(iii) Any of that person's property constituting, or derived from,
any proceeds obtained directly or indirectly as a result of this
violation.
(4) Exemption. The criminal fines provided for in this subpart are
exempt from the provisions of section 3571 of Title 18, U.S.C.
(b) Civil penalties. (1) Filing false/misleading information,
failure to file, furtherance of illegal activities, delayed filing
violations. A civil penalty not to exceed $1,000 for each day's
delinquency beyond the applicable period prescribed in Sec. 30.4, but
not more than $10,000 per violation, may be imposed for failure to file
information or reports in connection with the exportation or
transportation of cargo.
(2) Penalties for other violations. A civil penalty not to exceed
$10,000 per violation may be imposed for each violation of provisions
of this part other than any violation encompassed by paragraph (b)(1)
of this section. Such penalty may be in addition to any other penalty
imposed by law.
(3) Forfeiture penalties. In addition to any other civil penalties
specified in this section, any property involved in a violation may be
subject to forfeiture under applicable law.
[[Page 8225]]
Sec. 30.72 Civil penalty procedures.
(a) General. Whenever a civil penalty is sought for a violation of
this part, the charged party is entitled to receive a formal complaint
specifying the charges and, at his or her request, to contest the
charges in a hearing before an administrative law judge. Any such
hearing shall be conducted in accordance with sections 556 and 557 of
Title 5, U.S.C.
(b) Commencement of civil actions. If any person fails to pay a
civil penalty imposed under this subpart, the Secretary may request the
Attorney General to commence a civil action in an appropriate district
court of the United States to recover the amount imposed (plus interest
at currently prevailing rates from the date of the final order). No
such action may be commenced more than five (5) years after the date
the order imposing the civil penalty becomes final. In such action, the
validity, amount, and appropriateness of such penalty shall not be
subject to review.
(c) Remission and mitigation. Any penalties imposed under Sec.
30.71(b)(1) and (b)(2) may be remitted or mitigated, if:
(1) The penalties were incurred without willful negligence or
fraud; or
(2) Other circumstances exist that justify a remission or
mitigation.
(d) Applicable law for delegated function. If, pursuant to Title
13, U.S.C., section 306, the Secretary delegates functions addressed in
this part to another agency, the provisions of law of that agency
relating to penalty assessment, remission or mitigation of such
penalties, collection of such penalties, and limitations of action and
compromise of claims shall apply.
(e) Deposit of payments in General Fund of the Treasury. Any amount
paid in satisfaction of a civil penalty imposed under this subpart
shall be deposited into the general fund of the Treasury, and credited
as miscellaneous receipts.
Sec. 30.73 Enforcement.
(a) Department of Commerce. The BIS's Office of Export Enforcement
(OEE) may conduct investigations pursuant to this part. In conducting
investigations, OEE may, to the extent necessary or appropriate to the
enforcement of this part, exercise such authorities as are conferred
upon OEE by other laws of the United States, subject to policies and
procedures approved by the Attorney General.
(b) Department of Homeland Security. The ICE and CBP may enforce
the provisions of this part or conduct investigations under this part.
Sec. Sec. 30.74-30.99 [Reserved]
Appendix A to Part 30--Format for the Letter of Intent, Automated
Export System
The first requirement for approval/certification to file in the
AES is to submit an electronic Letter of Intent (LOI). The LOI is a
statement of a company's desire to participate in the AES. It shall
set forth a commitment to develop, maintain, and adhere to CBP and
Census performance requirements and operations standards. Once the
LOI is received, a CBP Client Representative and a U.S. Census
Bureau Client Representative will be assigned to the company. Census
will forward additional information to prepare the company for
participation in the AES.
The AES postdeparture filing privilege allows a USPPI approved
to file postdeparture (an approved USPPI) or an authorized agent
filing on behalf of an approved USPPI to submit complete export data
at any time prior to or within ten (10) calendar days after the date
of exportation. Applicants will be reviewed by several government
agencies prior to acceptance for the postdeparture filing. Failure
to provide complete and accurate information will be grounds for
rejecting the LOI for the postdeparture filing option. Incomplete or
inaccurate information on the LOI for the predeparture filing status
will be returned without action to the organization filing the
application.
The LOIs shall include all of the following:
1. Company Name, Address (no P.O. boxes), City, State, Postal
Code.
2. Company Contact Person, Phone Number, Fax Number, E-mail
Address.
3. Technical Contact Person, Phone Number, Fax Number, E-mail
Address.
4. Corporate Office Address, City, State, Postal Code.
5. Type of Business--USPPI, Authorized Agent/Broker, Ocean
Carrier, Software Vendor, Service Center, etc. (Indicate all that
apply).
(i) Authorized Agents/Brokers, indicate the number of USPPIs for
which export information is filed.
(ii) USPPIs, indicate whether you applied for AES predeparture
and/or postdeparture filing (only USPPIs can apply for postdeparture
filing).
6. Identify the filing type sought: Predeparture, Postdeparture
filing, or BOTH
(Note: Only USPPIs can apply for postdeparture filing).
If applying for postdeparture filing, state/identify the reason
for the request.
7. Filer Code--EIN, SSN, or DUNS (Indicate all that apply).
8. Description of products exported and 6-digit Schedule B/HTS
number(s). Only the 6-digit Schedule B/HTS number(s) identified will
be approved for use in postdeparture filing.
(i) Indicate seasonal product(s).
(ii) Identify why the product is seasonal.
9. Types of Licenses or Permits.
10. U.S. Ports of Export Expected to be Utilized.
11. Average Monthly Number of Export Shipments requiring the
filing of EEI.
12. Average Monthly Value of Export Shipments requiring the
filing of EEI.
13. Software Vendor Name, Contact, and Phone Number (if using
vendor provided software).
14. Modes of Transportation used for export shipments (Air,
Vessel, Truck, Rail, etc.).
15. The following self-certification statement, signed by an
officer of the company: ``I, ------ representing or on behalf of,
(COMPANY NAME) certify that all statements made and all information
provided herein are true and correct. I understand that civil and
criminal penalties 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; 18 U.S.C.
1001).''
BILLING CODE 3510-07-P
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[GRAPHIC] [TIFF OMITTED] TP17FE05.000
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[GRAPHIC] [TIFF OMITTED] TP17FE05.001
Dated: February 10, 2005.
Charles Louis Kincannon,
Director, Bureau of the Census.
[FR Doc. 05-2926 Filed 2-16-05; 8:45 am]
BILLING CODE 3510-07-C