[Code of Federal Regulations] [Title 15, Volume 2] [Revised as of January 1, 2004] From the U.S. Government Printing Office via GPO Access [CITE: 15CFR758.2] [Page 444-445] TITLE 15--COMMERCE AND FOREIGN TRADE CHAPTER VII--BUREAU OF INDUSTRY AND SECURITY, 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 Part 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). Three AES filing options are available for transmitting shipper's export data. Option 1 is the standard paper filing of the SED, while the other two 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); Option 4 is available only for approved filers (approval by Census Bureau, Bureau of Customs and Border Protection, BIS 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(b) and 30.62). (a) Census' Option 4 application process. Exporters, or agents applying on behalf of an exporter, may apply for Option 4 filing privileges by submitting 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 BIS 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 the Census Bureau receives neither notification of denial, nor a request for an extension from the agency within 30 days of the date of referral of the letter of intent to the agency, the applicant is deemed to be approved by that agency. See 15 CFR 30.62(b) of the FTSR. (b) BIS Option 4 application process. When AES filers wish to use Option 4 for exports of items that require a BIS license, those filers must seek separate approval directly from BIS by completing a questionnaire and certification. (Separate BIS approval is not [[Page 445]] required for the use of Option 4 in connection with exports that do not require a BIS license.) The questionnaire and certification should be mailed to: U.S. Department of Commerce, Bureau of Industry and Security, 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. BIS 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 BIS. 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 BIS 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, BIS, or the U.S. Customs Service, upon request. (c) BIS Option 4 evaluation criteria. BIS 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; or (3) Exports are destined to a country in Country Group E:1 (Supplement No.1 to part 740 of the EAR). (d) Contacts for assistance. (1) For additional information on the AES in general, please contact: Chief Foreign Trade Division, U.S. Census Bureau, (301) 457-2255, facsimile: (301) 457-2645. (2) For information about BIS's Option 4 approval process to use AES Option 4 for items subject to the EAR, contact: Director, Office of Enforcement Analysis, Bureau of Industry and Security, (202) 482-4255, facsimile: (202) 482-0971. [65 FR 42571, July 10, 2000, as amended at 67 FR 54953, Aug. 27, 2002; 68 FR 50473, Aug. 21, 2003]