[Code of Federal Regulations]
[Title 15, Volume 2]
[Revised as of January 1, 2002]
From the U.S. Government Printing Office via GPO Access
[CITE: 15CFR758.2]

[Page 437-439]
 
                  TITLE 15--COMMERCE AND FOREIGN TRADE
 
  CHAPTER VII--BUREAU OF EXPORT ADMINISTRATION, DEPARTMENT OF COMMERCE
 
PART 758--EXPORT CLEARANCE REQUIREMENTS--Table of Contents
 
Sec. 758.2  Automated Export System (AES).

    The Census Bureau's Foreign Trade Statistics Regulations (FTSR) (15 
CFR 30) contain provisions for filing Shipper's Export Declarations 
(SEDs) electronically using the Automated Export System (AES). In order 
to use AES, you must apply directly to the Census Bureau for 
certification and approval through a Letter of Intent (see 15 CFR 
30.60(b) and Appendix A to part 30 of the FTSR). Four AES filing options 
are available for transmitting shipper's export data. Option 1 is the 
standard paper filing of the SED, while the other three options are 
electronic. Option 2 requires the electronic filing of all information 
required for export prior to export (15 CFR 30.61(a) and 30.63 of the 
FTSR); Option 3 requires the electronic filing of only specified data 
elements prior to export, with complete information transmitted within 5 
working days of exportation (15 CFR 30.61(b) and Appendix B of the 
FTSR); Option 4 is only available for approved filers (approval by 
Census Bureau, U.S. Customs Service, BXA and other agencies) and 
requires no information to be transmitted prior to export, with complete 
information transmitted within 10 working days of exportation (15 CFR 
30.61(c) and 30.62(c) of the FTSR).
    (a) Census' Option 4 application process. Exporters, or agents 
applying on behalf of an exporter, may apply for Option 4 filing 
privileges by submitting

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a Letter of Intent to the Census Bureau in accordance with 15 CFR 
30.60(b) and 30.62 of the FTSR. The Census Bureau will distribute the 
Letter of Intent to BXA and other agencies participating in the Option 4 
approval process. Any agency may notify Census that an applicant has 
failed to meet its acceptance standards, and the Census Bureau will 
provide a denial letter to the applicant naming the denying agency. If 
no agency denies the application within 30 days, nor requests an 
extension of time within 30 days, the Census Bureau will provide the 
applicant with an approval letter. See 15 CFR 30.62(b) of the FTSR.
    (b) BXA Option 4 application process. When AES filers wish to use 
Option 4 for exports of items that require a BXA license, those filers 
must seek separate approval directly from BXA by completing a 
questionnaire and certification. (Separate BXA approval is not required 
for the use of Option 4 in connection with exports that do not require a 
BXA license.) The questionnaire and certification should be mailed to: 
U.S. Department of Commerce, Bureau of Export Administration, The Office 
of Enforcement Analysis, 14th & Pennsylvania Avenue, N.W., Room 4065, 
Washington, D.C. 20230.
    (1) Questionnaire. The following questions must be answered based on 
your experiences over the past five years. If the answer to either of 
the questions is ``yes'', it must be followed with a full explanation. 
Answering ``yes'' to either of the questions will not automatically 
prevent your participation in Option 4. BXA will consider the facts of 
each case and any remedial action you have taken to determine whether 
your reliability is sufficient to participate in this program.
    (i) Have you been charged with, convicted of, or penalized for, any 
violation of the EAR or any statute described in Sec. 766.25 of the EAR?
    (ii) Have you been notified by any government official of competent 
authority that you are under investigation for any violation of the EAR 
or any statute described in Sec. 766.25 of the EAR?
    (2) Certification. Each applicant must submit a signed certification 
as set forth in this paragraph. The certification will be subject to 
verification by BXA.

    I (We) certify that I (we) have established adequate internal 
procedures and safeguards to comply with the requirements set forth in 
the U.S. Department of Commerce Export Administration Regulations (EAR) 
and Foreign Trade Statistics Regulations (FTSR). These procedures and 
safeguards include means for:
    (i) Making a proper determination as to whether a license is 
required for a particular export;
    (ii) Receipt of notification of approval of the export license, if 
required, before the export is made;
    (iii) Compliance with all the terms and conditions of the license, 
License Exception, or NLR provisions of the EAR as applicable;
    (iv) Return of revoked or suspended licenses to BXA in accordance 
with Sec. 750.8(b) of the EAR, if requested;
    (v) Compliance with the destination control statement provisions of 
Sec. 758.6 of the EAR;
    (vi) Compliance with the prohibition against export transactions 
that involve persons who have been denied U.S. export privileges; and
    (vii) Compliance with the recordkeeping requirements of part 762 of 
the EAR.
    I (we) agree that my (our) office records and physical space will be 
made available for inspection by the Bureau of the Census, BXA, or the 
U.S. Customs Service, upon request.

    (c) BXA Option 4 evaluation criteria. BXA will consider the grounds 
for denial of Option 4 filing status set forth in 15 CFR 30.62(b)(2) of 
the FTSR, as well as the additional grounds for denial set forth in this 
paragraph.
    (1) Applicants have not been approved for Option 4 filing privileges 
by the Census Bureau or other agency;
    (2) Applicants are denied persons (i.e., persons listed on the 
Denied Persons List in Supplement No. 2 to Part 764 of the EAR); or
    (3) Exports are destined to the countries designated by the 
Secretary of State as supporters of international terrorism under 
Section 6(j) of the Export Administration Act of 1979, as amended. These 
``T-7'' countries currently include Iran, Iraq, Libya, North Korea, 
Cuba, Sudan, and Syria.
    (d) Contacts for assistance. (1) For additional information on the 
AES in general, please contact: Chief Foreign

[[Page 439]]

Trade Division, U.S. Census Bureau, (301) 457-2255, facsimile: (301) 
457-2645.
    (2) For information about BXA's Option 4 approval process to use AES 
Option 4 for items subject to the EAR, contact: Director, Office of 
Enforcement Analysis, Bureau of Export Administration, (202) 482-4255, 
facsimile: (202) 482-0971.

[65 FR 42571, July 10, 2000]