[Federal Register Volume 73, Number 106 (Monday, June 2, 2008)]
[Rules and Regulations]
[Pages 31548-31590]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E8-12133]
[[Page 31547]]
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Part II
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; Final
Rule
Federal Register / Vol. 73, No. 106 / Monday, June 2, 2008 / Rules
and Regulations
[[Page 31548]]
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DEPARTMENT OF COMMERCE
Bureau of the Census
15 CFR Part 30
[Docket Number: 031009254-6014-03]
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: Final rule.
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SUMMARY: The U.S. Census Bureau (Census Bureau) issues this final rule
to amend its regulations to implement provisions in the Foreign
Relations Authorization Act. Specifically, the Census Bureau is
requiring mandatory filing of export information through the Automated
Export System (AES) or through AESDirect for all shipments where a
Shipper's Export Declaration (SED) is required.
DATES: Effective Date: This rule is effective July 2, 2008.
Implementation Date: The Census Bureau will implement provisions of
this rule on September 30, 2008. This will allow all affected entities
sufficient time to come into compliance with this rule.
FOR FURTHER INFORMATION CONTACT: C. Harvey Monk, Jr., Assistant
Director for Economic Programs, U.S. Census Bureau, Room 8K108,
Washington, DC 20233-6010, by phone (301) 763-2932, by fax (301) 457-
3767, or by e-mail [email protected].
SUPPLEMENTARY INFORMATION:
Background
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 such data is used by the Census
Bureau for statistical purposes only. The export trade data reported
pursuant to this Part 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. This information is exempt from
public disclosure unless the Secretary of Commerce determines under the
provisions of Title 13, U.S.C., Chapter 9, Section 301(g), that such
exemption would be contrary to the national interest.
This rule provides that all export information for which an SED is
required be filed through the AES. The AES is an electronic method for
filing the paper SED information directly with the U.S. Customs and
Border Protection (CBP) and the Census Bureau. The AESDirect is the
Census Bureau's free Internet-based system for filing SED information
through the AES. Future references to the AES also shall apply to
AESDirect unless otherwise specified. In addition, with regards to
postdeparture filing, the Census Bureau and CBP have agreed that the
moratorium placed on Option 4 (postdeparture filing) in August 2003,
will remain in effect pending further review of the postdeparture
filing program.
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 the 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
to 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 authorized 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 authorized the
Secretary of Commerce to issue regulations regarding imposition of
penalties, both civil and criminal, for the delayed filing, failure to
file, false filing of export information, and/or using the AES to
further any illegal activity. The Act provided for administrative
proceedings for imposition of a civil penalty for violation(s) of
Public Law 107-228. Finally, the Act authorized the Secretary of
Commerce to designate employees of the Office of Export Enforcement of
the Department of Commerce (DOC) to conduct investigations and perform
the enforcement functions in Title 13, U.S.C., Chapter 9, and the
Commissioner of Customs to designate employees of the Customs Service
to enforce and conduct investigations under the same provisions. The
latter authority is now exercised by the U.S. Immigration and Customs
Enforcement (ICE) and CBP officials in the U.S. Department of Homeland
Security (DHS). In addition, by Memorandum of Understanding dated
September 25, 2005, the Secretary delegated the authority to enforce
sections 304 and 305 of Title 13, U.S.C., and 15 CFR, part 30 to the
Secretary of Homeland Security. Nothing in this rule is intended to
restrict the authority of DHS under Section 343 of the Trade Act of
2002.
In the February 17, 2005, Federal Register (70 FR 8200), the Census
Bureau published a Notice of Proposed Rulemaking (NPR) and request for
comments on the regulations implementing the mandatory requirement to
file export information through the AES or AESDirect for all shipments
where SED information is required. Public comments were requested
through April 18, 2005. A summary of comments received from the export
trade community and the Census Bureau's response to those comments are
presented in this rule.
Response to Comments
The Census Bureau received 45 letters and/or e-mails commenting on
the NPR published in the Federal Register on February 17, 2005, (70 FR
8200). All the letters and/or e-mails contained comments on two or more
issues. A summary of the comments and the Census Bureau's responses are
provided below.
The major concerns were as follows:
1. Clarify the filing requirement for Electronic Export Information
(EEI). Several commentors questioned whether the filing requirements
had changed under the mandatory AES versus filing the paper SED. In
addition, the commentors wanted clarification regarding the filing of
EEI for Puerto Rico and U.S. territories. The requirements for filing
EEI have not changed. All persons currently required
[[Page 31549]]
to file the SED will be required to file the same information through
the AES. The requirements to file EEI for goods shipped to the United
States from Puerto Rico, goods shipped to Puerto Rico from the United
States, and goods shipped to the U.S. Virgin Islands from the United
States or Puerto Rico, remain unchanged.
2. Status of the use of the External Transaction Number (XTN) and
the Internal Transaction Number (ITN). Commentors wanted clarification
on when the XTN and the ITN could be used under the new regulations.
Under the Final Rule, only the ITN is acceptable as the proof of filing
citation. The ITN confirms that the shipment information has been
accepted in the AES. The XTN will no longer be accepted as a proof of
filing.
3. Clarify the time frame for filing EEI. Commentors indicated they
were unclear about the time frames for filing in the AES. The time
frame varies according to method of transportation for predeparture
filing. For State Department USML shipments, refer to the International
Traffic in Arms Regulations (ITAR) (22 CFR 120-130), Sec. 123.22, for
the specific requirements concerning filing time frames. For non-USML
shipments, file the EEI as follows: (1) For vessel cargo, the U.S.
Principal Party in Interest (USPPI) or authorized agent shall file the
EEI as required by Sec. 30.6 and provide the filing citation or
exemption legend to the exporting carrier 24 hours prior to loading
cargo on the vessel at the U.S. port where the cargo is laden; (2) for
air cargo, the USPPI or authorized agent shall file the EEI as required
by Sec. 30.6 and provide the filing citation or exemption legend to
the exporting carrier, including air express couriers, no later than
two hours prior to the scheduled departure time of the aircraft; (3)
for truck cargo, the USPPI or authorized agent shall file the EEI as
required by Sec. 30.6 and provide the filing citation or exemption
legend to the exporting carrier no later than one hour prior to the
arrival of the truck at the U.S. border to go foreign; (4) for rail
cargo, the USPPI or authorized agent shall file the EEI as required by
Sec. 30.6 and provide the filing citation or exemption legend to the
exporting carrier no later then two hours prior to the time the cargo
arrives at the U.S. border to go foreign; (5) for mail and cargo
shipped by other methods, except pipeline exports, the USPPI or
authorized agent shall file the EEI as required by Sec. 30.6 and
provide the filing citation or exemption legend to the exporting
carrier no later than two hours prior to exportation; (6) for pipeline
exports, the USPPI or authorized agent shall file the EEI as required
by Sec. 30.6 and provide the filing citation or exemption legend to
the operator of the pipeline within four days following the end of each
calendar month; and, (7) for postdeparture filing, by approved USPPIs,
in accordance with Sec. 30.5(c), the USPPI or authorized agent shall
file the EEI as required by Sec. 30.6 and provide the filing citation
or exemption legend to the exporting carrier no later than ten calendar
days from the date of export.
4. Clarify Option 4 (Postdeparture) filing requirements. Commentors
wanted clarification regarding parties that would be approved for
postdeparture filing. In agreement with the Census Bureau and CBP, the
moratorium placed on Option 4 (postdeparture filing) on August 15, 2003
(see notice at http://www.census.gov/aes) will remain in effect pending
further review of the postdeparture filing program.
5. Amend the regulations to reduce or eliminate the $2,500
exemption level. Several commentors proposed that the Census Bureau
remove or reduce the current $2,500 exemption level. The Census Bureau
believes that removing the $2,500 exemption level for reporting would
substantially increase the reporting burden on the exporting community,
especially on small businesses. This change would increase the number
of shipments reported each month by approximately 4,000,000. In
addition, the Census Bureau and CBP do not have the resources to
process the additional workload.
6. Amend the downtime requirements. Commentors were concerned that
export shipments would be delayed if the AES became unavailable. The
Census Bureau has found that during its 12 years in operation, the AES
has demonstrated a high level of reliability in performance. The system
has been available to users 99 percent of the time. For this reason,
the Census Bureau has determined that mandatory filing through the AES
would not cause a substantial delay in export shipments. In the
unlikely event that the AES is unavailable, the filer of a USML
shipment shall not be allowed to export until the AES is operational
and the filer is able to acquire an ITN. See Sec. 30.4(b)(1) for more
information. For non-USML shipments, the regulation provides for a
downtime filing citation to allow goods to be exported. See Sec.
30.4(b)(2) for more information.
7. Clarify the requirements for power of attorney or written
authorization. Commentors were concerned that the language regarding
the requirement for power of attorney or written authorization was
drafted incorrectly. The Census Bureau reviewed the NPR regarding the
requirement and found an instance where it stated ``power of attorney
and written authorization,'' and it should read ``power of attorney or
written authorization.'' This language has been changed in the Final
Rule. In addition, a commentor questioned whether the language had been
changed regarding the power of attorney or written authorization
requirement. The Census Bureau did not change the language or the
requirement for power of attorney or the need for written authorization
that currently exists in the regulations.
8. Clarify manner in which fines and penalties will be enforced and
how a filer submits a voluntary self-disclosure. Several commentors
were concerned about which agency would enforce the penalty provisions
of the Foreign Trade Regulations (FTR). Pursuant to the authority in
Public Law 107-228, the Secretary of Commerce has delegated authority
for enforcement to the Bureau of Industry and Security's (BIS) Office
of Export Enforcement (OEE) and the DHS. The Census Bureau has worked
with CBP and the BIS to develop regulations implementing the process
and requirements for submitting a notification disclosing a violation
or suspected violation of the FTR. These regulations are found in
Subpart H, Sec. 30.74 Voluntary Self-Disclosure.
9. Amend a number of definitions in the definition section of the
proposed rule. Several commentors proposed changes to definitions
contained in the NPR. The Census Bureau revised the following
definitions in Sec. 30.1:
Booking. The Census Bureau revised this definition to add ``truck
and train'' as methods of transportation. The Census Bureau made this
revision as a result of public comments.
Carrier. The Census Bureau deleted ``non-vessel operating common
carriers'' because a commentor felt that the term could cause confusion
and the Census Bureau agreed.
Commerce Control List (CCL). The Census Bureau revised the
definition to provide the location of CCL items in the Export
Administration Regulations (EAR).
Commodity. The Census Bureau deleted this term and the
corresponding definition because commentors indicated that it was too
general.
Domicile. The Census Bureau deleted this term because it is no
longer used in the FTR.
Exceptions. This term was changed to ``license exception'' and
moved accordingly.
[[Page 31550]]
Exclusions. The Census Bureau added this definition as a result of
comments that requested clarification of this term.
Export Control Classification Number (ECCN). This definition was
revised to clarify the description and purpose of this number.
Filers. The Census Bureau added this definition as a result of
comments that requested clarification of this term.
Filing Electronic Export Information. The Census Bureau added this
definition as a result of comments that requested clarification of this
term.
Foreign Entity. The Census Bureau added this definition as a result
of comments that requested clarification of this term.
Foreign Principal Party in Interest (FPPI). The Census Bureau
revised this definition because it was inconsistent with the
regulations defining the responsibilities of the parties to an export
transaction. Therefore the Census Bureau revised this definition to
ensure clarity.
Merchandise. The Census Bureau revised this term and corresponding
definition in accordance with industry standards as commentors
indicated that it was too general.
Service Center. The Census Bureau added this definition as a result
of comments that requested clarification of this term.
Transmitting Electronic Export Information. The Census Bureau added
this definition as a result of comments that requested clarification of
this term.
Ultimate Consignee. The Census Bureau revised this definition to
expand the definition of ultimate consignee to also include a party or
designee that is located abroad and actually receives the export
shipment. The definition was also revised to provide examples of the
ultimate consignee. The Census Bureau revised the definition as a
result of comments that indicated that the definition was inaccurate.
Violation of the FTR. The Census Bureau added this definition to
clarify what constitutes a violation.
10. Amend the proposed rule to make it a requirement that the agent
of FPPI provides the USPPI with a copy of the power of attorney or
written authorization from the FPPI. Commentors were concerned about
the requirement to provide information to an agent of the FPPI in a
routed export transaction. The Census Bureau has revised Sec.
30.3(e)(2) of the FTR to require the agent of the FPPI, upon request,
to provide the USPPI with a copy of power of attorney or the written
authorization giving the agent the authority to file the EEI on behalf
of the FPPI before the USPPI provides the required information
necessary to complete the EEI filings.
11. Clarify whether an export license or license exemption is
required for exports from U.S. territories. Also clarify whether paper
SEDs are required by CBP for items that are controlled by the
Department of State or the BIS. The commentor's request for
clarification on whether an export license or license exemption or
items that are controlled by the Department of State or the BIS is
required for export from U.S. territories is outside the scope of the
Foreign Trade Regulations. The commentor's question should be addressed
to the Department of State and the BIS. Neither the Census Bureau nor
CBP requires EEI or a paper SED for goods shipped from U.S. territories
including, Guam Island, American Samoa, Wake Island, Midway Island, and
the Northern Mariana Islands to foreign countries or areas and goods
shipped between the United States and these territories.
12. Amend the proposed rule to address the treatment of split
shipments by air. Several commentors were concerned about having to
identify the piece count details of shipments that are split among
multiple flights. The commentors indicated that the regulations
regarding the treatment of split shipments by air would have a
substantial impact on air carriers. Commentors provided no further
information. The Census Bureau reviewed this section of the NPR and
found that the requirement was not changed from the previous
regulations and remains appropriate. This requirement has existed for
more than 20 years.
13. Amend the proposed rule to relax the security requirements
regarding reporting computer viruses and the requirement that the AES
Administrator change administrator codes or passwords for security
purposes when employees leave the company. Several commentors were
concerned that these requirements would be a burden to the AES filers.
The requirement to notify the Census Bureau Foreign Trade Division's
Security Officer when a virus infection occurs only applies to systems
connected to the AESDirect. This procedure is a security requirement
for the purpose of maintaining the federal government's system
certification for AESDirect. The requirement to change the password
when an employee leaves the company only applies to employees leaving
the company who had direct access to the AES Sec. 30.5(d)(2). This is
not a new requirement and remains appropriate.
14. Amend the regulations by dropping Subpart F--Import
Requirements. One commentor believes that having import regulations in
15 CFR 30, and also in 19 CFR is confusing to the trade. More than one
federal agency has jurisdiction over imports, therefore, it is
appropriate for regulations to exist in more than one place. While CBP
regulations (19 CFR) cover most of the requirements for filing import
information, there are additional statistical requirements specific to
the Census Bureau that are found in the FTR (15 CFR) and that are not
the subject of CBP regulations.
15. Amend the proposed rule Sec. 30.52--Foreign Trade Zones (FTZ).
Commentors are concerned that language in Sec. 30.52 did not describe
some of the activities of FTZs. The Census Bureau reviewed the proposed
language changes and replaced the word ``enter'' with ``are admitted
into'' in the introductory paragraph and the word ``mode'' with
``method'' in Sec. 30.52(h) to more accurately reflect the activities
of the zones.
16. Create a registration number to be used in place of the
Employer Identification Number (EIN) or Social Security Number (SSN). A
commentor was concerned about providing the EIN or SSN to a FPPI's
agent or placing the EIN or SSN on the proof of filing citation. The
Census Bureau agrees that a registration number should be created so
that filers', USPPI's, or agents' EIN or SSN can be kept confidential.
The Census Bureau is currently working with CBP to develop a system
that allows the reporting of registration numbers, and will address
this issue in a future rulemaking.
17. Clarify the filing of foreign waterborne in-transit shipments
by the U.S. Army Corps of Engineers. A commentor believes that the U.S.
Army Corps of Engineers should not be responsible for reporting EEI on
export of in-transit shipments. Previously, the Census Bureau, the U.S.
Army Corps of Engineers, and the Maritime Administration jointly
collected in-transit information for vessel shipments. This joint
collection activity dates back to 1948, with the Census Bureau
designated as the primary collection agency. In 1996, under joint
agreement among the Census Bureau, U.S. Army Corps of Engineers, the
Maritime Administration, and the Office of Management and Budget (OMB),
the U.S. Army Corps of Engineers was designated the primary data
collection agency for vessel in-transit data. Thus, it is the
responsibility of the U.S. Army Corps of Engineers to collect data
regarding vessel in-transit shipments leaving the United States. This
does not, however, affect or alter the
[[Page 31551]]
responsibility of USPPIs and others to comply with other agency in-
transit requirements such as those required by CBP. (See e.g., 19 CFR
18)
18. Redesign the Vessel Transportation Module (VTM) of the AES to
allow paperless submissions of proof of filing citations and exemption
legends and revise the FTR to require the paperless submission of the
proof of filing citation and exemption legends. Several commentors from
the vessel shipping lines wanted to submit electronic manifests and
wanted to receive the proof of filing citation and exemption legends
from the filers electronically. The Census Bureau determined that this
proposal would require a significant redesign of the AES, VTM, and the
AES Commodity Module, and would likely need to be developed as a part
of CBP's Automated Commercial Environment development. At this time,
neither CBP nor the Census Bureau has the resources available to
implement this proposal. Until the implementation of a system that has
the capability described by the commentor, the AES will continue to
require the filer to provide the vessel carriers with the proof of
filing citations or the exemption legends.
19. Clarify the retention of export information and the authority
to require proof of documentation of EEI. Several commentors indicated
that the requirements of Sec. 30.10 were unclear. The Census Bureau
agreed, and the section was completely revised to clarify the
requirements for retaining export information and to eliminate the
requirement to retain paper certification notices. In the course of
clarifying this section, the Census Bureau determined that it was not
necessary for filers to retain paper copies of certain documents. In
order to reduce the recordkeeping burdens on filers, the Census Bureau
eliminated the requirement that AES filers retain a paper copy of the
Letter of Intent to participate in the AES and the requirement that
AESDirect and/or AESPcLink filers print and maintain a copy of their
electronic certification notice. In addition, the Census Bureau
modified this section to add a note describing its responsibilities
with respect to the retention and maintenance of EEI.
20. Amend the rule to provide exemption from filing EEI for
temporary exports including carnets. Several commentors believe that
the regulation should state that temporary exports are exempt from
filing. The Census Bureau's regulations have always exempted temporary
exports, such as carnets, from filing requirements. However, the Census
Bureau agrees that carnets should be expressly stated in regulations
and thus it has been added to that exemption in Sec. 30.37. However,
temporary exports that require an export license, temporary exports
destined for a country listed in Country Group E:1 as set forth in
Supplement 1 to 15 CFR 740, or an ITAR licensing exemption are not
exempt.
21. Amend the filing citation and exemption legend requirements.
Several commentors requested changes in language with respect to the
filing citations and exemption legends requirement because it was
inconsistent with industry practice. The Census Bureau made several
changes to the language to reflect industry practice with respect to
who must provide exemption legends (see Sec. 30.7).
22. Clarify the procedures for responding to fatal error messages
when filing postdeparture. A commentor stated that Sec. 30.9(b) did
not take postdeparture filing into account. The Census Bureau has
reviewed the section and has revised the Final Rule to address
postdeparture filings. If a filer encounters a fatal error when filing
a postdeparture shipment, the filer must resubmit the EEI no later than
ten calendar days after export.
23. Clarify that estimated date of departure can be used if the
actual date of departure is not known. A commentor was concerned that
sometimes the filer may not know the actual date of departure. The
Census Bureau acknowledges that there are times when the filer may not
know the actual date of departure. In these instances, the filer may
provide an estimated departure date. However, it is the USPPI's or the
authorized filing agent's responsibility to transmit accurate export
information as known at the time of filing in the AES and transmit any
changes to that information as soon as they are known.
24. Clarify whether export shipments to Mexico and Canada must be
filed in AES. A commentor questioned whether SEDs are required to be
filed for shipments destined to Canada and Mexico. All export shipments
to Mexico valued over $2,500 or shipments that require an export
license, a license exemption, or a Kimberley Process Certificate for
rough diamonds classified under the 6-digit Harmonized Schedule
subheadings 7102.10, 7102.21, and 7102.31, are required to be reported
in the AES. Export shipments to Canada are not required to be filed
through the AES, unless they require an export license, a license
exemption, or a Kimberley Process Certificate for rough diamonds
classified under the 6-digit Harmonized Schedule subheadings 7102.10,
7102.21, and 7102.31. See Sec. Sec. 30.2(a) and 30.36.
25. Amend the proposed rule regarding the annotation of proof of
filing citations, 15 CFR Sec. 30.7. A commentor requested that the
Census Bureau limit the length of the AES downtime filing citation to
no more than 32 characters. The Census Bureau acknowledges that the
filing citation may be lengthy, and thus may result in mistakes.
Therefore, the Census Bureau has removed the ``shipment reference
number'' from the downtime citation to make the AES downtime filing
citation less than 32 characters.
26. Amend Sec. 30.7 Annotating Proof of Filing Citation. The
commentor requested that the Census Bureau amend the regulations to
define the difference between an authorized agent and an exporting
carrier when both roles are fulfilled by the same, affiliated, or
controlled subsidiary legal entity. The Census Bureau reviewed the
request and Sec. 30.7 was revised to define the different roles of
authorized agents and carriers.
27. Clarify that intangible exports of software and technology are
exempt from the EEI requirements. A commentor requested that the Census
Bureau confirm that EEI is not required for intangible exports of
software and technology. The Census Bureau's FTR does not require the
reporting of intangible exports of software and technology. However,
the Department of State, and/or the DOC may require separate filings
for intangible exports of software and technology and technical data
that require a license. The Census Bureau recommends that the
Department of State and DOC be contacted regarding their specific
licensing requirements.
28. Amend the proposed rule by removing the carrier name and
Standard Carrier Alpha Code (SCAC) as data elements. One commentor
requested that carrier name and SCAC be removed as data elements. The
Census Bureau is unable to discontinue collection of these data
elements because each remains a statistical and enforcement
requirement.
29. Amend the proposed rule regarding responsibilities in a routed
export transaction. A commentor requested language be added to Sec.
30.3(e), ``Parties are free to structure transactions as they wish and
to delegate functions and tasks as they deem necessary, as long as the
transactions comply with the FTR.'' The Census Bureau considered the
proposal and decided that the addition of the proposed language would
create confusion rather than clarity. In a routed
[[Page 31552]]
export transaction the authorized agent of the FPPI shall be
responsible for filing the EEI accurately and timely in accordance with
the FTR.
30. Amend the rule by adding a note to Sec. 30.3. A commentor
requested that the Census Bureau revise the FTR to be consistent with
the EAR. The Census Bureau added a note to Sec. 30.3 to alert filers
that the definition used for exporter in the EAR is different from the
definition used for the USPPI in the FTR because of each agency's
distinct obligations and requirements. Therefore, due to the different
mission of each agency, conformity of documentation is not required in
the FTR.
31. Amend the proposed rule, Sec. 30.37(a)--Miscellaneous
Exemptions. A commentor requested that the Census Bureau confirm if the
miscellaneous exemption for goods valued $2,500 or less can be used if
the domestic value and the foreign value are each under $2,500, even if
their total value exceeds $2,500. The Census Bureau's FTR requires that
items of domestic or foreign origin under the same commodity
classification number should always be reported separately and listed
only if either is valued over $2,500.
Changes to the Proposed Rule Made by This Final Rule
After consideration of the comments received, the Census Bureau
revised certain provisions and added several provisions in the Final
Rule to address the concerns of the commentors and to clarify the
requirements of the rule. The changes made in this Final Rule are as
follows:
1. Section 30.2(a)(ii) is amended to clarify that goods previously
admitted to customs warehouses or FTZs moving under CBP bond between
Puerto Rico and United States and to the U.S. Virgin Islands from the
United States or Puerto Rico shall require filing EEI. This change is
in response to concerns addressed in item 15 in the ``Response to
Comments'' section.
2. Section 30.2(a)(iv) is amended to clarify exemptions in Subpart
D by deleting (A), specific references to Office of Foreign Assets
Control regulations, renumbering existing (B) through (E) to (A)
through (D), and adding a new (E) to clarify a BIS requirement. This
change was made to provide clarity and consistency.
3. Section 30.2(d)(2) is amended by deleting ``* * * when an export
license or license exemption is not required,'' because currently no
export license is required for the following U.S. territories: Guam
Island, American Samoa, Wake Island, Midway Island, and the Northern
Mariana Islands. This change was in response to concerns addressed in
item 11 in the ``Response to Comments'' section.
4. In response to item 20 in the ``Response to Comments'' section,
Sec. 30.3(b)(2)(iv) is deleted because it relates to an exemption for
reexports that is addressed in Sec. 30.37. Section 30.3(b)(2)(v) is
renumbered Sec. 30.3(b)(2)(iv). A new Sec. 30.3(b)(2)(v) has been
added to provide clarification on who shall be the USPPI when goods are
imported for consumption and reexported without being changed or
enhanced. This change was made during internal agency review.
5. Section 30.3(e)(1) is amended to clarify the language describing
the treatment of a routed export transaction if the FPPI agrees to
allow the USPPI to file EEI. This change is in response to concerns
addressed in item 10 in the ``Response to Comments'' section. Also,
Sec. 30.3(e)(1) is amended by adding a note to paragraph (e)(1) that
was inadvertently dropped in the proposed rule.
6. Section 30.3(e)(2) is amended to clarify the authorized agents
responsibilities in a routed export transaction. This change is in
response to concerns addressed in item 10 in the ``Response to
Comments'' section.
7. Section 30.3(e)(2)(xiii) and (xiv) is amended by adding a
clarifying note to this paragraph that was inadvertently dropped in the
proposed rule. This change was made to provide clarity and consistency.
8. Section 30.3(e)(1) is amended by adding a clarifying note to
this section that was inadvertently dropped in the proposed rule. This
change is in response to concerns addressed in item 29 in the
``Response to Comments'' section.
9. Section 30.3(f) is amended to clarify that in a routed export
transaction the USPPI is not required to provide the agent of the FPPI
with a power of attorney or written authorization. This change is in
response to concerns addressed in item 10 in the ``Response to
Comments'' section.
10. Section 30.6(a)(18) is amended by deleting shipments under
carnet from the list of export codes. This listing of carnets in the
export codes was in error. This change is made to ensure consistency
with the response to concerns addressed in item 20 in the ``Response to
Comments'' section.
11. Section 30.6(b)(13) is amended to specify that an entry number
is required for goods withdrawn from a FTZ and exported. This change is
in response to concerns addressed in item 15 in the ``Response to
Comments'' section.
12. Section 30.10 is amended to clarify the requirements for the
retention of EEI and the authority to require production of
documentation of EEI. This change is in response to concerns addressed
in item 19 in the ``Response to Comments'' section.
13. Section 30.37 is amended by adding exemptions (q), (r), (s),
and (t) that were not included in the proposed rule. This change was
made to provide clarity and consistency.
14. Section 30.4(b)(2)(i) is amended to read: ``(i) For vessel
cargo, the USPPI or authorized agent shall file the EEI required by
Sec. 30.6 and provide the filing citation or exemption legend to the
exporting carrier 24 hours prior to the cargo being loaded on the
vessel at the U.S. port where the cargo is laden.'' This change is in
response to concerns addressed in item 21 in the ``Response to
Comments'' section.
15. Section 30.4(b)(2)(iv) is amended to read: ``(iv) For rail
cargo, the USPPI or the authorized agent shall file the EEI, required
by Sec. 30.6, and provide the filing citation or exemption legend to
the exporting carrier no later than two hours prior to the time train
arrives at the U.S. border to go foreign.'' This change is in response
to concerns addressed in item 21 in the ``Response to Comments''
section.
16. Section 30.45(a) is amended by deleting ``* * * U.S.
possessions'' and replacing it with ``the U.S. Virgin Islands.'' The
reference to U.S. territories was too broad. Also language was added to
clarify that CBP may require a variety of documents, depending upon the
method of transportation, to contain the proof of filing citation or
exemption legend. This change is in response to concerns addressed in
item 21 in the ``Response to Comments'' section.
17. Section 30.45(f) is amended to clarify by method of
transportation when the carrier must obtain the filing citations or
exemption legends. This change is in response to concerns addressed in
item 21 in the ``Response to Comments'' section.
18. Section 30.37 is amended to include carnets as temporary
exports that should have been included in the proposed rule. This
change is in response to concerns addressed in item 20 in the
``Response to Comments'' section.
19. Section 30.71(b)(1) is amended by adding a note to paragraph
(b)(1), which notes an inflation adjustment to penalty provision of
Subpart H. This change was made as a result of the Adjustment for
Inflation Final Rule effective December
[[Page 31553]]
14, 2004, and provided for by the Debt Collection Improvement Act of
1996, Public Law 104-134.
20. Subpart H is amended by adding Sec. 30.74, Voluntary Self-
Disclosure, to specify how to disclose violations or suspected
violations of the FTR. This change is in response to concerns addressed
in item 8 in the ``Response to Comments'' section.
21. Sections 30.2(c)(1), 30.5(a), and 30.5(c) are amended to
clarify that the letter of intent to participate in AES must be filed
electronically at www.aesdirect.gov. This change was made to eliminate
the requirement to submit the paper letter of intent and to be
consistent with a pure electronic environment because filing the
information electronically reduces the burden on both trade and the
government.
22. Section 30.1 is amended to clarify a number of definitions.
These changes are in response to concerns addressed in item 9 in the
``Response to Comments'' section.
23. Section 30.5(d)(1) is amended to clarify that the requirement
to change password only applies to employees leaving the company that
had direct access to the AES. This change is in response to concerns
addressed in item 13 in the ``Response to Comments'' section.
24. Section 30.9(b) is amended to clarify that fatal errors for EEI
filed postdeparture must be corrected as soon as possible, but no later
than ten days after departure if filed postdeparture. This change is in
response to concerns addressed in item 22 in the ``Response to
Comments'' section.
25. Section 30.7 is amended by deleting the filing citation from
the section and adding an Appendix D to Part 30 AES Filing Citation,
Exemption and Exclusion Legends. In addition, the Census Bureau limited
the length of the AES downtime filing citation to no more than 32
characters. These changes were in response to concerns addressed in
item 25 of the ``Response to Comments'' section and to provide clarity
and consistency.
26. Appendix A to Part 30--Format for Letter of Intent has been
removed. The Appendix B sample of Power of Attorney and written
authorization has been renamed A.
27. Appendix B to Part 30--AES Filing Codes have been added to
provide one reference for all the filing codes.
28. Appendix C to Part 30--Summary of Exemptions and Exclusions
from EEI filing is being added to provide a summary of all FTR
exemptions and exclusions.
29. Appendix D to Part 30--AES Filing Citation, Exemption and
Exclusion Legends are being added to provide a summary of all citations
and legends.
30. Appendix E to Part 30--FTSR to FTR Concordances are being added
to provide a crosswalk between the FTSR and FTR.
31. Appendix F to Part 30--FTR to FTSR Concordances are being added
to provide a crosswalk between the FTR and FTSR.
Program Requirements
To comply with the requirements of Public Law 107-228, the Census
Bureau is amending in its entirety the FTSR to specify the requirements
for the mandatory reporting of all export information through the AES
when a SED was required. All future references to the SED shall be
referred to as AES EEI.
The Census Bureau is making the following changes to Title 15, Code
of Federal Regulations (CFR), part 30:
Rename the FTSR to ``Part 30--Foreign Trade Regulations''
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),
Commerce Form 7525-V, from Title 15 CFR 30, so that the AES will be the
only mode for filing information previously required by the SED.
Remove requirements for filing the in-transit SED, ENG
Form 7513, from 15 CFR 30. Responsibility for ENG Form 7513 was
transferred to the U.S. Department of the Army, U.S. Army Corps of
Engineers.
In Sec. 30.2(a)(2), language was included to specify the
four optional means for filing EEI. Two of those methods require the
development of AES software using the Automated Export System Trade
Interface Requirements (AESTIR).
Section 30.2(d), lists types of export transactions
outside the scope of the FTR. The list of out-of-scope transactions
included in Sec. 30.2(d) is not all-inclusive, but includes those
types of shipments about which the Census Bureau receives frequent
inquiries. These types of shipments are to be excluded from EEI filing.
In Sec. 30.3, language was included to specify that in a
``routed'' transaction, the USPPI can compile and transmit export
information on behalf of the FPPI when agreed upon by the FPPI. This
language is consistent with the language of Sec. 758.3 of the EAR and
permits the USPPI to act as an agent of the FPPI upon the written
authorization by the FPPI.
In Sec. 30.4, the time and place-of-filing requirements
for presenting proof of filing citations, postdeparture filing
citations, and/or exemption legends are specified. Specific time and
place-of-filing requirements are included in the FTR in accordance with
provisions of Sec. 341(a) of Public Law 107-210, the Trade Act of
2002. With the exception of the State Department, USML shipments under
the control of the ITAR and shipments approved for postdeparture
filing, the appropriate proof of filing citations and/or exemption
legends are required to be provided to the exporting carrier within
specified time frames depending on the mode of transportation used. For
example, proof of filing citations 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 the cargo is laden. Time and place-
of-filing requirements for other modes of transportation also are
presented in Sec. 30.4 of the FTR.
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. 30.5(c), the postdeparture (formerly Option 4)
approval procedures were removed. 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 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 the AES predeparture filing
requirements by filing EEI through the AES before being approved for
the postdeparture filing privilege; (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. 30.6, language was added delineating the specific
procedure for reporting the value of goods to the AES when inland
freight and insurance
[[Page 31554]]
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, a Routed Export Transaction Indicator and a
Vehicle Identification Qualifier were added to the list of data
elements to be reported through the AES. Both the Routed Export
Transaction Indicator and the Vehicle Identification Qualifier indicate
the conditions of other data elements reported to the AES. The Routed
Export 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 vehicle
number reported.
In Sec. 30.6, the Date of Arrival and the Waiver of Prior
Notice Indicator were removed from the list of data elements that
should be reported through 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
from other export shipments.
Subpart B sets forth export control and export licensing
issues relevant to 15 CFR 30. This subpart adds references to export
control and licensing requirements of the Department of State and other
federal agencies. 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, 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 was revised.
The FTSR did not specifically describe the manner in which these export
transactions should 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.
Subpart E sets forth carrier and manifest issues
pertaining to provisions relevant to 15 CFR 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.
Subpart F sets forth requirements for import shipments
relevant to 15 CFR 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. Instructions to import filers on where to obtain
information on reporting import data are added to Subpart F.
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.
A new Subpart H was created to cover the FTR penalty
provisions formerly addressed in Sec. 30.95 of the FTSR. New penalty
provisions addressed in Subpart H of this part describe the increase in
penalties imposed for violations from $100 to $1,000 for each day of
delinquency, to a maximum from $1,100 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 no more than five years, or both, per violation.
Finally, Subpart H provides for the enforcement of these penalty
provisions by the BIS' Office of Export Enforcement (OEE) and the DHS's
CBP, and ICE.
Other nonsubstantive revisions were made to include
language incorporated from the FTSR to clarify the intent of the
provisions in the FTR.
The Department of State and DHS concur with the provisions
contained in this Final Rule.
Rulemaking Requirements
Regulatory Flexibility Act
The Chief Counsel for Regulation of the DOC 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. The factual basis for this certification was published
in the proposed rule and is not repeated here. No comments were
received regarding the economic impact of this rule. As a result, a
final regulatory flexibility analysis is not required and none was
prepared.
Executive Orders
This rule has been determined to be not significant for purposes of
Executive Order 12866. It has been determined that this rule does not
contain policies with Federalism implications as that term is defined
under Executive Order 13132.
Paperwork Reduction Act
Notwithstanding any other provision of law, no person is required
to respond to, nor shall a person be subject to a penalty for failure
to comply with, a collection of information subject to the requirements
of the Paperwork Reduction Act (PRA), unless that collection of
information displays a current, valid OMB control number. 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 the AES and related documents (e.g., the AES
Participant Application (APA) 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, Exports, Foreign trade, Reporting and
recordkeeping requirements.
[[Page 31555]]
0
For the reason stated in the preamble, the Census Bureau revises 15 CFR
part 30 to read as follows:
PART 30--FOREIGN TRADE REGULATIONS
Subpart A--General Requirements
Sec.
30.1 Purpose and definitions.
30.2 General requirements for filing Electronic Export Information
(EEI).
30.3 Electronic Export Information filer requirements, parties to
export transactions, and responsibilities of parties to export
transactions.
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, or other commercial
loading documents with the proof of filing citations, and exemption
legends.
30.8 Time and place for presenting proof of filing citations, and
exemption and exclusions legends.
30.9 Transmitting and correcting Electronic Export Information.
30.10 Retention of export information and authority to require
production of documents.
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
Electronic Export Information 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 Voluntary self-disclosure.
30.75-30.99 [Reserved]
Appendix A To Part 30--Sample for Power of Attorney and Written
Authorization
Appendix B To Part 30--ES Filing Codes
Appendix C To Part 30--Summary of Exemptions and Exclusions from EEI
filing
Appendix D To Part 30--AES Filing Citation, Exemption and Exclusion
Legends
Appendix E To Part 30--FTSR to FTR Concordance
Appendix F To Part 30--FTR to FTSR Concordance
Authority: 5 U.S.C. 301; 13 U.S.C. 301-307; Reorganization plan
No. 5 of 1990 (3 CFR 1949-1953 Comp., p.1004); Department of
Commerce Organization Order No. 35-2A, July 22, 1987, as amended and
No. 35-2B, December 20, 1996, as amended; Public Law 107-228, 116
Stat. 1350.
Subpart A--General Requirements
Sec. 30.1 Purpose and definitions.
(a) This part sets forth the Foreign Trade Regulations (FTR) as
required under the 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 (the Act). 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 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 the Act and these regulations.
(b) Electronic filing through the AES strengthens the U.S.
government's ability to prevent the export of certain items to
unauthorized destinations and/or end users because the AES aids in
targeting, identifying, and when necessary confiscating suspicious or
illegal shipments prior to exportation.
(c) Definitions used in the FTR. 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 export 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, their authorized agent, or the authorized
agent of the FPPI to transmit EEI through 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 AESDirect computer systems
experiences a major failure. The downtime filing citation must appear
on the bill of lading, air waybill, export shipping instructions, or
other commercial loading documents.
AES participant application (APA). An electronic submission 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.
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-
[[Page 31556]]
negotiable bill of lading and is used for similar purposes.
Annotation. An explanatory note (e.g., proof of filing citation,
postdeparture filing citation, AES downtime filing citation, exemption,
or exclusion legend) placed on the bill of lading, air waybill, export
shipping instructions, or other loading document.
Authorized agent. An individual or legal entity physically located
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 summary data on goods imported into the United States.
Automated Export System (AES). The system, including AESDirect, for
collecting EEI 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 information 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 security to ensure the payment
of duties, taxes and fees and/or compliance with certain requirements
such as the submission 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 of goods
on a specific voyage, flight, truck or train.
Bureau of Industry and Security (BIS). This bureau within the U.S.
Department of Commerce is concerned with the advancement of U.S.
national security, foreign policy, and economic interests. The BIS is
responsible for regulating the export of sensitive goods and
technologies; enforcing export control, antiboycott, and public safety
laws; cooperating with and assisting other countries on export control
and strategic trade issues; and assisting U.S. industry to comply with
international arms control agreements.
Buyer. The principal in the export transaction that purchases the
commodities for delivery to the ultimate consignee. The buyer and
ultimate consignee may be the same.
Cargo. Goods being transported.
Carnet. An international customs document that allows the carnet
holder to import into the United States or export to foreign countries
certain goods on a temporary basis without the payment of duties.
Carrier. An individual or legal entity in the business of
transporting passengers or goods. Airlines, trucking companies,
railroad companies, shipping lines, pipeline companies, and slot
charterers are all examples of carriers.
Civil penalty. A monetary penalty imposed on a USPPI, authorized
agent, FPPI, carrier, or other party to the transaction for violating
the FTR, including failing to file export information, filing false or
misleading information, filing information late, and/or using the AES
to further any illegal activity, and/or violating any other regulations
of this part.
Commerce Control List (CCL). A list of items found in Supplement
No. 1 to Part 774 of the EAR. Supplement No. 2 to Part 774 of the EAR
contains the General Technology and Software Notes relevant to entries
contained in the CCL.
Compliance alert. An electronic response 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 their filing
practices and take steps to conform with export reporting requirements.
Consignee. The person or entity named in a freight contract, a
contract of carriage that designates to whom goods have been consigned,
and that has the legal right to claim the goods at the destination.
Consignment. Delivery of goods from a USPPI (the consignor) to an
agent (consignee) under agreement that the agent sells the goods for
the account of the USPPI.
Container. A uniform, reusable metal ``box'' in which goods are
shipped by vessel, truck, or rail as defined in the International
Convention for Safe Containers, as amended (TIAS 9037; 29 U.S.T. 3709).
Controlling agency. The agency responsible for the license
determination on specified goods exported from the United States.
Cost of goods sold. Cost of goods is the sum of expenses incurred
in the USPPI acquisition or production of the goods.
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 indicating a
substantial transformation under the applicable rule of origin for the
good. The country of origin for U.S. imports are 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, stored, or manufactured, as known to
the USPPI at the time of export.
Criminal penalty. For the purpose of this part, a penalty imposed
for knowingly or willfully violating the FTR, including 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 location 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. Goods 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 or improved in condition by further processing or
manufacturing in the United States.
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
[[Page 31557]]
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 export data as
filed in the AES. This is the electronic equivalent of the export data
formerly collected as Shipper's Export Declaration (SED) information
and now mandated to be filed through the AES or AESDirect.
Employer identification number (EIN). The USPPI's Internal Revenue
Service (IRS) EIN 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 FPPI or ultimate consignee.
Enhancement. A change or modification to goods that increases their
value or improves their condition.
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 equipment,
such as container or igloo (Unit Load Device (ULD)) number, truck
license number, or rail car number.
Exclusions. Transactions outside of the scope of the FTR that are
excluded from the requirement of filing EEI.
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, export shipping instructions, 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 the FTR where the particular exemption is
provided (See Appendix D to this part).
Export. To send or transport goods out of a country.
Export Administration Regulations (EAR). Regulations administered
by the BIS that, among other things, provide specific instructions on
the use and types of export licenses required for certain commodities,
software, and technology. These regulations are located in 15 CFR parts
730 through 774.
Export control. Governmental control of exports for statistical or
strategic and short supply or national security purposes, and/or for
foreign policy purposes.
Export Control Classification Number (ECCN). The number used to
identify items on the CCL, Supplement No. 1 to Part 774 of the EAR. The
ECCN consists of a set of digits and a letter. Items that are not
classified under an ECCN are designated ``EAR99.'' Section 738.2 of the
EAR describes the ECCN format.
Export license. A controlling agency's 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; the BIS; the Bureau of Alcohol, Tobacco, and
Firearms; and the Drug Enforcement Administration permit to export.
Export statistics. The measure of quantity and 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. Foreign Trade Zone (FTZ).
Export value. The value of the goods at the U.S. port of export.
The value shall be 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. seaport, airport, or land border port of export.
Cost of goods is the sum of expenses incurred in the USPPI's
acquisition or production of the goods. (See Sec. 30.6(a)(17)).
Fatal error message. An electronic response sent to the filer by
the AES when invalid or missing data has been encountered, the EEI has
been rejected, and the information is not on file in the AES. The filer
is required to immediately correct the problem, correct the data, and
retransmit the EEI.
Filers. Those USPPIs or authorized agents (of either the USPPI or
the FPPI) who have been approved to file EEI directly in the AES system
or AESDirect Internet application.
Filing electronic export information. The act of entering the EEI
in the AES.
Foreign entity. A person that temporarily enters into the United
States and purchases or obtains goods for export. This person does not
physically maintain an office or residence in the United States. This
is a special class of USPPI.
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. This party may be the ultimate consignee.
Foreign Trade Zone (FTZ). Specially licensed 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 facilitate the movement of 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 or any
other item identified by a Harmonized Tariff System (HTS) code.
Harmonized system. A method of classifying goods for international
trade developed by the Customs Cooperation Council (now the World
Customs Organization).
Harmonized Tariff Schedule of the United States (HTSUS). An
organized listing of goods and their duty rates, developed by the U.S.
International Trade Commission, which 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 brought into the United States,
including:
(1) Goods of foreign origin, and
(2) Goods of domestic origin returned to the United States without
substantial transformation affecting a change in tariff classification
under an applicable rule of origin.
Inbond. A procedure administered 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 are paid, or until they are exported from the United States.
The procedure is so named because the cargo moves under a bond
(financial liability assured by the principal on the bond) from the
gateway seaport, airport, or land border port and remains ``inbond''
until CBP releases the
[[Page 31558]]
cargo at the inland Customs point or at the port of export.
Inland freight. The cost to ship goods between points inland and
the seaport, airport, or land border port of exportation, other than
baggage, express mail, or regular mail.
Intermediate consignee. The person or entity in the foreign country
who acts as an agent for the 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 AES generated number
assigned to a shipment confirming that an EEI transaction was accepted
and is on file in the AES.
International Standards Organization (ISO) Country Codes. The 2-
position alphabetic ISO code for countries used to identify countries
for which shipments are reportable.
International Traffic in Arms Regulations (ITAR). Regulations
administered by the Directorate of Defense Trade Controls within the
U.S. State Department that provide for the control of the export and
temporary import of defense articles and defense services. These
regulations are located in 22 CFR 120-130.
Interplant correspondence. Records or documents from a U.S. firm to
its subsidiary or affiliate, whether in the United States or overseas.
In-transit. 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.
License applicant. The person who applies for an export or reexport
license. (For example, obtaining a license for commodities, software,
or technology that are listed on the CCL.)
License exception. An authorization that allows a USPPI or other
appropriate party to export or reexport under stated conditions, items
subject to the EAR that would otherwise require a license under the
EAR. The BIS License Exceptions are currently contained in Part 740 of
the EAR (15 CFR part 740).
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. Examples of loading documents include the air waybill, inland
bill of lading, ocean bill of lading, and through bill of lading.
Manifest. A collection of documents, including forms, such as the
cargo declaration and annotated bills of lading, that lists and
describes the cargo contents of a carrier, container, or warehouse.
Carriers required to file manifests with CBP Port Director must include
an AES filing citation, or exemption or exclusion legend for all cargo
being transported.
Merchandise. Goods, wares, and chattels of every description, and
includes merchandise the exportation of which is prohibited, and
monetary instruments as defined in 31 U.S.C. 5312.
Method 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. Methods of transportation include vessel,
air, truck, rail, or other.
North American Free Trade Agreement (NAFTA). The formal agreement,
or treaty, among Canada, Mexico, and the United States to promote trade
amongst the three countries. It includes measures for the elimination
of tariffs and nontariff barriers to trade, as well as numerous
specific provisions concerning the conduct of trade and investment.
Office of Foreign Assets Control (OFAC). An agency within the U.S.
Department of the Treasury that administers and enforces economic and
trade sanctions based on U.S. foreign policy and national security
goals against targeted foreign countries, terrorists, international
narcotics traffickers, and those engaged in activities related to the
proliferation of weapons of mass destruction. The OFAC acts under
Presidential wartime and national emergency powers, as well as
authority granted by specific legislation, to impose controls on
transactions and freeze foreign assets under U.S. jurisdiction.
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 FPPI. If a U.S. order party directly arranges for
the sale and export of goods to the FPPI, 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 ID type. Identifies whether the Party ID is an EIN, SSN,
DUNS, or Foreign Entity reported to the AES, i.e., E=EIN, S=SSN,
D=DUNS, T=Foreign Entity.
Person. Any natural person, corporation partnership or other legal
entity of any kind, domestic or foreign.
Port of export. 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 a foreign country. In the case of an export by mail,
use port code 8000.
Postdeparture filing. The privilege granted to approved USPPIs for
their EEI to be filed up to 10 calendar days after the date of export,
i.e., the date the goods are scheduled to cross the U.S. border.
Postdeparture filing citation. A notation placed on the bill of
lading, air waybill, export shipping instructions, or other commercial
loading documents that states that the EEI will be filed after
departure of the carrier. (See Appendix D of this part.)
Power of attorney. A legal authorization, in writing, from a USPPI
or FPPI stating that the agent has authority to act as the principal
party's 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 majority payment or exchange of item
of value or other legal consideration resulting from an export trade
transaction; 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, export shipping instructions, or other commercial loading
document, usually for carrier use, that provides evidence that the EEI
has been filed and accepted in the AES.
Reexport. For statistical purposes: These are exports of foreign-
origin goods that have previously entered the United States, Puerto
Rico, or the U.S. Virgin Islands 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
[[Page 31559]]
further manufacturing 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) these are
shipments of U.S.-origin products from one foreign destination to
another.
Related party transaction. A transaction involving trade between a
USPPI and an ultimate consignee where either party owns directly or
indirectly 10 percent or more of the other party.
Remission. The cancellation or release from a penalty, including
fines, 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, whichever is longer.
Routed export transaction. A transaction in which the FPPI
authorizes a U.S. agent to facilitate export of items from the United
States on its behalf and prepare and file the EEI.
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.
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 the International
Standards Organization codes.
Schedule D. The Classification of CBP districts and ports. The
Schedule D provides a list of CBP districts and 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 U.S. Army Corps of Engineers.
Seller. A principal in the transaction, usually the manufacturer,
producer, wholesaler, or distributor of the goods, that receives the
monetary benefit or other consideration for the exported goods.
Service center. A company, entity, or organization which has been
certified and approved to only transmit complete EEI to the AES.
Shipment. Unless as otherwise provided, all goods being sent from
one USPPI to one consignee to a single country of destination on a
single conveyance and on the same day.
Shipment reference number. A unique identification number assigned
to the shipment by the filer for reference purposes. This number must
remain unique for a period of five years.
Shipper's Export Declaration. The DOC paper form used under the
FTSR to collect information from a person exporting from the United
States. This form was used for compiling the official U.S. export
statistics for the United States and for export control purposes.
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 aircrafts 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.
Transmitting electronic export information. The act of sending the
completed EEI to the AES.
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, the bill of lading number for rail shipments,
and the freight or pro bill for truck shipments.
Ultimate consignee. The person, party, or designee that is located
abroad and actually receives the export shipment. This party may be the
end user or the FPPI.
United States Munitions List (USML). Articles and services
designated for defense purposes under the ITAR and specified in 22 CFR
121.
Unlading. The physical removal of cargo from an aircraft, truck,
rail, or vessel.
U.S. Customs and Border Protection (CBP). CBP is the unified border
agency within the DHS charged with the management, control, and
protection of our Nation's borders at and between the official ports of
entry to the United States. CBP is charged with keeping terrorist and
terrorist weapons from entering the country and enforcing customs,
immigration, agricultural and countless other laws of the United
States.
U.S. Immigration and Customs Enforcement (ICE). An agency within
the DHS that is responsible for enforcing customs, immigration and
related laws and investigating violations of laws to secure the
Nation's borders.
U.S. principal party in interest (USPPI). The person or legal
entity in the United States that receives the primary benefit, monetary
or otherwise, from 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.
Vehicle Identification Number (VIN). A number issued by the
manufacturer and used for the identification of a self-propelled
vehicle.
Verify message. An electronic response sent to the filer by the AES
when an unlikely condition is found.
Violation of the FTR. Failure of the USPPI, FPPI, authorized agent
of the USPPI, FPPI, carrier, or other party to the transaction to
comply with the requirements set forth in 15 CFR 30, for each export
shipment.
Warning message. An electronic response sent to the filer by the
AES when certain incomplete and conflicting data reporting conditions
are encountered.
Wholesaler/distributor. An agent who sells directly for a supplier
and maintains an inventory of the supplier's products.
Written authorization. A legal authorization, in writing, by the
USPPI or FPPI stating that the agent has authority to act as the
USPPI's or FPPI's 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 for shipments admitted to a zone.
Sec. 30.2 General requirements for filing Electronic Export
Information (EEI).
(a) Filing requirements--(1) The EEI shall be filed through the AES
by the United States 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 all exports of physical goods,
[[Page 31560]]
including shipments moving pursuant to orders received over the
Internet. The Automated Export System (AES) is the electronic system
for collecting Shipper's Export Declaration (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. Exceptions, exclusions, and exemptions to this
requirement are provided for in paragraph (d) of this section and
Subpart D of this part. References to the AES also shall apply to
AESDirect unless otherwise specified. For purposes of the regulations
in this part, the SED information shall be referred to as EEI. 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 of this part, 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 nonforeign areas including goods
previously admitted to customs warehouses or FTZs and moving under a
U.S. Customs and Border Protection (CBP) bond:
(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) The EEI 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) Requiring a Department of Commerce, Bureau of Industry and
Security (BIS) license (15 CFR 730-774).
(B) Requiring a Department of State, Directorate of Defense Trade
Controls (DDTC) license under the International Traffic in Arms
Regulations (ITAR) (22 CFR Parts 120 through 130).
(C) Subject to the ITAR, but exempt from license requirements.
(D) Requiring a Department of Justice, Drug Enforcement
Administration (DEA) export permit (21 CFR 1312).
(E) Destined for a country listed in Country Group E:1 as set forth
in Supplement 1 to 15 CFR 740.
(F) Requiring an export license issued by any other federal
government agency.
(G) Classified as rough diamonds under 6-digit HS subheadings
7102.10, 7102.21, and 7102.31.
(2) Filing methods. The USPPI has four means for filing EEI: use
AESDirect; develop AES software using the AESTIR (see http://www.cbp.gov/xp/cgov/export/aes/); purchase software developed by
certified vendors using the AESTIR; or use an authorized agent. An FPPI
can only use an authorized agent in a routed export transaction.
(b) General requirements--(1) The EEI shall be filed prior to
exportation (see Sec. 30.4) unless the USPPI has been approved 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. See Subpart B of this part.
(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 or 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) The EEI is required to be filed in the AES prior to export for
shipments by vessel going directly to the countries identified in U.S.
Customs and Border Protection regulations 19 CFR 4.75(c) and by
aircraft going directly or indirectly to those countries. (See U.S.
Customs and Border Protection regulations 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 EEI. 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 an electronic AES Participant Application (APA)
for AES filing or submission of an online registration for filing
through http://www.census.gov/aes.
(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.
(2) Goods shipped from the U.S. territories and goods shipped
between the United States and these territories do not require EEI
filing. However, goods transiting U.S. territories to foreign
destinations require EEI filing.
(3) Electronic transmissions and intangible transfers. (See Subpart
B of this part 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, the authorized agent, or the authorized U.S. agent
of the FPPI. All EEI submitted 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
EIN or SSN, or DUNS number 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
[[Page 31561]]
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 principal parties in interest in a
transaction are the seller and buyer. In most cases, the forwarding or
other agent is not a principal party in interest.
(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 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.
(v) If a foreign person is listed as the importer of record when
entering goods into the United States for immediate consumption or
warehousing entry, the customs broker who entered the goods, 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 agent shall be
authorized by 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 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 and timely 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) Retaining 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) Accurate preparation and timely filing of 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 file
the EEI.
(iii) Retaining 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 a mutually agreed upon format.
(d) Filer responsibilities. Responsibilities of USPPIs and
authorized agents filing EEI are as follows:
(1) Filing complete and accurate information (see Sec. 30.4 for a
delineation of filing responsibilities of USPPIs and authorized
agents).
(2) Filing 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 filing corrections or cancellations to EEI in
accordance with provisions contained in Sec. 30.9.
(6) Retaining 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 retaining 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 a transaction 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. If the FPPI agrees to allow the USPPI to file the EEI, the FPPI
must provide a written authorization to the USPPI assuming the
responsibility for filing. The USPPI may authorize an agent to file the
EEI on its behalf. If the USPPI or its agent prepares and files the
EEI, it shall retain documentation to support the EEI filed. If the
FPPI agrees to allow the USPPI to file EEI, the filing of the export
transaction shall be treated as a routed export transaction. If the
FPPI authorizes an agent to prepare and file the EEI, the USPPI shall
retain 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) State of origin (State).
(iv) FTZ if applicable.
(v) Commercial description of commodities.
(vi) Origin of goods indicator: Domestic (D) or Foreign (F).
(vii) Schedule B or HTSUSA, Classification Commodity Code.
(viii) Quantities/units of measure.
(ix) Value.
(x) Export Control Classification Number (ECCN) or sufficient
technical information to determine the ECCN.
[[Page 31562]]
(xi) 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 or license exception.
(xii) Any information that it knows will affect the determination
of license authorization (see Subpart B of this part for additional
information on licensing requirements).
Note to Paragraph (e)(1) of this section: For items in paragraph
(e) (1) (ix), (x),(xi) and (xii) of this section, where the FPPI has
assumed responsibility for determining and obtaining license
authority see requirements set forth in 15 CFR 758.3 of the EAR.
(2) Authorized agent responsibilities. In a routed export
transaction, if an authorized agent is preparing and filing the EEI on
behalf of the FPPI, the authorized agent must obtain a power of
attorney or written authorization from the FPPI and prepare and file
the EEI based on information obtained from the USPPI or other parties
involved in the transaction. The authorized agent shall be responsible
for filing the EEI accurately and timely in accordance with the FTR.
Upon request, the authorized agent will provide the USPPI with a copy
of the power of attorney or written authorization from the FPPI. The
authorized agent shall also retain documentation to support the EEI
reported through the AES. The agents shall upon request, provide the
USPPI with the data elements in paragraphs (e)(1)(i) through (xii) of
this section as submitted through the AES. The authorized agent shall
provide the following export information through 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) Method 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.
Note to Paragraph (e)(2) of this section: For items in
paragraphs (e)(2)(xiii) and (xiv) of this section, where the FPPI
has assumed responsibility for determining and obtaining license
authority, see requirements set forth in 15 CFR 758.3 of the EAR.
(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) of the EAR). 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. In routed export transactions the USPPI is not
required to provide an agent of the FPPI with a power of attorney or
written authorization.
Note to Sec. 30.3: The EAR defines the ``exporter'' as the
person in the United States who has the authority of a principal
party in interest to determine and control the sending of items out
of the United States (see 15 CFR 772 of the EAR). For statistical
purposes ``exporter'' is not defined in the FTR. Instead, however,
the USPPI is defined in the FTR.
For purposes of licensing responsibility under the EAR, the U.S. agent
of the FPPI may be the ``exporter'' or applicant on the license in
certain routed export transactions (see 15 CFR 758.3 of the EAR).
Therefore, due to the differences in export reporting requirements
among Federal agencies, conformity of documentation is not required in
the FTR.
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 for the following types of shipments:
(1) Used self-propelled vehicles as defined in 19 CFR 192.1 of U.S.
Customs and Border Protection regulations.
(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.
30.3(e));
(6) Shipments to countries where complete outbound manifests are
required prior to clearing vessels or aircraft for export (see U.S.
Customs and Border Protection regulations 19 CFR 4.75(c) and
122.74(b)(2) for a listing of these countries);
(7) Items identified on the USML of the ITAR (22 CFR 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 HS 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 ITN no later than the time period specified as follows:
(1) For USML shipments, refer to the ITAR (22 CFR 120 through 130)
for specific requirements concerning predeparture filing time frames.
In addition, if a filer is unable to acquire an ITN because the AES is
not operating, the filer shall not export until the AES is operating
and an ITN is acquired.
(2) For non-USML shipments, file the EEI and provide 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 filing citation or
exemption legend to the exporting carrier twenty-four hours prior to
loading cargo on the vessel at 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 filing citation or
[[Page 31563]]
exemption legend 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 filing citation or exemption
legend 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 filing citation or
exemption legend 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 filing citation or exemption legend to the
exporting carrier no later than two (2) hours prior to exportation.
(See Sec. 30.46 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 downtime filing citation as described
in Sec. 30.7(b) and Appendix D; 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 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) Proof of filing citation and exemption and exclusion legends.
The USPPI or the authorized agent shall provide the exporting carrier
with the proof of filing citation and exemption and exclusion legends
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 must be
certified to file through 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 through 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 or written
authorization from the USPPI or FPPI, and be physically located in the
United States to file EEI through the AES. The USPPI or authorized
agent that utilizes a certified software vendor 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 Participation Application. The
USPPI or authorized agent who chooses to file through the AES and seek
approval for postdeparture filing privileges, must submit a complete
on-line LOI at http://www.census.gov/aes.
(2) AESDirect registration. The USPPI or authorized agent who
chooses to file through AESDirect shall also complete the online
AESDirect registration form at http://www.aesdirect.gov. 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
or authorized agent 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 or authorized
agent 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
or authorized agent shall successfully transmit the AES certification
test. 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 or authorized agent
qualifies for certification. Upon successful completion of
certification testing, the USPPI's or authorized agent's status is
moved from testing mode to operational status. The AES 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 or authorized agent has been approved for operational
status. The certification notice will include:
(i) The date that filers may begin transmitting data;
(ii) Reporting instructions; and
(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 postdeparture filing
application at http://www.census.gov/aes. An authorized agent may not
apply on behalf of a USPPI. The Census Bureau will distribute the LOI
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 AES 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
[[Page 31564]]
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 postdeparture filing
application 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) There is no history of filing for the USPPI through the AES.
(ii) The USPPI's volume of EEI reported through the AES does not
warrant participation in postdeparture filing.
(iii) The USPPI or its authorized agent has failed to submit EEI
through the AES in a timely and accurate manner.
(iv) The USPPI has a history of noncompliance with the Census
Bureau export regulations contained in this part.
(v) 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.
(vi) The USPPI has made or caused to be made in the LOI a false or
misleading statement or omission with respect to any material fact.
(vii) The USPPI would pose a significant threat to national
security interests such that its participation in postdeparture filing
should be denied.
(viii) The USPPI has multiple violations of either the EAR (15 CFR
730 through 774) or the ITAR (22 CFR 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 nonselection and for their appeal procedures. A
USPPI denied postdeparture filing status by the Census Bureau will be
provided with a specific reason for nonselection and a Census Bureau
point of contact in an electronic notification letter. A USPPI may
appeal the Census Bureau's nonselection decision by following the
appeal procedure and reapplication 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
through the AES in a timely and accurate manner;
(C) The USPPI has made or caused to be made in the LOI a false or
misleading statement or omission with respect to material fact;
(D) The USPPI submitting the LOI 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 AES applicant is in
violation of export rules and regulations contained in this part;
(E) The USPPI has failed to comply with existing 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 20233-6700. 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 this time period and an
expected date of decision. The USPPIs who have had their postdeparture
filing status denied or revoked may not reapply for this privilege for
one year following written notification of the denial or 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.
(2) Registered companies are responsible for those persons having
access to the user name, administrator code, and password. If an
employee with direct 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 and
administrator code in the system to ensure the integrity and
confidentiality of Title 13 data.
[[Page 31565]]
(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 thirty (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
[email protected] and for FTR assistance, filers may send an e-mail to
[email protected]. 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, the 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. For shipments with multiple origins, report the address from
which the commodity with the greatest value begins its export journey.
If such information is not known, report the address in state in which
the commodities are consolidated for export.
(iii) USPPI identification number. The USPPI's EIN or SSN. The
USPPI shall report its own 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 Type code shall be reported through 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 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. 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 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. For goods licensed by
other government agencies refer to their specific requirements
concerning providing country of destination information.
(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
[[Page 31566]]
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) Method of transportation. The method 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 methods of
transportation, including mail, fixed methods (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 method of transportation, including mail, fixed modes
(pipeline), and passenger, hand carried 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 a foreign country. 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 party indicator. Used to indicate when a transaction
involving trade between a USPPI and an ultimate consignee where either
party owns directly or indirectly 10 percent or more of the other
party.
(11) Domestic or foreign indicator. Indicates if the goods exported
are of domestic or foreign origin. Report 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 are grown, produced, or manufactured (including commodities
incorporating foreign components) in the United States, including goods
exported from U.S. FTZs, Puerto Rico, or the U.S. Virgin Islands; 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.
(ii) Foreign. Exports of foreign goods include those commodities
that are grown, produced, or manufactured in 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.
(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 Harmonized Tariff Schedule of the United States
(HTSUSA) may be reported in lieu of the Schedule B commodity
classification number except as noted in the headnotes of the HTSUSA.
The HTSUSA is a global classification system used to describe most
world trade in goods. Furnishing the correct Schedule B or HTSUSA
number does not relieve the USPPI or the authorized agent of furnishing
a complete and accurate commodity description. When reporting the
Schedule B number or HTSUSA 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 English in sufficient detail to permit verification of the
Schedule B or HTSUSA 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 HTSUSA (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 HTSUSA
[[Page 31567]]
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 HTSUSA. If
neither Schedule B nor HTSUSA 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 HTSUSA. 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
HTSUSA, 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 up and fractions of less than one-half unit down to
the nearest whole unit. (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
methods. For exports (except household goods) by mail, fixed transport
(pipeline), or other valid methods, 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 HTSUSA 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. Cost of goods is the sum of expenses incurred in the USPPI
acquisition or production of the goods. Report the value to the nearest
dollar; omit cents. Fractions of a dollar less than 50 cents should be
ignored, and fractions of 50 cents or more should be rounded up 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 the exporting carrier at the port of
export or border crossing point 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 is 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 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, and all other shipments). (For
the list of the codes see Appendix B.)
(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
years.
(20) Line number. A number that identifies the specific commodity
line item within a shipment.
(21) Hazardous material indicator. An indicator that identifies
whether the shipment is 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 that identifies
the commodity as having a federal government agency requirement for a
license, permit, license exception or exemption or that no license is
required.
[[Page 31568]]
(24) Routed export transaction indicator. An indicator that
identifies that the shipment is a routed export transaction as defined
in Sec. 30.3.
(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. 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) 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 party ID type (E=EIN,
S=SSN, etc.) shall be identified.
(ii) 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.)
(iii) 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.
(iv) Contact information. Report the 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 EAR.
(3) FTZ identifier. If goods are removed from the FTZ and not
entered for consumption, report the FTZ identifier. This is the unique
identifier assigned by the Foreign Trade Zone Board that identifies the
FTZ, subzone or site from which goods are withdrawn for export.
(4) Foreign port of unlading. The foreign port of unlading is the
foreign port in the 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/KPC number. License number,
permit number, citation, or authorization number assigned by the
Department of Commerce, BIS; Department of State, DDTC; Department of
the Treasury, OFAC; Department of Justice, DEA; Nuclear Regulatory
Commission; or any other federal government agency.
(6) Export Control Classification Number (ECCN). The number used to
identify items on the CCL, Supplement No. 1 to Part 774 of the EAR. The
ECCN consists of a set of digits and a letter. Items that are not
classified under an ECCN are designated ``EAR99''.
(7) Secondary unit of measure. The unit of measure that corresponds
to the secondary quantity as prescribed in the Schedule B or HTSUSA. If
neither Schedule B nor HTSUSA specifies a secondary unit of measure for
the item, the unit of measure is not required.
(8) Secondary quantity. The total number of units that correspond
to the secondary unit of measure, if any, specified in the Schedule B
or HTSUSA. See the definition of primary quantity for specific
instructions on reporting the quantity as a weight and whole unit,
rounding fractions.
(9) Vehicle Identification Number (VIN)/Product ID. The
identification number found on the reported used vehicle. For used
self-propelled vehicles that do not have a VIN, the Product ID is
reported. ``Used'' vehicle refers to any self-propelled vehicle where
the equitable or legal title to which has been transferred by a
manufacturer, distributor, or dealer to an ultimate purchaser. See U.S.
Customs and Border Protection regulations 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 number 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 code for the
state or territory that issued the vehicle title.
(13) Entry number. The entry number must be reported for goods that
are entered in lieu of being transported under bond for which the
importer of record is a foreign entity or, for reexports of goods
withdrawn from a FTZ for which a NAFTA deferred duty claim (entry type
08) could have been made, but that the importer elected to enter for
consumption under CBP entry type 06. 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.
(14) Transportation reference number (TRN). The 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
[[Page 31569]]
number for multimodal shipments. The TRN is optional for truck
shipments.
(15) Department of State Requirements.
(i) DDTC registration number. The number assigned by the DDTC to
persons who are required to register per Part 122 of the ITAR (22 CFR
120 through 130), and have 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 USML (22 CFR 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 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 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 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. The unique
identifying number on 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 HS 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 (Unit Load Device
(ULD)), truck license number, or rail car number.
Sec. 30.7 Annotating the bill of lading, air waybill, or other
commercial loading documents with proof of filing citations, and
exemption legends.
(a) Items identified on the USML shall meet the predeparture
reporting requirements identified in the ITAR (22 CFR 120 through 130)
for the U.S. State Department requirements concerning the time and
place of filing. For USML shipments, the proof of filing citations
shall include the statement in ``AES,'' followed by the returned
confirmation number provided by the AES when the transmission is
accepted, referred to as the ITN.
(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, export shipping instructions or other commercial loading
documents. 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, exemption or
exclusion legends on the carrier's outbound manifest when required. The
carrier is responsible for presenting the appropriate proof of filing
citation or exemption legend to 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 or other commercial
loading documentation and shall be clearly visible. The AES filing
citation, exemption or exclusion legends are provided for in Appendix
D. The exporting carrier shall annotate the manifest or other carrier
documentation with the AES filing citations, exemption or exclusions
legends.
(c) Exports of rough diamonds classified under HS subheadings
7102.10, 7102.21, and 7102.31, in accordance with the Clean Diamond
Trade Act, will require the proof of filing citation, as stated in
paragraph (b) of this section, and report the proof of filing citation
on the KPC.
Sec. 30.8 Time and place for presenting proof of filing citations,
and exemption and exclusions legends.
The following conditions govern the time and place to present proof
of filing citations, postdeparture filing citations, AES downtime
filing citation, exemption or exclusion legends. The USPPI or the
authorized agent is required to deliver the proof of filing citations,
postdeparture filing citations, AES downtime filing citation, exemption
or exclusion legends required in Sec. 30.4(e) to the exporting
carrier. See Appendix D of this part for the properly formatted proof
of filing citations, exemption or exclusion 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 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 and
exclusions 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 export.
(b) Pipeline exports. The proof of filing citations or exemption
and exclusion legends for items being sent by pipeline shall be
presented to the operator of a pipeline no later than four calendar
days after the close of the month.
(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, and/or exemption and
exclusion legends to the exporting carrier in accord with the time
periods set forth in Sec. 30.4(b).
Sec. 30.9 Transmitting and correcting Electronic Export Information.
(a) The USPPI or the authorized filing agent is responsible for
electronically transmitting accurate EEI 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. The provisions of this
paragraph relating to the reporting of corrections, cancellations, or
[[Page 31570]]
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. Fatal error messages are sent to filers when EEI is not
accepted in the AES. These errors must be corrected and EEI resubmitted
prior to export for shipments filed predeparture and as soon as
possible for shipments filed postdeparture but not later than ten
calendar days after departure. Failure to respond to fatal 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. 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 calendar days of
receipt of the message. 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 Retention of export information and the authority to
require production of documents.
(a) Retention of export information. All parties to the export
transaction (owners and operators of export carriers, USPPIs, FPPIs
and/or authorized agents) shall retain documents pertaining to the
export shipment for five years from the date of export. If the
Department of State or other regulatory agency has recordkeeping
requirements for exports that exceed the retention period specified in
this part, then those requirements prevail. The USPPI or the authorized
agent of the USPPI or FPPI may request a copy of the electronic record
or submission from the Census Bureau as provided for in Subpart G of
this part. The Census Bureau's retention and maintenance of AES records
does not relieve filers from requirements in Sec. 30.10.
(1) AES filers shall retain a copy of the electronic certification
notice from the Census Bureau showing the filer's approved operational
status. The electronic certification notice shall be retained for as
long as the filer submits EEI through the AES.
(2) AESDirect filers shall retain a copy of the electronic
certification notice obtained during the AESDirect certification. The
electronic certification notice shall be retained for as long as the
filer submits EEI through AESDirect.
(b) Authority to require production of documents. For purposes of
verifying the completeness and accuracy of 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 provide upon request to the Census Bureau, CBP, ICE, BIS
and other participating agencies EEI, shipping documents, invoices,
orders, packing lists, and correspondence as well as any other relevant
information bearing upon a specific export transaction at anytime
within the five year time period.
Note to Sec. 30.10: Section 1252(b)(2) of Public Law 106-113,
Proliferation Prevention Enhancement Act of 1999, required the
Department of Commerce to print and maintain on file a paper copy or
other acceptable back-up record of the individual's submission at a
location selected by the Secretary of Commerce. The Census Bureau
will maintain a data base of EEI filed in AES to ensure that
requirements of Public Law 106-113 are met and that all filers can
obtain a validated record of their submissions.
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, as well as 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, its authorized agent, or other party to
the transaction 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 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.
The EAR issued by the U.S. Department of Commerce, BIS, also
contain some additional reporting requirements pertaining to EEI (see
15 CFR 730-774).
(a) The EAR requires 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 DHS's CBP regulations, 19 CFR 192, for information
referencing the advanced electronic submission of cargo information on
exports for screening and targeting 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. CBP's regulations can be
obtained from the U.S. Government Printing Office's Web site at
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 USML of the ITAR (22 CFR
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 120-130 for requirements regarding
information required for electronically reporting export information
for USML shipments and filing time requirements.
(c) Department of State regulations can be found at http://www.state.gov.
[[Page 31571]]
Sec. 30.19 Other Federal agency regulations.
Other Federal agencies have requirements regarding the reporting of
certain types of export transactions. The 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.
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, 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 are returned without having been entered into a foreign
destination, the filer shall 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 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 HTSUSA 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 parts 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 filing requirement is provided in this
subpart of this part, 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
[[Page 31572]]
number of the section or provision in this part where the particular
exemption is provided (see Appendix D of this part).
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 120-130).
(4) Requiring a Department of Commerce, BIS, export license under
the EAR (15 CFR 730-774).
(5) Subject to the ITAR, but exempt from license requirements.
(6) Classified as rough diamonds under the 6-digit HS subheadings
(7102.10, 7102.21, or 7102.31).
Sec. 30.37 Miscellaneous exemptions.
Filing EEI 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 HTSUSA commodity classification code, is $2,500 or less.
This exemption applies to individual Schedule B or HTSUSA commodity
classification codes regardless of the total shipment value. In
instances where a shipment contains a mixture of individual Schedule B
or HTSUSA commodity codes valued $2,500 or less and individual Schedule
B or HTSUSA commodity classification codes valued over $2,500, only
those commodity classification codes valued over $2,500 need to be
reported. If the filer reports multiple items of the same Schedule B or
HTSUSA code, this exemption only applies if the total value of exports
for the Schedule B or HTSUSA code is $2,500 or less.
(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),
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, employee, or
representative of the company or business.
(4) Are not for sale.
(5) Are returned to the United States no later than one (1) 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 transported inbond through the United States and
exported from another U.S. port or transshipped and exported directly
from the port of arrival. (When 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,
the EEI shall be filed when the goods are exported from the United
States.) Shipments transported inbond through the United States by
vessel are subject to the filing requirements of the U.S. Army Corps of
Engineers. Shipments transported inbond through the United States which
require an export license are subject to the filing requirements of the
licensing Federal agency.
(f) Exports of technology and software as defined in 15 CFR 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) Shipments to foreign libraries, government establishments, or
similar institutions, as provided in Sec. 30.40(d).
(h) Shipments as authorized under License Exception GFT for gift
parcels and humanitarian donations (see 15 CFR 740.12 of the EAR).
(i) Diplomatic pouches and their contents.
(j) Human remains and accompanying appropriate receptacles and
flowers.
(k) 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.
(l) Shipments of pets as baggage, accompanied or unaccompanied, of
persons leaving the United States, including members of crews on
vessels and aircraft.
(m) 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.
(n) 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.
(o) 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
[[Page 31573]]
Exception AVS for aircraft and vessels (see 15 CFR 740.15(c)).
(p) Filing EEI 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 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.
(q) Temporary exports, except those that require licensing, whether
shipped or hand carried, (e.g., carnet) that are exported from and
returned to the United States in less than one year (12 months) from
the date of export.
(r) Goods previously imported under a Temporary Import Bond for
return in the same condition as when imported including: goods for
testing, experimentation, or demonstration; goods imported for
exhibition; samples and models imported for review or for taking
orders; goods imported for participation in races or contests, and
animals imported for breeding or exhibition and goods imported for use
by representatives of foreign governments or international
organizations or by members of the armed forces of a foreign country.
Goods that were imported under bond for processing and reexportation
are not covered by this exemption.
(s) Issued banknotes and securities, and coins in circulation
exported as evidence of financial claims. The EEI must be filed for
unissued bank notes and securities and coins not in circulation (such
as banknotes printed in the United States and exported in fulfillment
of the printing contract, or as parts of collections), which should be
reported at their commercial or current value.
(t) Documents used in international transactions, documents moving
out of the United States to facilitate international transactions
including airline tickets, internal revenue stamps, liquor stamps, and
advertising literature. Exports of such documents in fulfillment of a
contract for their production, however, are not exempt and must be
reported at the transaction value for their production.
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 HTSUSA commodity classification codes 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 U.S. Customs and Border Protection regulations
19 CFR 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/her 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/her 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.
Filing of EEI 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 and thus controlled by the ITAR and
shipments that are not consigned to the U.S. Armed Services, regardless
of whether they may be for their ultimate and exclusive use.
Sec. 30.40 Special exemptions for certain shipments to U.S.
government agencies and employees.
Filing EEI 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 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 requirements for the filing of
carrier manifests with proof of filing citations for the electronic
submission of export information or exemption legends when Electronic
Export Information filing is not required.
(a) Requirement for filing carrier manifest. Carriers transporting
goods from the United States, Puerto Rico, or the U.S. Virgin Islands
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 or
other required documentation (for ocean, air, and rail carriers) have
been delivered to CBP Port Director in accordance with all applicable
requirements under CBP regulations. CBP may require any of the
following: bill of lading, air waybill, export shipping instructions,
manifest, train consist, or other commercial loading document. The
required document shall contain the appropriate AES proof of filing
citations, covering all cargo for which the 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 proof of filing citations or exemption and
exclusion 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.
[[Page 31574]]
(ii) Coal and fuel oil. The quantity of coal shall be reported in
metric tons (1000 kgs or 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 122.72-122.76. The
manifest shall be filed with 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 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 or train consist with CBP Port Director at the border port
of export in accordance with 19 CFR 123.
(4) Carriers not required to file manifests. Carriers exempted from
filing manifests under applicable CBP regulations are required, upon
request, to present to CBP Port Director, the proof of filing citation
or exemption and exclusion legends 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 provisions 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 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, export shipping documents or other commercial documents.
The bills of lading, cargo lists, export shipping documents or other
commercial documents shall be securely attached to the manifest in such
a 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 is not required by the
regulations in this part, a notation on the manifest shall be made by
the carrier as to the basis for the exemption. In cases where a
manifest is not required and EEI is not required, an oral declaration
to CBP Port Director shall be made as to the basis for the exemption.
(f) Proof of filing citations and exemption legends.
(1) Ocean and air exporting carriers shall not accept paper SEDs
under any circumstances nor load cargo that does not have all proof of
filing citations, exemption or exclusion legends as provided for in
Appendix D.
(2) Ocean and air exporting carriers are 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 all proof of filing citations, exemption
or exclusion legends as provided for in Appendix D.
(3) Truck exporting carriers shall not accept paper SEDs under any
circumstances nor cross the border into a foreign country without a
proof of filing citations, exemption or exclusion legends for cargo
being exported as provided for in Appendix D. Truck exporting carriers
accepting paper SEDs for cargo being exported into foreign countries,
or carrying cargo into foreign countries without a proof of filing
citation, exemption or exclusion legends in their possession are
subject to the penalties provided for in Subpart H of this part.
(4) Rail exporting carriers shall not accept paper SEDs under any
circumstance nor cross the border into a foreign country without a
proof of filing citations, exemption or exclusion legends for cargo
being exported as provided in Appendix D. Rail exporting carriers
accepting paper SEDs for cargo being exported into foreign countries,
or carrying cargo into foreign countries without required proof of
filing citations, exemption or exclusion legends in their possession
are subject to the penalties provided for in Subpart H of this part.
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 citations, exemption or
exclusion legends, on the condition that within four calendar days
following the end of each calendar month the operator will deliver to
CBP Port Director the proof of filing citations, exemption or exclusion
legends covering all exports through the pipeline to each consignee
during the month.
Sec. 30.47 Clearance or departure of carriers under bond on
incomplete manifest.
(a) For purposes of the regulations in this part, except when
carriers are transporting merchandise from the United States to Puerto
Rico, clearance (where clearance is required) or permission to depart
(where clearance is not required) may be granted to any carrier by CBP
Port Director prior to filing of a complete manifest as required under
the regulations of this part or prior to filing by the carrier of all
filing U.S. Customs and Border Protection regulations citations,
exclusion, and/or exemption legends, provided there is a bond as
specified in 19 CFR 4.75, 4.76, and 122.74. The conditions of the bond
shall be that a complete manifest, where a manifest is required by the
regulations in this part and all required filing citations, exclusion,
and/or exemption legends shall be filed by the carrier no later than
the fourth business day after clearance (where clearance is required)
or departure (where clearance is not required) of the carrier except as
otherwise specifically provided in paragraph (a)(1), (2), and (3) of
this section.
(1) For manifests submitted electronically through AES, the
condition of the bond shall be that the manifest and all required
filing citations, exclusion, and/or exemption legends shall be
completed not later than the tenth business day after departure from
each port.
(2) For rail carriers to Canada, the conditions of the bond shall
be that manifest and all filing citations, exclusion, and/or exemption
legends shall be filed not later than the fifteenth business day after
departure.
(3) For carriers under bond on incomplete manifest, the carrier
must file prior to departure a list of filing citations, exclusion,
and/or exemption legends for export shipments aboard the conveyance.
The list of filing citations, exclusion and/or exemption legends
[[Page 31575]]
shall be presented to a CBP Export Control Officer at the port of exit
prior to departure.
(b) In the event that any required manifest and all required filing
citations, exclusion and/or exemption legends are not filed by the
carrier within the period provided by the bond, then a penalty of
$1,100 shall be exacted for each day's delinquency beyond the
prescribed period, but not more than $10,000 per violation.
(c) Remission or mitigation of the penalties for manifest
violations provided herein may be granted by CBP as the Administering
Authority. Prior disclosure of a manifest violation of this section
shall be made in writing to CBP Port Director in the port of export as
the Administering Authority.
Sec. Sec. 30.48-30.49 [Reserved]
Subpart F--Import Requirements
Sec. 30.50 General requirements for filing import entries.
Electronic entry summary filing through the 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 nonforeign 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 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 admitted into 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 withdrawn 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 146, ``Foreign Trade Zones.'') When foreign goods are admitted into
a FTZ, the zone operator is required to file CBP-214, ``Application for
Foreign Trade Zone Admission and/or Status Designation.'' Refer to CBP
Web site for instructions on completing CBP-214. Per 19 CFR 146.32(a),
the applicant for admission shall present 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 (10) calendar day of the month following the report month.
Participation in the Census Bureau program does not relieve companies
of the responsibility to file 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 146
for completing these fields.):
(a) HTSUSA 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) Method 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 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 meet all of the requirements for filing the 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 were being charged.
(b) Schedule B Classification Code. Report Schedule B commodity
classification code 9801.10.0000 for goods reexported after repair.
Sec. 30.54 Special provisions for imports from Canada.
(a) When certain softwood lumber products described under HTSUSA
subheadings 4407.1001, 4409.1010, 4409.1090, and 4409.1020 are imported
from Canada, import entry records are required to show a valid Canadian
region of manufacture code. The Canadian region of manufacture is
determined on a first mill basis (the point at which the item was first
manufactured into a covered lumber product). Canadian region of
manufacture is the first region where the
[[Page 31576]]
subject goods underwent a change in tariff classification to the tariff
classes cited in this paragraph. The Canadian region code should be
transmitted in the electronic ABI summaries. The Canadian region of
manufacture code should replace the region of origin code on CBP-7501,
entry summary form. These requirements apply only for imports of
certain softwood lumber products for which the region 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 region 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 region of origin is defined as the region
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 region 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
region in which the goods were manufactured, assembled, grown, mined,
or otherwise produced is unknown, the region in which the Canadian
vendor is located can be reported. For those reporting on paper forms
the region of origin code replaces the region of origin code on the
CBP-7501, entry summary form.
(c) All electronic ABI entry summaries for imports originating in
Canada also require the Canadian region of origin code to be
transmitted for each entry summary line item.
(d) The region of origin code replaces the region of origin code
only for imports that have been determined, under applicable CBP rules,
to originate in Canada. Valid Canadian region/territory codes are:
XA--Alberta
XB--New Brunswick
XD--British Columbia Coastal
XE--British Columbia Interior
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 HTSUSA
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. CBP Regulations 19 CFR 141.61(a)
specify that the entry summary data clearly set forth all information
required.
(b) 19 CFR 141.61(e) of 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 HTSUSA. 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 collected pursuant to this Part 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
(OMB). The information collected is used by the Census Bureau for
statistical purposes only and by the BIS for export control purposes.
In addition, EEI is used by other federal government agencies, such as
the Department of State, CBP, and ICE for export control and other
federal government agencies such as the Bureau of Economic Analysis,
Bureau of Labor Statistics, and Bureau of Transportation Statistics for
statistical purposes. Except as provided for in paragraph (e) of this
section, information collected pursuant to this Part shall not be
disclosed to anyone by any officer, employee, contractor, agent of the
federal government or other parties with access to the EEI other than
to the USPPI, or the authorized agent of the USPPI or the transporting
carrier. Such disclosure shall be limited to that information provided
by each party pursuant to this Part.
(b) Supplying EEI for official purposes.
(1) The EEI may be supplied to federal agencies for official
purposes, defined to include, but not limited to:
(i) Verification and investigation of export shipments, including
penalty assessments, for export control and compliance purposes,
(ii) Providing proof of export; and
(iii) Statistical purposes;
(iv) Circumstances to be determined in the national interest
pursuant to 13 U.S.C., Sec. 301(g) and paragraph (e) of this section.
(2) The EEI may be supplied to the USPPI, or authorized agents of
USPPI and carriers for compliance and audit purposes. Such disclosure
shall be limited to that information provided to the AES by each party.
(c) Supplying EEI for nonofficial purposes. The official report of
the EEI submitted to the United States Government shall not be
disclosed by the USPPI, or the authorized agent, or representative of
the USPPI for ``nonofficial purposes,'' either in whole or in part, or
in any form including but not limited to electronic transmission, paper
printout, or certified reproduction. ``Nonofficial purposes'' are
defined to include but not limited to use of the official EEI:
(1) In support of claims by the USPPI or its authorized agent for
exemption from Federal or state taxation;
(2) By the U.S. Internal Revenue Service for purposes not related
to export control or compliance;
(3) By state and local government agencies, and nongovernmental
entities or individuals for any purpose; and
(4) By foreign governments for any purposes.
(d) 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, filing citation, exemptions or exclusion
legends, shall be copied to the outward manifest of ocean carriers.
(e) Determination by the Secretary of Commerce. Under 13 U.S.C.
301(g), the
[[Page 31577]]
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
paragraph (c) 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. The unauthorized disclosure of confidential EEI granted under
National Interest Determination renders such persons subject to the
civil penalties provided for in Subpart H of this part.
(f) Penalties. Disclosure of confidential EEI by any officer,
employee, contractor, or agent of the federal government, except as
provided for in paragraphs (a) and (e) of this section renders such
persons subject to the civil penalties provided for in Subpart H of
this part.
Sec. 30.61 Statistical classification schedules.
The following statistical classification schedules are referenced
in this part. These schedules, 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 these
regulations.
(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.
(c) Schedule C--Classification of Country and Territory
Designations for U.S. Foreign Trade Statistics.
(d) Schedule D--Classification of CBP Districts and Ports.
(e) Schedule K--Classification of Foreign Ports by Geographic Trade
Area and Country.
(f) International Air Transport Association (IATA)--Code of the
carrier for air shipments. These are the 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 carrier codes
necessary to prepare EEI, as required by the regulations in this part.
Sec. 30.62 Emergency exceptions.
The Census Bureau and CBP may jointly authorize the postponement of
or exception 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.
------------------------------------------------------------------------
Sec. Sec. 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 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 Act, Executive
Order 13312, and Rough Diamonds Control Regulations (31 CFR 592). CBP,
ICE, and the 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 years, or
both;
(2) If an officer, director, or agent of any corporation, who
willfully participates in such violation, imprisoned for not more than
ten 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 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
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 18 U.S.C. 3571.
(b) Civil penalties--(1) Failure to file or delayed filing
violations. A civil penalty not to exceed $1,100 for each day of
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
[[Page 31578]]
information or reports in connection with the exportation or
transportation of cargo.
(2) Filing false/misleading information, furtherance of illegal
activities and 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.
Note to Paragraph (b): The Civil Monetary Penalties; Adjustment
for Inflation Final Rule effective December 14, 2004, adjusted the
penalty in Title 13, Chapter 9, Section 304, United States Code from
$1,000 to $10,000 to $1,100 to $10,000.
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 5 U.S.C. 556 and 557.
(b) Applicable law for delegated function. If, pursuant to 13
U.S.C. 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.
(c) 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 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.
(d) 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.
(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, other than a payment to remit a forfeiture
which shall be deposited into the Treasury Forfeiture fund.
Sec. 30.73 Enforcement.
(a) Department of Commerce. The BIS's OEE may conduct
investigations pursuant to this part. In conducting investigations, BIS
may, to the extent necessary or appropriate to the enforcement of this
part, exercise such authorities as are conferred upon BIS by other laws
of the United States, subject, as appropriate, to policies and
procedures approved by the Attorney General.
(b) Department of Homeland Security (DHS). ICE and CBP may enforce
the provisions of this part and ICE, as assisted by CBP may conduct
investigations under this part.
Sec. 30.74 Voluntary self-disclosure.
(a) General policy. The Census Bureau strongly encourages
disclosure of any violation or suspected violation of the FTR.
Voluntary self-disclosure is a mitigating factor in determining what
administrative sanctions, if any, will be sought. The Secretary of
Commerce has delegated all enforcement authority under 13 U.S.C.
Chapter 9, to the BIS and the DHS.
(b) Limitations.
(1) The provisions of this section apply only when information is
provided to the Census Bureau for its review in determining whether to
seek administrative action for violations of the FTR.
(2) The provisions of this section apply only when information is
received by the Census Bureau for review prior to the time that the
Census Bureau, or any other agency of the United States Government, has
learned the same or substantially similar information from another
source and has commenced an investigation or inquiry in connection with
that information.
(3) While voluntary self-disclosure is a mitigating factor in
determining what corrective actions will be required by the Census
Bureau and/or whether the violation will be referred to the BIS to
determine what administrative sanctions, if any, will be sought, it is
a factor that is considered together with all other factors in a case.
The weight given to voluntary self-disclosure is within the discretion
of the Census Bureau and the BIS, and the mitigating effect of
voluntary self-disclosure may be outweighed by aggravating factors.
Voluntary self-disclosure does not prevent transactions from being
referred to the Department of Justice (DOJ) for criminal prosecution.
In such a case, the BIS or the DHS would notify the DOJ of the
voluntary self-disclosure, but the consideration of that factor is
within the discretion of the DOJ.
(4) Any person, including USPPIs, authorized agents, or carriers,
will not be deemed to have made a voluntary self-disclosure under this
section unless the individual making the disclosure did so with the
full knowledge and authorization of senior management.
(5) The provisions of this section do not, nor should they be
relied on to, create, confer, or grant any rights, benefits,
privileges, or protection enforceable at law or in equity by any
person, business, or entity in any civil, criminal, administrative, or
other matter.
(c) Information to be provided--(1) General. Any person disclosing
information that constitutes a voluntary self-disclosure should, in the
manner outlined below, if a violation is suspected or a violation is
discovered, conduct a thorough review of all export transactions for
the past five years where violations of the FTR are suspected and
notify the Census Bureau as soon as possible.
(2) Initial notification.
(i) The initial notification must be in writing and be sent to the
address in paragraph (c)(5) of this section. The notification must
include the name of the person making the disclosure and a brief
description of the suspected violations. The notification should
describe the general nature, circumstances, and extent of the
violations. If the person making the disclosure subsequently completes
the narrative account required by paragraph (c)(3) of this section, the
disclosure will be deemed to have been made on the date of the initial
notification for purposes of paragraph (b)(2) of this section.
(ii) Disclosure of suspected violations that involve export of
items controlled, licensed, or otherwise subject to the jurisdiction by
a department or agency of the federal government should be made to the
appropriate federal department or agency.
(3) Narrative account. After the initial notification, a thorough
review should be conducted of all export transactions where possible
violations of the FTR are suspected. The Census Bureau recommends that
the review cover a
[[Page 31579]]
period of five years prior to the date of the initial notification. If
the review goes back less than five years, there is a risk that
violations may not be discovered that later could become the subject of
an investigation. Any violations not voluntarily disclosed do not
receive consideration under this section. However, the failure to make
such disclosures will not be treated as a separate violation unless
some other section of the FTR or other provision of law requires
disclosure. Upon completion of the review, the Census Bureau should be
furnished with a narrative account that sufficiently describes the
suspected violations so that their nature and gravity can be assessed.
The narrative account should also describe the nature of the review
conducted and measures that may have been taken to minimize the
likelihood that violations will occur in the future. The narrative
account should include:
(i) The kind of violation involved, for example, failure to file
EEI, failure to correct fatal errors, failure to file timely
corrections;
(ii) Describe all data required to be reported under the FTR that
was either not reported or reported incorrectly;
(iii) An explanation of when and how the violations occurred;
(iv) The complete identities and addresses of all individuals and
organizations, whether foreign or domestic, involved in the activities
giving rise to the violations; and
(v) A description of any mitigating circumstances.
(4) Electronic Export Information. Report all data required under
the FTR that was not reported. Report corrections for all data reported
incorrectly. All reporting of unreported data or corrections to
previously reported data shall be made through the AES.
(5) Where to make voluntary self-disclosures. With the exception of
voluntary disclosures of manifest violations under Sec. 30.47 (c), the
information constituting a voluntary self-disclosure or any other
correspondence pertaining to a voluntary self-disclosure may be
submitted to: Chief, Foreign Trade Division, U.S. Census Bureau, Room
6K032, Washington, DC 20233-6700, by phone 1-800-549-0595, by fax (301)
763-8835, or by e-mail [email protected].
(d) Action by the Census Bureau. After the Census Bureau has been
provided with the required narrative, it will promptly notify CBP, ICE,
and the OEE of the voluntary disclosure, acknowledge the disclosure by
letter, provide the person making the disclosure with a point of
contact, and take whatever additional action, including further
investigation, it deems appropriate. As quickly as the facts and
circumstances of a given case permit, the Census Bureau may take any of
the following actions:
(1) Inform the person or company making the voluntary self-
disclosure of the action to be taken.
(2) Issue a warning letter or letter setting forth corrective
measures required.
(3) Refer the matter, if necessary, to the OEE for the appropriate
action.
Sec. Sec. 30.75-30.99 [Reserved]
BILLING CODE 3510-07-P
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[GRAPHIC] [TIFF OMITTED] TR02JN08.000
[[Page 31581]]
[GRAPHIC] [TIFF OMITTED] TR02JN08.001
BILLING CODE 3510-07-C
Appendix B to Part 30--AES Filing Codes
Part I--Method of Transportation Codes
10 Vessel
11 Vessel Containerized
12 Vessel (Barge)
20 Rail
21 Rail Containerized
30 Truck
31 Truck Containerized
32 Auto
33 Pedestrian
34 Road, Other
40 Air
41 Air Containerized
50 Mail
60 Passenger, Hand Carried
70 Fixed Transport (Pipeline and Powerhouse)
Part II--Export Information Codes
TP Temporary exports of domestic merchandise
IP Shipments of merchandise imported under a Temporary Import Bond
for further manufacturing or processing
IR Shipments of merchandise imported under a Temporary Import Bond
for repair
CH Shipments of goods donated for charity
FS Foreign Military Sales
OS All other exports
HV Shipments of personally owned vehicles
HH Household and personal effects
TE Temporary exports to be returned to the United States
TL Merchandise leased for less than a year
IS Shipments of merchandise imported under a Temporary Import Bond
for return in the same condition
CR Shipments moving under a carnet
GP U.S. Government shipments
MS Shipments consigned to the U.S. Armed Forces
GS Shipments to U.S. Government agencies for their use
UG Gift parcels under Bureau of Industry and Security License
Exception GFT
DD Other exemptions:
Currency
Airline tickets
Bank notes
Internal revenue stamps
State liquor stamps
Advertising literature
Shipments of temporary imports by foreign entities for their use
RJ Inadmissible merchandise
(For Manifest Use Only by AES Carriers)
AE Shipment information filed through AES
(See Sec. Sec. 30.50 through 30.58 for information on filing
exemptions.)
Part III--License Codes
Department of Commerce, Bureau of Industry and Security (BIS), Licenses
C30 Licenses issued by BIS authorizing an export, reexport, or other
regulated activity.
C31 SCL--Special Comprehensive License
C32 NLR--No License Required (controlled for other than or in
addition to Anti-Terrorism)
C33 NLR--No License Required (All others, including Anti-Terrorism
controls ONLY)
C35 LVS--Limited Value Shipments
C36 GBS--Shipments to B Countries
C37 CIV--Civil End Users
C38 TSR--Restricted Technology and Software
C40 TMP--Temporary Imports, Exports, and Re-exports
C41 RPL--Servicing and Replacement of Parts and Equipment
C42 GOV--Government and International Organizations
C43 GFT--Gift Parcels and Humanitarian Donations
C44 TSU--Technology and Software--Unrestricted
C45 BAG--Baggage
C46 AVS--Aircraft and Vessels (AES not required)
C47 APR--Additional Permissive Re-exports
C48 KMI--Key Management Intrastructure
C49 TAPS--Trans-Alaska Pipeline Authorization Act
C50 ENC--Encryption Commodities and Software
C51 AGR--License Exception Agricultural Commodities
C53 APP--Adjusted Peak Performance (Computers)
C54 SS-WRC--Western Red Cedar
C55 SS-Sample--Crude Oil Samples
C56 SS-SPR--Strategic Petroleum Reserves
[[Page 31582]]
C57 VEU--Validated End User Authorization
Nuclear Regulatory Commission (NRC) Codes
N01 NRC Form 250/250A--NRC Form 250/250A
N02 NRC General License--NRC `General' Export License
Department of State, Directorate of Defense Trade Controls (DDTC) Codes
SAG--Agreements
SCA--Canadian ITAR Exemption
S00--License Exemption Citation
S05--DSP-5--Permanent export of unclassified defense articles and
services
S61--DSP-61--Temporary import of unclassified articles
S73--DSP-73--Temporary export of unclassified articles
S85--DSP-85--Temporary or permanent import or export of classified
articles
S94--DSP-94--Foreign Military Sales
Department of Treasury, Office of Foreign Assets Control (OFAC) Codes
T10--OFAC Specific License
T11--OFAC General License
T12--Kimberley Process Certificate Number
Other License Types
OPA--Other Partnership Agency License
For export license exemptions under International Traffic in
Arms Regulations, refer to 22 CFR 120-130 of the ITAR for the list
of export license exemptions.
Part IV--In-Bond Codes
70 Not In Bond
36 Warehouse Withdrawal for Immediate Exportation
37 Warehouse Withdrawal for Transportation and Exportation
67 Immediate Exportation from a Foreign Trade Zone
68 Transportation and Exportation from a Foreign Trade Zone
Appendix C to Part 30--Summary of Exemptions and Exclusions from EEI
Filing
A. EEI is not required for the following types of shipments:\1\
---------------------------------------------------------------------------
\1\ Exemption from the requirements for reporting complete
commodity information is covered in Sec. 30.38; Special exemptions
for shipments to the U.S. Armed Services and covered in Sec. 30.39;
and Special exemptions for certain shipments to U.S. Government
agencies and employees are covered in Sec. 30.40.
---------------------------------------------------------------------------
1. Exemption for shipments destined to Canada (Sec. 30.36).
2. Valued $2,500 or less per Schedule B/HTSUSA classification
for commodities shipped from one USPPI to one consignee on a single
carrier (Sec. 30.37(a)).
3. Tools of the 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 (Sec. 30.37(b)).
4. Shipments from one point in the United States to another
point in the United States by routes passing through Canada or
Mexico (Sec. 30.37(c)).
5. Shipments from one point in Canada or Mexico to another point
in the same country by routes through the United States (Sec.
30.37(d)).
6. Shipments transported inbond through the United States for
export to a third country and exported from another U.S. port or
transshipped and exported directly from the port of arrival never
having made entry into the United States. If entry for consumption
or warehousing in the United States is made, then an EEI is required
if the goods are then exported to a third country from the United
States (Sec. 30.37(e)).
7. Exports of technology and software as defined in 15 CFR 772
of the EAR that do not require an export license. However, EEI is
required for mass-market software (Sec. 30.37(f)).
8. Shipments to foreign libraries, government establishments, or
similar institutions, as provided in FTR Subpart D Sec. 30.40 (d).
(Sec. 30.37(h)).
9. Shipments as authorized under License Exception GFT for gift
parcels and humanitarian donations (EAR 15 CFR 740.12); Sec.
30.37(i)).
10. Diplomatic pouches and their contents (Sec. 30.37(j)).
11. Human remains and accompanying appropriate receptacles and
flowers (Sec. 30.37(k)).
12. 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
(Sec. 30.37(l)).
13. Shipments of pets as baggage (Sec. 30.37(m)).
14. Carrier's stores, not shipped under a bill of lading or an
air waybill, supplies and equipment, 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. (See Table 5 if shipped under a bill
of lading or an air waybill (Sec. 30.37(n)).
15. Dunnage not shipped under a bill of lading or an air
waybill, of usual and reasonable kinds and quantities not intended
for unlading in a foreign country (Sec. 30.37(o)).
16. 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. (EAR license exception (AVS) for
aircraft and vessels 15 CFR 740.15(c); Sec. 30.37(p)).
17. Baggage and personal effects, accompanied or unaccompanied,
of persons leaving the United States including members of crews on
vessels and aircraft, when they are not shipped as cargo under a
bill of lading or an air waybill and do not require an export
license (Sec. 30.37(q)).
18. Temporary exports, whether shipped or hand carried, (e.g.,
carnet) that are exported from or returned to the United States in
less than one year (12 months) from date of export (Sec. 30.37(r)).
19. Goods previously imported under Temporary Import Bond for
return in the same condition as when imported including: goods for
testing, experimentation, or demonstration; goods imported for
exhibition; samples and models imported for review or for taking
orders; goods for imported for participation in races or contests;
and animals imported for breeding or exhibition and imported for use
by representatives of foreign government or international
organizations or by members of the armed forces of a foreign
country. Goods that were imported under bond for processing and re-
exportation are not covered by this exemption (Sec. 30.37(s)).
20. Issued banknotes and securities and coins in circulation
exported as evidence of financial claims. The EEI must be filed for
unissued bank notes and securities and coins not in circulation
(such as bank notes printed in the United States and exported in
fulfillment of the printing contract or as part of collections),
which should be reported at their commercial or current value (Sec.
30.37(t)).
21. Documents used in international transactions, documents
moving out of the United States to facilitate international
transactions including airline tickets, internal revenue stamps,
liquor stamps, and advertising literature. Export of such documents
in fulfillment of a contract for their production, however, are not
exempt and must be reported at the transaction value for their
production (Sec. 30.37(u)).
B. The following types of transactions are outside the scope of
the FTR 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.
2. Goods shipped from the U.S. territories of Guam Island,
American Samoa, Wake Island, Midway Island, and Northern Mariana
Islands to foreign countries or areas, and goods shipped between the
U.S. and these territories (Sec. 30.2(d)(2)).
3. Electronic transmissions and intangible transfers. See FTR,
Subpart B, for export control requirements for these types of
transactions (Sec. 30.2(d)(3)).
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 FTR Subpart D Sec. 30.39 for filing
requirements for shipments exported by the U.S. Armed Services.)
(Sec. 30.2(d)(4)).
[[Page 31583]]
Appendix D to Part 30
AES Filing Citation, Exemption and Exclusion Legends
------------------------------------------------------------------------
------------------------------------------------------------------------
I. USML Proof of Filing Citation....... AES ITN Example: AES
X20060101987654.
II. AES Proof of Filing Citation AES ITN Example: AES
subpart A Sec. 30.7. X20060101987654.
III. AES Postdeparture Citation- AESPOST USPPI EIN mm/dd/yyyy
USPPIUSPPI is filing the EEI. Example: AESPOST 12345678912
01/01/2006.
IV. Postdeparture Citation-Agent....... AESPOST USPPI EIN--Filer ID mm/
dd/yyyy Example: AESPOST
12345678912--987654321 01/01/
2006.
V. AES Downtime Citation-Use only when AESDOWN Filer ID mm/dd/yyyy
AES or AESDirect is unavailable. Example: AESDOWN 123456789 01/
01/2006.
VI. Standard Exclusions are found in 15
CFR 30, Subpart A, Sec. 30.2(d)(1)
through Sec. 30.2(d)(4).
The following types of transactions
shall be excluded from EEI filing:
(1) Goods Shipped from U.S. NOEEI Sec. 30.2(d)(site
territories. corresponding number).
(2) Goods Shipped to or from
Guantanamo Bay Naval Base in Cuba
and the United States.
(3) Inbond Shipments through the
United States, Puerto Rico, and
the U.S. Virgin Islands.
VII. Exemption for Shipments to Canada. NOEEI Sec. 30.36.
VIII. Exemption for Low-Value Shipments NOEEI Sec. 30.37(a).
IX. Miscellaneous Exemption Statements NOEEI Sec. 30.37 (site
are found in 15 CFR 30 Subpart D Sec. corresponding alphabet).
30.37(b) through Sec. 30.37(u).
X. Special Exemption for Shipments to NOEEI Sec. 30.39
the U.S. Armed Forces.
XI. Special Exemptions for Certain NOEEI Sec. 30.40 (site
Shipments to U.S. Government Agencies corresponding alphabet).
and Employees (Exemption Statements
are found in 15 CFR 30 Subpart D Sec.
30.40(a) through Sec. 30.40(d).
XII. Split Shipments by Air ``Split AES ITN SS Example: AES
Shipments'' should be referenced as X20060101987654 SS.
such on the manifest in accordance
with provisions contained in Sec.
30.28, ``Split Shipments by Air.'' The
notation should be easily identifiable
on the manifest.
It is preferable to include a reference
to a split shipment in the exemption
statements cited in the example, the
notation SS should be included at the
end of the appropriate exemption
statement.
Proof of filing citations by pipeline.. NOEEI Sec. 30.8(b).
------------------------------------------------------------------------
Appendix E to Part 30--FTSR to FTR Concordance
----------------------------------------------------------------------------------------------------------------
FTSR FTSR regulatory topic FTR FTR regulatory topic
----------------------------------------------------------------------------------------------------------------
Subpart A--General Requirements--USPPI
----------------------------------------------------------------------------------------------------------------
30.1..................... General statement of 30.2.................... General requirements for
requirement for Shipper's filing Electronic Export
Export Declarations (SEDs). Information (EEI).
30.1(a).................. General requirements for ........................ General requirements for
filing SEDs. filing EEI.
30.1(b).................. General requirements for ........................ NA.
reporting regarding method
of transportation.
30.1(c).................. AES as an alternative to SED ........................ NA.
reporting.
30.1(d).................. Electronic transmissions and 30.2(d)(3).............. Exclusions from filing EEI.
intangible transfers.
30.2..................... Related export control 30.15................... Export control and licensing
requirements. requirements introduction.
30.16................... EAR requirements for export
information on shipments
from U.S. Possessions to
foreign destinations or
areas.
30.17................... Customs and Border
Protection Regulations.
30.3..................... Shipper's Export Declaration ........................ NA.
forms.
30.4..................... Preparation and signature of 30.3.................... Electronic Export
Shipper's Export Information filer
Declarations (SED). requirements, parties to
export transactions,
responsibilities of parties
to export transactions.
30.4(a).................. General requirements (SED)... 30.3(a)................. General Requirements.
30.3(b)................. Parties to the export
transaction.
30.4(b).................. Responsibilities of parties 30.3(c)................. General responsibilities of
in export transactions. parties in export
transactions.
30.3(d)................. Filer responsibilities.
30.4(c).................. Responsibilities of parties 30.3(e)................. Responsibilities of parties
in a routed export in a routed export
transactions. transaction.
30.4(d).................. Information on the Shipper's 30.3(a)................. General requirements.
Export Declaration (SED) or
Automated Export System
(AES) record.
30.4(e).................. Authorizing a forwarding or 30.3(f)................. Authorizing an agent.
other agent.
30.4(f).................. Format requirements for SEDs. ........................ NA.
30.5..................... Number and copies of ........................ NA.
Shipper's Export Declaration
required.
[[Page 31584]]
30.6..................... Requirements as to separate ........................ NA.
Shipper's Export
Declarations.
30.7..................... Information required on ........................ NA.
Shipper's Export
Declarations.
30.8..................... Additional information ........................ NA.
required on shipper's Export
Declaration for In-Transit
Goods (ENG Form 7513).
30.9..................... Requirements for separation ........................ NA.
and alignment of items on
shipper's Export
Declarations.
30.10.................... Continuation sheets for ........................ NA.
Shipper's Export Declaration.
30.11.................... Authority to require 30.10(b)................ Authority to require
production of document. production of documents and
retaining electronic data.
30.12.................... Time and place for presenting 30.4.................... Electronic export
the SED, exemption legends information filing
or proof of filing citations. procedures, deadlines, and
certification statements.
30.8.................... Time and place for
presenting proof of filing
citations, postdeparture
filing citations, AES
downtime citations, and
exemption legends.
30.15.................... Procedure for presentation of ........................ NA.
declarations covering
shipments from an interior
point.
30.16.................... Corrections to Shipper's 30.9.................... Transmitting and correcting
Export Declarations. Electronic Export
Information.
----------------------------------------------------------------------------------------------------------------
Subpart B--General Requirements--Exporting Carriers
����������������������������������������������������������������������������������������������������������������
30.20.................... General statement of 30.45................... General statement of
requirement for the filing requirements for the filing
of manifests * * *. of carrier manifests with
proof of filing.
30.20(a)................. Carriers transporting 30.45(a)................ Requirements for filing
merchandise from the United carrier manifest.
States, Puerto Rico, or U.S.
territories to foreign
countries.
30.20(b)................. For carriers transporting 30.45(a)................ Requirements for filing
merchandise from the United carrier manifest.
States to Puerto Rico.
30.20(c)................. Except as otherwise 30.45(a)................ Requirements for filing
specifically provided, carrier manifest.
declarations should not be
filed at the place where the
shipment originates.
30.20(d)................. For purposes of these 30.1(c)................. Definition used with EEI.
regulations, the port of
exportation is defined as *
* *.
30.21.................... Requirements for the filing 30.45................... General statement of
of Manifests. requirements for the filing
of carrier manifests with
proof of filing citations
for the electronic
submission of export
information or exemption
legends when EEI is not
required.
30.21(a)................. Vessel....................... 30.45(a)(1)............. Vessel.
30.21(b)................. Aircraft..................... 30.45(a)(2)............. Aircraft.
30.21(c)................. Rail Carrier................. 30.45(a)(3)............. Rail Carrier.
30.21(d)................. Carriers not required to file 30.45(a)(4)............. Carriers not required to
manifests. file manifests.
30.22(a)................. Requirements for the filing 30.8.................... Time and place for
of SEDs or AES exemption presenting proof of filing
legends and AES proof of citation, exemption, and
filing citations by exclusion legends.
departing carriers.
30.22(b)................. The exporting carrier shall ........................ NA.
be responsible for the
accuracy of the following
items of information.
30.22(c)................. Except as provided in ........................ NA.
paragraph (d) of this
section, when a
transportation company
finds, prior to the filing
of declarations and manifest
as provided in paragraph (a)
of this section, that due to
circumstances beyond the
control of the
transportation company or to
inadvertence, a portion of
the merchandise covered by
an individual Shipper's
Export Declaration has not
been exported on the
intended carrier.
30.22(d)................. When a shipment by air 30.45(c)................ Split shipments by air.
covered by a single
Shipper's Export Declaration
is divided by the
transportation company and
exported in more than one
aircraft of the
transportation.
30.22(e)................. Exporting carriers are ........................ NA.
authorized to amend
incorrect shipping weights
reported on Shipper's Export
Declarations.
30.23.................... Requirements for the filing 30.46................... Requirements for the filing
of Shipper's Export of export information by
Declarations by pipeline pipeline carriers.
carriers.
30.24.................... Clearance or departure of 30.47................... Clearance or departure of
carriers under bond on carriers under bond on
incomplete manifest on incomplete manifests.
Shipper's Export
Declarations.
----------------------------------------------------------------------------------------------------------------
Subpart C--Special Provisions Applicable Under Particular Circumstances
����������������������������������������������������������������������������������������������������������������
30.30.................... Values for certain types of 30.25................... Values for certain types of
transactions. transactions.
30.31.................... Identification of certain 30.29................... Reporting of repairs and
nonstatistical and other replacements.
unusual transactions.
30.31(a)................. Merchandise exported for 30.29(a)................ The return of goods
repair only, and other previously imported for
temporary exports. repair * * *.
[[Page 31585]]
30.31(b)................. The return of merchandise 30.29(b)................ Goods that are covered under
previously imported for warranty and other
repair only. temporary exports.
30.31(c)................. Shipments of material in ........................ NA.
connection with
construction, maintenance,
and related work being done
on projects for the U.S.
Armed Forces.
30.33.................... Vessels, planes, cargo vans, 30.26................... Reporting of vessels,
and other carriers and aircraft, cargo vans, and
containers sold foreign. other carriers and
containers.
30.34.................... Return of exported cargo to 30.27................... Return of exported cargo to
the United States prior to the United States prior to
reaching its final reaching its final
destination. destination.
30.37.................... Exceptions from the 30.38................... Exemption from the
requirement for reporting requirements for reporting
complete commodity detail on complete commodity
the Shipper's Export information.
Declaration.
30.37(a)................. Where it can be determined 30.39................... Special exemptions for
that particular types of shipments to the U.S. Armed
U.S. Government shipments, Services. (Note, this
or shipments for government section does not
projects, are of such nature specifically address
that they should not be construction materials nor
included in the export related work being done on
statistics. projects).
30.37(b)................. Special exemptions to ........................ NA.
specific portions of the
requirements of Sec. 30.7
with respect to the
reporting of detailed
information.
30.39.................... Authorization for reporting ........................ NA.
statistical information
other than by means of
individual Shipper's Export
Declarations filed for each
shipment.
30.40.................... Single declaration for ........................ NA.
multiple consignees.
30.41.................... ``Split shipments'' by air... 30.28................... ``Split shipments'' by air.
----------------------------------------------------------------------------------------------------------------
Subpart D--Exemptions From the Requirements for the Filing of Shipper's Export Declarations
����������������������������������������������������������������������������������������������������������������
30.50.................... Procedure for shipments 30.35................... Procedure for shipments
exempt from the requirements exempt from filing
for Shipper's Export requirements.
Declarations.
30.51.................... Government shipments not 30.39................... Special exemption for
generally exempt. shipments to the U.S. Armed
Services.
30.52.................... Special exemptions for 30.39................... Special exemptions for
shipments to the U.S. Armed shipments to the U.S. Armed
Services. Services.
30.53.................... Special exemptions for 30.40................... Special exemptions for
certain shipments to U.S. certain shipments to U.S.
Government agencies and Government agencies and
employees. employees.
30.53(e)................. All commodities shipped to ........................ NA.
and for the exclusive use of
the Panama Canal Zone or the
Panama Canal Company.
30.55.................... Miscellaneous exemptions 30.37................... Miscellaneous exemptions.
30.55(a)................. Diplomatic pouches and their 30.37(i)................ Diplomatic pouches and their
contents. contents.
30.55(b)................. Human remains and 30.37(j)................ Human remains and
accompanying appropriate accompanying appropriate
receptacles and flowers. receptacles and flowers.
30.55(c)................. Shipments from one point in 30.37(c)................ Shipments from one point in
the United States to another the United States to
thereof by routes passing another point in the United
through Mexico. States by routes passing
through Canada or Mexico.
30.55(d)................. Shipments from one point in 30.37(d) Shipments from one point in
Mexico to another point Canada or Mexico to another
thereof by routes through point in the same country
the United States. by routes through the
United States.
30.55(e)................. Shipments, other than by 30.37(e)................ Shipments, transported in-
vessel, or merchandise for bond through the United
which no validated export States, and exported from
licenses are required, another U.S. port, or
transported in-bond through transshipped and exported
the United States, and directly from the port of
exported from another U.S. arrival.
port, or transshipped and
exported directly from the
port of arrival.
30.55(f)................. Shipments to foreign 30.37(g)................ Shipments to foreign
libraries, government libraries, government
establishments, or similar establishments, or similar
institutions, as provided in institutions, as provided
Sec. 30.53(d). in Sec. 30.40(d).
30.55(g)................. Shipments of single gift 30.37(h)................ Shipments authorized by
parcels as authorized by the License Exception GFT for
Bureau of Industry and gift parcels, humanitarian
Security under License donations.
Exception GFT, see 15 CFR
740.12 of the EAR.
30.55(h)................. Except as noted in paragraph 30.37(a)................ Except as noted in Sec.
(h)(2) of this section, 30.2(a)(e)(iv), exports of
exports of commodities where commodities where the value
the value of the commodities of the commodities shipped
shipped from one exporter to USPPI to one consignee on a
one consignee on a single single exporting carrier,
exporting carrier, classified under an
classified under an individual Schedule B or
individual Schedule B HTSUSA commodity
number, is $2,500 or less. classification code, is
$2,500 or less.
30.55(i)................. Shipments of interplant 30.37(k)................ Shipments of interplant
correspondence, executed correspondence, executed
invoices, and other invoices, and other
documents and other documents and other
shipments of company shipments of company
business records from a U.S. business records from a
firm to its subsidiary or U.S. firm to its subsidiary
affiliate. or affiliate.
30.55(j)................. Shipments of pets as baggage, 30.37(l)................ Shipments of pets as
accompanied or baggage, accompanied or
unaccompanied, of persons unaccompanied, of persons
leaving the United States, leaving the United States,
including members of crews including members of crews
on vessels and aircraft. on vessels and aircraft.
[[Page 31586]]
30.55(k)................. Shipments for use in ........................ NA.
connection with NASA
tracking systems under
Office of Export
Administration Project
License DL-5355-S.
30.55(l)................. Shipments of aircraft parts ........................ NA.
and equipment, and food,
saloon, slop chest, and
related stores, provisions,
and supplies for use on
aircraft by a U.S. airline
to its own installations,
aircraft, and agent aboard,
under Department of
Commerce, Office of Export
Administration General
License, RCS.
30.55(m)................. Shipments for use in ........................ NA.
connection with NOAA
operations under the Office
of Export Administration
General License G-NOAA.
30.55(n)................. Exports of technology and 30.37(f)................ Exports of technology and
software as defined in 15 software as defined in 15
CFR 772 of the EAR that do CFR 772 of the EAR that do
not require an export not require an export
license. license.
30.55(o)................. Intangible exports of 30.2(d)(3).............. Intangible exports of
software and technology, software and technology,
such as downloaded software such as downloaded software
and technical data, and technical data,
including technology and including technology and
software that requires an software that requires an
export license and mass export license and mass
market software exported market software exported
electronically. electronically.
30.56.................... Conditional Exemptions....... 30.37................... Miscellaneous exemptions.
30.56(a)................. Baggage and personal effects 30.38................... Exemption from the
* * *. requirements for reporting
complete commodity
information.
30.56(b)................. Tools of trade * * *......... 30.37(b)................ Tools of trade * * *.
30.56(c)................. Carriers' stores * * *....... 30.37(m)................ Carriers' stores * * *.
30.56(d)................. Dunnage * * *................ 30.37(n)................ Dunnage * * *.
30.57.................... Information on export ........................ NA.
declarations for shipments
of types of goods covered by
Sec. 30.56 not
conditionally exempt.
30.58.................... Exemption for shipments from 30.36................... Exemption for shipments
the United States to Canada. destined to Canada.
----------------------------------------------------------------------------------------------------------------
Subpart E--Electronic Filing Requirements--Shipper's Export Information
----------------------------------------------------------------------------------------------------------------
30.60.................... General requirements for 30.2.................... General requirements for
filing export and manifest filing Electronic Export
data electronically using Information.
the Automated Export System
(AES).
30.60(a)................. Participation................ ........................ NA.
30.60(b)................. Letter of Intent............. 30.5(a)(1).............. Postdeparture filing
application.
30.60(c)................. General filing and 30.4.................... NA.
transmission requirements.
30.60(d)................. General responsibilities of 30.3.................... Electronic Export
exporters, filing agents, Information filer
and sea carriers--. requirements, parties to
export transactions, and
responsibilities of parties
to export transactions.
30.61.................... Electronic filing options.... 30.4.................... Electronic Export
Information filing
procedure, deadlines, and
certification statement.
30.62.................... AES Certification, 30.5.................... EEI filing application and
qualifications, and certification processes and
standards. standards.
30.63.................... Information required to be 30.6.................... Electronic Export
reported electronically Information data elements.
through AES (data elements).
30.64.................... Transmitting and correcting 30.9.................... Transmitting and correcting
AES information. Electronic Export
Information.
30.65.................... Annotating the proper 30.7.................... Annotating the bill of
exemption legends or proof lading, air waybill, and
of filing citations for other commercial loading
shipments transmitted documents with the proper
electronically. proof of filing citations,
approved postdeparture
filing citations, downtime
filing citation, or
exemption legends.
30.66.................... Recordkeeping and 30.5(f)................. Support.
requirements.
30.66.................... Support, documentation, and 30.10................... Retention of export
recordkeeping requirements. information and the
authority to require
production of documents.
----------------------------------------------------------------------------------------------------------------
Subpart F--General Requirements--Importers
����������������������������������������������������������������������������������������������������������������
30.70.................... Statistical information 30.50................... General requirements for
required on import entries. filing import entries.
30.51................... Statistical information
required for import
entries.
30.80.................... Imports from Canada.......... 30.54................... Special provisions for
imports from Canada.
30.81.................... Imports of merchandise into ........................ NA.
Guam.
30.82.................... Identification of U.S. 30.53................... Import of goods returned for
merchandise returned for repair.
repair and reexport.
30.83.................... Statistical copy of mail and ........................ NA.
informal entries.
----------------------------------------------------------------------------------------------------------------
Subpart H--General Administrative Provisions
����������������������������������������������������������������������������������������������������������������
30.90.................... Confidential information, 30.55................... Confidentiality information,
import entries, and import entries, and
withdrawals. withdrawals.
30.91.................... Confidential information, 30.60................... Confidentiality of
Shipper's Export Electronic Export
Declarations. Information.
[[Page 31587]]
30.92.................... Statistical classification 30.61................... Statistical classification
schedules. schedules.
30.93.................... Emergency exceptions......... 30.62................... Emergency exceptions.
30.94.................... Instructions to CBP.......... ........................ NA.
30.95.................... Penalties for violations..... ........................ Subpart H.
30.95(a)................. Exports (reexports) of rough 30.70................... Violation of the Clean
diamonds. Diamond Trade Act.
30.95(b)................. Exports of other than rough 30.71................... False or fraudulent
diamonds. reporting.
30.99.................... OMB control numbers assigned 30.63................... Office of Management and
pursuant to the Paperwork Budget control numbers
Reduction Act. assigned pursuant to the
Paperwork Reduction Act.
----------------------------------------------------------------------------------------------------------------
Appendix F to Part 30--FTR to FTSR Concordance
----------------------------------------------------------------------------------------------------------------
FTR FTR regulatory topic FTSR FTSR regulatory topic
----------------------------------------------------------------------------------------------------------------
Subpart A--General Requirements
----------------------------------------------------------------------------------------------------------------
30.1..................... Purpose and definitions...... NA...................... NA.
30.2..................... General requirements for 30.1.................... General statement of
filing Electronic Export requirement for Shipper's
Information. Export Declarations.
30.2(a).................. Filing Requirements.......... ........................ Filing Requirements.
30.2(b).................. General requirements......... ........................ NA.
30.2(c).................. Certification and filing ........................ NA.
requirements.
30.2(d).................. (d) Exclusions from filing ........................ NA.
EEI.
30.2(e).................. (e) Penalties................ ........................ NA.
30.3..................... Electronic Export Information 30.4.................... Preparation and signature of
filer requirements, parties Shipper's Export
to export transactionns, and Declaration.
responsibilities of parties
to export transactions.
30.4..................... Electronic Export Information 30.61................... Electronic filing options.
filing procedures,
deadlines, and certification
statements.
30.4(a).................. EEI transmitted predeparture. 30.61(a)................ EEI transmitted
predeparture.
30.4(b).................. Filing deadlines for EEI ........................ NA.
transmitted predeparture.
30.4(c).................. EEI transmitted postdeparture 30.61(b)................ EEI transmitted post
departure.
30.4(d).................. Proof of filing citation or 30.12(d)................ Exports file via AES.
exemption legend.
30.5..................... Electronic Export Information 30.62................... AES Certification,
filing application and qualifications, and
certification processes and standards.
standards.
30.5(a).................. AES application process...... 30.60(b)................ AES Participant Application.
30.5(b).................. Certification process........ 30.66................... Recordkeeping and
requirements.
30.5(c).................. Postdeparture filing approval
process.
30.5(d).................. Electronic Export Information
filing standards.
30.5(e).................. Monitoring the filing of
Electronic Export
Information
30.5(f).................. Support.
30.6..................... Electronic Export Information 30.63................... Information required to be
data elements. reported electronically
through AES (data
elements).
30.7..................... Annotating the bill of lading 30.65................... Annotating the proper
* * *. exemption legends or proof
of filing citations * * *.
30.8..................... Time and place for preenting 30.12................... Time and place for
proof of filing citations, presenting the SED,
postdeparture filing exemption legends, or proof
citations, downtime filing of filing citations.
citation, or exemption
legends.
30.9..................... Transmitting and correcting 30.64................... Transmitting and correcting
Electronic Export AES information.
Information.
............................. 30.16................... Corrections to Shipper's
Export Declarations.
30.10(a)................. Retention of Export 30.66................... Support, documentation and
information. recordkeeping, and
documentation requirements.
30.10(b)................. Authority to require 30.11................... Authority to require
production of documents. production of documents.
----------------------------------------------------------------------------------------------------------------
Subpart B--Export Control and Licensing Requirements
----------------------------------------------------------------------------------------------------------------
30.15.................... Introduction................. 30.2.................... Related export control
requirements.
30.16.................... Export Administration 30.2.................... Related export control
Regulations. requirements.
30.17.................... Customs and Border Protection 30.2.................... Related export control
Regulations. requirements.
30.18.................... Department of State 30.2.................... Related export control
Regulations. requirements.
30.19.................... Other Federal agency 30.2.................... Related export control
regulations. requirements.
----------------------------------------------------------------------------------------------------------------
Subpart C--Special Provisions and Specific-Type Transactions
----------------------------------------------------------------------------------------------------------------
30.25.................... Values for certain types of 30.30................... Values for certain types of
transactions. transactions.
30.26.................... Reporting of vessels, 30.33................... Vessels, planes, cargo vans,
aircraft, cargo vans, and and other carriers and
other carriers and containers sold foreign.
containers.
30.27.................... Return of exported cargo to 30.34................... Return of exported cargo to
the United States prior to the United States prior to
reaching its final reaching its final
destination. destination.
30.28.................... ``Split shipments'' by air... 30.41................... ``Split shipments'' by air.
[[Page 31588]]
30.29.................... Reporting of repairs and 30.31................... Identification of certain
replacements. nonstatistical and other
unusual transactions.
----------------------------------------------------------------------------------------------------------------
Subpart D--Exemptions From the Requirements for the Filing of Electronic Export Information
----------------------------------------------------------------------------------------------------------------
30.35.................... Procedure for shipments 30.50................... Procedure for shipments
exempt from filing exempt from the
requirements. requirements for SEDs.
30.36.................... Exemption for shipments 30.58................... Exemption for shipments from
destined to Canada. the United states to
Canada.
30.37.................... Miscellaneous exemptions..... 30.55................... Miscellaneous exemptions.
30.55................... Conditional exemptions.
30.37(a)................. Except as noted in Sec. Except as noted in paragraph
30.2(a)(1)(iv), exports of h(2) of this section,
commodities where the value exports of commodities
* * * is $2,500 or less. where the value * * * is
$2,500 or less.
30.37(b)................. Tools of trade * * *......... 30.56(b)................ Tools of trade * * *.
30.37(c)................. Shipments from one point in 30.55(c)................ Shipments from one point in
the United States to another the United States to
point in the United States another thereof by routes
by routes passing through passing through Mexico.
Canada or Mexico
30.58(a)................ * * * this exemption also
applies to shipments from
one point in the United
States or Canada to another
point thereof * * *.
30.37(d)................. Shipments from one point in 30.55(d)................ Shipments from one point in
Canada or Mexico to another Canada or Mexico to another
point thereof by routes point in the same country
through the United States by routes through the
United States.
30.58(a)................ * * * this exemption also
applies to shipments from
one point in the United
States or Canada to another
point thereof * * *.
30.37(e)................. Shipments transported inbound 30.55(e)................ Shipments, other than by
through the United States * vessel, or merchandise for
* *. which no validated licenses
required, transported
inbound through the United
States * * *.
30.37(f)................. Exports of technology and 30.55(n)................ Exports of technology and
software as defined in 15 software as defined in 15
CFR of the EAR that do not CFR 772 of the EAR that do
require an export license * not require an export
* *. license * * *.
30.37(g)................. Shipments to foreign ........................ Shipments to foreign
libraries, government libraries, government
establishments, or similar establishments, or similar
institutions, as provided in institutions, as provided
Sec. 30.40(d). in Sec. 30.53(d).
30.37(h)................. Shipments as authorized under 30.55(g)................ Shipments of single gift
License Exception GFT for parcels as authorized by
gift parcels and the Bureau of Industry and
humanitarian donations. Security under license
exception GFT.
30.37(i)................. Diplomatic pouches and their 30.55(a)................ Diplomatic pouches and their
contents. contents.
30.37(j)................. Human remains and 30.55(b)................ Human remains and
accompanying appropriate accompanying appropriate
receptacles and flowers. receptacles and flowers.
30.37(k)................. Shipments of interplant 30.55(i)................ Shipments of interplant
correspondence, executed correspondence, executed
invoices and other invoices and other
documents, and other documents, and other
shipments of company shipments of company
business records from a U.S. business records from a
firm to its subsidiary or U.S. firm to its subsidiary
affiliate. or affiliate.
30.37(l)................. Shipments of pets as baggage, 30.55(j)................ Shipments of pets as
accompanied or baggage, accompanied or
unaccompanied, of persons unaccompanied, of persons
leaving the United States, leaving the United States,
including members of crews including members of crews
on vessels and aircraft. on vessels and aircraft.
30.37(m)................. Carriers' stores * * *....... 30.56(c)................ Carriers' stores * * *.
[[Page 31589]]
30.37(n)................. Dunnage * * *................ 30.56(d)................ Dunnage * * *.
30.37(o)................. Shipments of aircraft parts 30.55(l)................ Shipments of aircraft parts
and equipment; food, saloon, and equipment; food,
slop chest, and related saloon, slop chest, and
stores, * * *. related stores, * * *.
30.37(p)................. Baggage and personal effects 30.56(a)................ Baggage and personal effects
not shipped as cargo under a not shipped as cargo under
bill of lading or an air a bill of lading or an air
waybill and not requiring an waybill and not requiring
export license * * *. an export license * * *.
30.37(q)................. Temporary exports, whether 30.31(a)................ * * * and other temporary
shipped or hand carried exports.
(e.g. carnet), which are
exported from or returned to
the United States in less
than one year (21 months)
from the date of export
30.37(a)(2)............. Temporary exports by or to
U.S. Government agencies.
30.37(r)................. Goods previously imported 30.31(b)................ * * * and other returns to
under a Temporary Import the foreign shipper of
Bond for return in the same other temporarily imported
condition as when imported * merchandise.
* *.
30.37(s)................. Issued bank notes and ........................ NA.
securities and coins in
circulation exported as
evidence of financial claims.
30.37(t)................. Documents used in ........................ NA.
international transactions *
* *.
30.38.................... Exemption from the 30.56................... Conditional exemptions.
requirements for reporting
complete commodity
information.
30.38(a)................. Usual and reasonable kinds 30.56(a)(1)............. Usual and reasonable kinds
and quantities of wearing and quantities of wearing
apparel, articles of apparel, articles of
personal adornment, toilet personal adornment, toilet
articles, medicinal articles, medicinal
supplies, food, souvenirs, supplies, food, souvenirs,
games, and similar personal games, and similar personal
effects and their containers. effects and their
containers.
30.38(b)................. Usual and reasonable kinds 30.56(a)(2)............. Usual and reasonable kinds
and quantities of furniture, and quantities of
household effects, household furniture, household
furnishings, and their effects, household
containers. furnishings, and their
containers.
30.38(c)................. Usual and reasonable kinds 30.56(a)(3)............. Usual and reasonable kinds
and quantities of vehicles, and quantities of vehicles,
such as passenger cars, such as passenger cars,
station wagons, trucks, * * station wagons, trucks, * *
*. *.
30.39.................... Special exemptions for 30.53................... Special exemptions for
certain shipments to U.S. certain shipments to U.S.
Government agencies and Government agencies and
employees. employees
30.40.................... Special exemptions for 30.53................... Special exemptions for
certain shipments to U.S. certain shipments to U.S.
Government agencies and Government agencies and
employees. employees
----------------------------------------------------------------------------------------------------------------
Subpart E--General Carrier and Manifest Requirements
----------------------------------------------------------------------------------------------------------------
30.45.................... General statement of 30.20................... General statement of
requirements for the filing requirements for the filing
of carrier manifests with of manifests * * *.
proof of filing citations
30.21................... Requirements for the filing
of manifests.
30.22................... Requirements for filing of
Shipper's Export
Declarations by departing
carriers.
30.46.................... Requirements for the filing 30.23................... Requirement for the filing
of export information by of Shipper's Export
pipeline carriers. declarations by pipeline
carriers.
30.47.................... Clearance or departure of 30.24................... Clearance or departure of
carriers under bond on carriers under bond on
incomplete manifests. incomplete manifest * * *.
----------------------------------------------------------------------------------------------------------------
Subpart F--Import Requirements
----------------------------------------------------------------------------------------------------------------
30.50.................... General requirements for 30.70................... Statistical information
filing import entries. required on import entries.
30.53.................... Import of goods returned for 30.82................... Identification of U.S.
repair. merchandise returned for
repair and reexport.
30.54.................... Special provisions for 30.80................... Imports from Canada.
imports from Canada.
30.55.................... Confidential information, 30.90................... Confidential information
import entries, and import entries, and
withdrawals. withdrawals.
----------------------------------------------------------------------------------------------------------------
Subpart G--General Administrative Provisions
----------------------------------------------------------------------------------------------------------------
30.60.................... Confidentiality of Electronic 30.91................... Confidential information,
Export Information. Shipper's Export
Declaration.
30.61.................... Statistical classification 30.92................... Statistical classification
schedules. schedules.
[[Page 31590]]
30.62.................... Emergency exceptions......... 30.93................... Emergency exceptions.
30.63.................... Office of Management and 30.99................... OMB control numbers assigned
Budget control numbers pursuant to the Paperwork
assigned pursuant to the Reduction Act.
Paperwork Reduction Act.
----------------------------------------------------------------------------------------------------------------
Subpart H--Penalties
----------------------------------------------------------------------------------------------------------------
30.70.................... Violation of the Clean 30.95(a)................ Penalties for violations for
Diamond Trade Act. export (reexport) of rough
diamonds.
30.71.................... False or fraudulent reporting 30.95(b)................ Penalties for violations of
on or misuse of the exports other than
Automated Export System. diamonds.
30.71(a)................. Criminal penalties.
30.71(b)................. Civil penalties.
30.72.................... Civil penalty procedures..... ........................ NA.
30.73.................... Enforcement.................. ........................ NA.
30.73(a)................. Department of Commerce.
30.73(b)................. Department of Homeland
Security.
30.74.................... Voluntary self-disclosure.... ........................ NA.
30.75-30.99.............. [Reserved].
----------------------------------------------------------------------------------------------------------------
Dated: May 20, 2008.
Steve H. Murdock,
Director, Bureau of the Census.
[FR Doc. E8-12133 Filed 5-30-08; 8:45 am]
BILLING CODE 3510-07-P