Work with interactive mapping tools from across the Census Bureau.
Collection of audio features and sound bites.
The Census Bureau packages data and information into easy-to-understand visuals.
Browse Census Bureau images.
Read briefs and reports from Census Bureau experts.
Watch Census Bureau vignettes, testimonials, and video files.
Read research analyses from Census Bureau experts.
Developer portal to access services and documentation for the Census Bureau's APIs.
Explore Census Bureau data on your mobile device with interactive tools.
Find a multitude of DVDs, CDs and publications in print by topic.
These external sites provide more data.
Download extraction tools to help you get the in-depth data you need.
Explore Census data with interactive visualizations covering a broad range of topics.
How we provide the best mix of timeliness, relevancy, quality, and cost for the data we collect.
Learn about other opportunities to collaborate with us.
Explore the rich historical background of an organization with roots almost as old as the nation.
Explore prospective positions available at the Census Bureau.
Explore Census programs targeted for particular needs.
Discover the latest in Census Bureau data releases, reports, and events.
The Census Bureau's Director writes on how we measure America's people, places and economy.
Find interesting and quirky statistics regarding national celebrations and major events.
Listen to audio files on fun facts, historical figures, and celebrations of the month.
Find media toolkits, advisories, and all the latest Census news.
See what's coming up in releases and reports.
About Foreign Trade |
Schedule B |
REGULATIONS: Trade Regulations | Seminars | Final rules | Reports | Federal Register Notices | Forms |
Federal Register Notices
[Federal Register: July 17, 2003 (Volume 68, Number 137)]
15 CFR Part 30
DEPARTMENT OF COMMERCE
[Docket Number 010622161-3092-03] RIN 0607-AA34
Automated Export System Mandatory Filing for Items on the Commerce Control List (CCL) and the United States Munitions List (USML) That Currently Require a Shipper's Export Declaration (SED)
AGENCY: Bureau of the Census, Commerce.
SUMMARY: The U.S. Census Bureau (Census Bureau) is amending the Foreign Trade Statistics Regulations (FTSR) to incorporate requirements for the mandatory Automated Export System (AES)/AESDirect filing for items identified on the Department of Commerce's Commerce Control List (CCL) and the Department of State's United States Munitions List (USML). The AES is the electronic method to file the paper Shipper's Export Declaration (SED) and the ocean manifest information directly with the Bureau of Customs and Border Protection (CBP). AESDirect is the Census Bureau's free Internet-based system for filing SED information with the CBP's AES. Further references to AES covers both AES and AESDirect. You are only required to file information via AES for those CCL and USML items that require an SED. This rule will, among other things, provide provisions for AES mandatory filing in the FTSR.
DATES: Effective Date: This rule is effective August 18, 2003. Implementation Date: The Census Bureau will implement provisions of this rule on October 18, 2003. This will allow all affected entities sufficient time to come into compliance with this rule.
FOR FURTHER INFORMATION CONTACT: C. Harvey Monk, Jr., Chief, Foreign Trade Division, U.S. Census Bureau, Room 2104, Federal Building 3, Washington, DC 20233-6700, (301) 763-2255, by fax (301) 457-2645, or by e-mail: email@example.com.
The Census Bureau is responsible for collecting, compiling, and publishing trade statistics for the United States under the provisions of Title 13, United States Code (U.S.C.), chapter 9, section 301. The paper SED and the AES are the primary media used for collecting such trade data, and the information contained therein is used by the Census Bureau for statistical purposes only. This information is exempt from public disclosure under the provisions of Title 13, U.S.C., chapter 9, section 301(g). The SED and AES records also are used for export control purposes under Title 50, U.S.C., and Title 22, U.S.C., to detect and prevent the export of certain critical technology and commodities to unauthorized destinations or end users and to ensure compliance with export control laws and regulations under the authority of the Department of State.
Under the current rules and regulations, export information is compiled from both paper and electronic transactions filed by the export community with CBP and the Census Bureau. The AES is an electronic method by which the U.S. principal party in interest (USPPI) or the authorized agent can transmit the required export information. For purposes of completing the SED or AES record, the USPPI is the person in the United States that receives the primary benefit, monetary or otherwise, from the export transaction. The authorized agent is the person in the United States who is authorized by power of attorney or written authorization by the USPPI or the foreign principal party in interest to prepare and file the SED or AES record. A paper SED or the electronic equivalent AES record is required, with certain exceptions, for exports of merchandise valued at more than $2,500 from the United States, Puerto Rico, and the U.S. Virgin Islands to foreign countries or exports between the U.S. Virgin Islands and Puerto Rico and the United States. The SED or AES record also is required for all exports under a Bureau of Industry and Security (BIS) or Department of State (State Department) export license or State Department license exemption, regardless of value, unless exempted from the requirement for an SED or AES record by the State Department (see 15 CFR, part 30, Sec. 30.55(h)(2) and 22 CFR parts 120-130).
For export data filed via a paper SED, the USPPI or freight forwarder must present the SED to the exporting carrier when the cargo is tendered to the carrier. The vessel, air, or rail carrier must present the manifest and supporting documentation to the CBP Port Director at the port of export within four days after departure if a bond is posted with CBP. However, this rule does not apply to SEDs or AES shipments subject to BIS or State Department licenses or State Department license exemptions. If the information is filed in the AES, an exemption legend is included on the vessel, air, or rail manifest, or other commercial loading documents indicating that no SED is attached, with a transaction identification number or unique identifier to identify the electronic AES record. If no manifest is required or the manifest is electronically filed, the paper SEDs or the electronically filed AES exemption legends are presented directly to CBP.
Electronic filing strengthens the U.S. Government's ability to control the export of critical goods and technologies and weapons of mass destruction to prohibited and unauthorized end-users and affords the government the ability to significantly improve the quality, timeliness, and coverage of export statistics. Currently, fifty (50) percent of the paper SEDs submitted contain one or more errors in export reporting, accounting for a significant percentage of unreported exports. Reporting on the AES has demonstrated that, compared to paper filing, the error rate is reduced substantially and coverage is improved. Currently, the error rate for export transactions filed through the AES is approximately six (6) percent. At this time, the electronic AES filing of the required export information under Title 13, U.S.C., Section 301, is strictly voluntary for the export of most items.
On November 29, 1999, the President signed H.R. 3194, the Consolidated Appropriations Act of 1999, into law (Pub. L. 106-113). Section 1252(a) of this law, amends Title 13, U.S.C., chapter 9, section 301, to add subsection ``(h)'' authorizing the Secretary of Commerce to require by regulation, mandatory reporting requirements for filing export information through the AES for items identified on the CCL and USML that require the SED. The effective date of this amendment was 270 days after the Secretary of Commerce, the Secretary of the Treasury, and the Director of the National Institute of Standards and Technology jointly provided a certification to the Committee on Foreign Relations of the Senate and the Committee on International Relations of the U.S. House of Representatives that a secure AES mainframe computer system of CBP and the Internet-based AESDirect system of the Census Bureau was capable of handling the expected volume of information required to be filed, plus the anticipated volume from voluntary use of the AES, and AES had been successfully implemented and tested and was fully functional with respect to reporting all items on the CCL and USML, including quantities and destinations. The required certification report was submitted to Congress in June 2001. The certification report
described the security measures in place to develop, implement, and maintain each system; summarized the information system assessment reports prepared by the General Services Administration, Office of Information Security, and CBP; and provided the Census Bureau's response to those security assessment reports listing the specific actions taken by both agencies to ensure the security and functionality of the system. In addition, the AES received a security accreditation from CBP, and the AESDirect system received a security accreditation from the Census Bureau. On July 26, 2001, the Census Bureau published a program notice in the Federal Register (66 FR 39006) announcing that the AES certification report was submitted to Congress, and that the Census Bureau would be issuing rules, and allowing the public to comment, on this subject.
As authorized by section 1252(b) of Pub. L. 106-113, the Census Bureau is amending the FTSR to specify the mandatory provisions for electronically filing SEDs as well as the time and place requirements for filing. In addition, the Census Bureau is amending the FTSR to specify: (1) The requirements for the filing of SEDs through the electronic AES and the provisions and responsibilities of parties exporting items identified on the CCL and USML via the AES; (2) the provision by the Department of Commerce for the establishment of on- line assistance services to be available for those individuals who must use the AES; (3) the provision by the Department of Commerce for ensuring that an individual required to use the AES is able to print out from the AES a validated record of the individual's submission, including the date of submission and a transaction number or unique identifier, where appropriate, for the export transaction; and (4) a requirement that the Department of Commerce print out and maintain on file a paper copy or other acceptable back-up record of the individual's submission at a location selected by the Secretary of Commerce.
The Census Bureau is amending the FTSR to specify how electronic export information is identified on the manifest by mode of transportation and defining the carrier's responsibilities. In addition to amending regulations to provide for the mandatory filing via the AES, this rule amends Sec. Sec. 30.63 (14)-(21) to collect additional data through the AES to meet the State Department's requirements and will assist the Department of State to implement the Congressional requirement in section 38(i) of the Arms Export Control Act, Title 22 U.S.C., section 2778(i) for U.S. persons to provide to the Department of State a report containing all shipment information of items controlled under the International Traffic in Arms Regulations (ITAR), 22 CFR parts 120-130. Finally, this rule adds to the paper SED the requirement to enter the freight forwarder's Employer Identification Number (EIN) when required. This requirement applies to filers who are not required to file through AES and who choose to file a paper SED, rather than filing voluntarily through AES.
One additional revision the Census Bureau is making to the FTSR is the removal of AES Filing Option 3. Option 3 allowed the filer to provide partial predeparture information and complete information five (5) working days from the date of exportation. The Census Bureau identified four (4) specific reasons for eliminating Option 3. Option 3 has shown to be underutilized by the AES filers. Of the 734,916 total average AES shipment transactions collected per month, Option 3 filings averaged only 28,739 or 3.9 percent. Additionally, of the 5,000 plus AES filers, only 53 filers used Option 3 and of those, only seven (7) used Option 3 exclusively. The data collected were often incomplete and inaccurate because of missing postdeparture filings. Lastly, Option 3 has shown to be a burden by requiring filers to transmit twice for one shipment.
The Census Bureau published a proposed rulemaking and request for comments in the Federal Register on October 9, 2002 (67 FR 62911). As previously noted, the Census Bureau also published a program notice on the subject (66 FR 39006) on July 26, 2001. A summary of comments received from the export trade community and the Census Bureau's responses to the comments are presented in this rule. The effective date of this rule is August 18, 2003. The Census Bureau will implement provisions of this rule on October 18, 2003. This will allow all affected entities sufficient time to come into compliance with this rule.
Response to Comments
The Census Bureau received 14 letters commenting on the Notice of Proposed Rulemaking (NPR) published in the Federal Register on October 9, 2002 (67 FR 62911). Nine of the letters contained comments on two or more issues. The Census Bureau sent letters to all commentors addressing their concerns. After consideration of the comments received, the Census Bureau revised certain provisions in the final rule to address the concerns of the commentors and to clarify the requirements of the rule. The major concerns were as follows:
1. Clarify the future status of postdeparture filing utilizing AES Option 4 or another form of postdeparture reporting. There is concern among commentors that the Census Bureau will discontinue allowing postdeparture filing for data on export transactions reported through the AES. This is not the case. The Census Bureau does not intend to eliminate Option 4 postdeparture filing. We intend to eliminate only Option 3 filing, a hybrid pre- and postdeparture filing procedure. For reasons given in the NPR, AES Option 3 is underutilized by AES filers, and its use has resulted in incomplete and inaccurate data filing. Only seven (7) companies, representing less than four (4) percent of monthly export trade data transactions, used Option 3 exclusively to file data on export shipments. By requiring filers to transmit partial predeparture information initially and complete information after exportation, Option 3 has been a burden to AES filers.
Other commentors are in favor of eliminating Option 3 filing only if the Census Bureau makes a commitment to maintaining Option 4 or some form of postdeparture filing. Several commentors requested that the Census Bureau, in its final decision, emphasize the importance of retaining Option 4 filing in light of various governmental initiatives that are intended to capture information on export shipments as early as possible.
The Census Bureau supports postdeparture filing through AES because it recognizes that some trade community business practices may preclude predeparture filings. AES Option 4 filing considers the trade community's business practices and also provides for an approval process that ensures that only the most compliant companies are approved. While it is possible that Option 4 filing may undergo modifications due to current or future Census Bureau or other government agency initiatives, the Census Bureau will continue to work closely with its counterparts in other agencies to make available to the exporting community some form of postdeparture filing. In the case of ITAR controlled exports, the Department of State has determined that because of law enforcement as well as national security concerns, it will no longer authorize the use of AES Option 4.
2. Amend the proposed rule to address time and place for presenting the exemption statements to carriers. Commentors are concerned that USPPIs and authorized freight forwarders may
not always be able to present exemption information to exporting carriers at the time cargo is first tendered to the exporting carrier, especially when the carrier assumes responsibility for cargo at an inland port and provides intermodal transportation to the port of exportation. In some situations, the USPPI or forwarding agent may not have produced export documentation on which exemption information is required to be shown, at the time goods are tendered to the first carrier.
The Census Bureau agrees that the USPPI or its authorized agent does not always have exemption information available to provide to the carrier when cargo is initially tendered to a carrier for export. This is especially true in cases where the USPPI or agent arranges transportation that involves more than one carrier. The intent of Sec. 30.12(d) of the FTSR is to require AES filers to deliver exemption information to the exporting carrier. To clarify the intent of this section, the Census Bureau is amending Sec. 30.12(d) to emphasize that the USPPI or forwarding agent is required to deliver the AES exemption legend to the exporting carrier, that is, the carrier that will transport the goods to the foreign country.
3. Clarify filing responsibilities of the USPPI and its authorized freight forwarder. Commentors are concerned about the documentation responsibilities of the USPPI and the authorized forwarding agent in reporting information on export transactions. Responsibilities of the USPPI and authorized agent, including those involving routed export transactions, are specifically described in sections 30.4(b) and (c) of the FTSR. The Census Bureau does not intend to imply that any provision of section 30.4 is being revised by amending any other section of Title 15, Code of Federal Regulations, part 30 (the FTSR).
Two commentors proposed the institution of a joint filing system to be used by the USPPI and the authorized agent as a means to reduce liability on the parties and to alleviate the dependency of each party on the other to file complete data on export transactions. The Census Bureau considered establishing a method of filing export information that would allow the USPPI and the authorized forwarding agent to submit information jointly to CBP via the AES. However, the Census Bureau did not go forward with this filing option because of the cost of implementation and the potential risks associated with matching information from two different parties.
4. Explain the need for reporting additional address information for the USPPI. Several commentors expressed concern that by amending Sec. 30.7(d)(3) of the FTSR, the Census Bureau is requiring additional address information from the USPPI. Some commentors indicated that the new address requirement would be difficult to comply with because of the lack of information on the origin of shipments for multiunit establishments. Many commentors also questioned the reason for the amendment. In amending Sec. 30.7(d)(3) of the FTSR, the Census Bureau is not requiring an additional address for the USPPI, but is merely defining the address required for the USPPI as the location where the goods began their journey to the port of export. For shipments handled by freight forwarders, it is the responsibility of the USPPI to provide forwarding agents addresses that reflect the origin of goods for export reporting purposes.
The address should correspond to the two-digit state code reported for the state of origin. However, the Census Bureau requires the entire address, including ZIP Code, to develop and compile substate data or metropolitan area export data to replace the discontinued exporter location series. Substate data are used by local and State governments, among other parties, to gauge the impact of trade legislation on the economy of local jurisdictions as well as to monitor local area trade development programs. Since about 90 percent of AES transactions currently have transaction-level addresses reported, the Census Bureau does not expect to add significantly to the reporting burden of AES filers with this requirement.
5. Amend the proposed rule requiring reporting of the Transportation Reference Number (TRN) to reflect current trade practices. Commentors are concerned that filers of export data will not have the information to comply, in a timely manner, with the requirements of Sec. Sec. 30.7(j) and 30.63(b)(11) of the FTSR, specifically for shipments sent by air and truck. After consideration of comments received concerning reporting of the TRN, the Census Bureau has determined that documents specified in the NPR, namely, the master air waybill for air shipments, the bill of lading for rail shipments, and the Freight or Pro Bill for truck shipments, are not usually available to the USPPI or the authorized agent at the time cargo is given to air, rail, and truck carriers. Currently, the TRN is a conditional field in the AES except for shipments made by vessel where the information is required. The Census Bureau has made the TRN an optional reporting requirement for other than vessel shipments filed through the AES or via the SED. The Census Bureau amended language contained in Sec. Sec. 30.7(j) and 30.63 (c) of the FTSR to reflect these revisions.
6. Clarify the responsibilities of exporting carriers relative to presentation of the exemption legend to the CBP. Several commentors indicated concern about the proposed language in FTSR Sec. Sec. 30.21, 30.22, and 30.65 regarding requirements for annotating and transmitting exemption statements for export shipments and filing of manifests by exporting carriers. Some commentors think that the language could imply responsibility on the part of exporting carriers for properly annotating the exemption legend. This is not the case. The USPPI or the authorized agent is responsible for properly annotating the exemption legend.
Further, there is concern that references to carriers exempt from filing manifests as detailed in Sec. 30.21(f) of the regulations do not include carriers for all modes of transportation. It is not the Census Bureau's intent to institute a change in carrier responsibility with regard to the annotation and presentation of proof of filing citations or exemption legends for shipments filed through the AES or shipments for which SEDs are not required. When required, it is the responsibility of the USPPI or the authorized agent to provide the exemption legend or proof of filing citation on bills of lading, air waybills or other commercial loading documents for presentation to the carrier prior to export.
The Census Bureau does not propose to hold exporting carriers liable for the content of exemption legends presented by USPPIs or authorized agents for transactions reported through the AES or by way of the paper SED. The Census Bureau is revising the language contained in Sec. 30.22(a) and (b) and Sec. 30.65(b) of the FTSR to clarify the responsibility of exporting carriers with regard to the content and submission of exemption legends. The Census Bureau also is revising the language contained in Sec. 30.21(4) to include references to all modes of transportation exempt from filing manifests with the CBP.
Also, commentors expressed concern about the lack of availability of the International Traffic in Arms Regulations (ITAR) applicable to shipments filed through the AES and mentioned in these and other sections of the FTSR. The State Department will issue a final rule concerning time of filing and proof of filing citations prior to the Census Bureau's implementation of the final rule.
7. Clarify the role of Data Entry Centers (DECs) in filing for CCL and USML export shipments. Some commentors are concerned about the role of DECs in handling shipments on the CCL and USML subsequent to issuance of this rule. Currently, DECs may transmit through the AES export information submitted by a USPPI or authorized agent, including items identified on the CCL or USML lists. With issuance of this rule, only the USPPI or its authorized agent may file information on CCL or USML shipments through AES. Companies acting as DECs may transmit CCL and USML information through the AES if: (1) The reports are prepared by the USPPI or its authorized agent, or (2) the DEC becomes an authorized agent for the USPPI, with a properly executed power of attorney. The DEC cannot be the filer. The decision to transmit or not to transmit information on CCL or USML shipments through the AES is made solely by the DEC. Only companies acting as authorized agents of the USPPI with a properly executed power of attorney or written authorization are permitted to modify or amend information provided by the USPPI either before or following transmission through the AES.
Changes to the Proposed Rule as a Result of Public Comments
The changes made in this final rule to what has been included in the proposed rule are as follows:
(1) Section 30.7(j) is amended to require reporting of the TRN optional for shipments exported by modes of transportation other than vessel. This change is in response to concerns addressed in Item No. 5 of the ``Response to Comments'' section.
(2) Section 30.12(d) is amended to specify the proper carrier to which the USPPI or the authorized agent is to present the exemption legend or proof of filing citation for shipments filed through the AES. This change is in response to concerns addressed in Item No. 2 in the ``Response to Comments'' section.
(3) Section 30.21(4) is amended to clarify the types of carriers excluded from filing manifests with CBP and to stipulate the conditions under which operators of these carriers are required to present exemption legends or filing citations to CBP. This change is in response to concerns addressed in Item No. 6 in the ``Response to Comments'' section.
(4) Sections 30.22(a) and (b) are amended to clarify language describing the exporting carrier's responsibility for transmitting the exemption legend or proof of filing citation to CBP when an SED is not required because data on an export transaction are filed through the AES. This change is in response to concerns addressed in Item No. 6 in the ``Response to Comments'' section.
(5) Section 30.22(f) is amended to limit the application of paragraph (f) to items identified on the Department of Commerce's CCL and the State Department's USML. This change is in response to concerns addressed in Item No. 6 in the ``Response to Comments'' section.
(6) Section 30.63(c) is amended by making reporting of the TRN optional for other than vessel shipments in Sec. 30.63(c). This change is in response to concerns addressed in Item No. 5 in the ``Response to Comments'' section.
(7) Section 30.65(b) is amended to clarify the exporting carrier's responsibility for transmitting the exemption legend or proof of filing citation to CBP for data on export transactions filed through the AES. This change is in response to concerns addressed in Item No. 6 in the ``Response to Comments'' section.
In order to comply with the requirements of Pub. L. 106-113, requiring AES mandatory filing for items on the Department of Commerce's CCL and the State Department's USML, the Census Bureau is amending the appropriate sections of the FTSR to specify the requirements for the AES mandatory filing and the revision to the paper SED. For purposes of this rule, all references to filing mandatory AES shipments are limited to those kinds of shipments and do not apply to shipments that may be reported on the paper SED.The Census Bureau is revising the following sections of the FTSR:
The collection of additional data items listed in Appendix C has been approved by the Office of Management and Budget (OMB). In addition, the Census Bureau is also making the minor revisions discussed previously in the section entitled, ``Changes to the Proposed Rule as a Result of Public Comments.''
The State Department and the Department of Homeland Security concur with the provisions contained in this rule.
Regulatory Flexibility Act
The Chief Counsel for Regulation of the Department of Commerce certified to the Chief Counsel for Advocacy of the Small Business Administration that this rule will not have a significant impact on a substantial number of small entities. The factual basis for this
certification was published in the proposed rule. No comments were received regarding the economic impact of this rule. As a result, no final regulatory flexibility analysis was prepared.
This rule has been determined to be not significant for purposes of Executive Order 12866. It has been determined that this rule does not contain policies with Federalism implications as that term is defined under Executive Order 13132.
Paperwork Reduction Act
Notwithstanding any other provision of law, no person is required to respond to, nor shall a person be subject to a penalty for failure to comply with, a collection of information subject to the requirements of the Paperwork Reduction Act (PRA), unless that collection of information displays a current, valid OMB control number. In accordance with the PRA, 44 U.S.C., Chapter 35, OMB approved on April 26, 2002, with control number 0607-0512, the collection of all information associated with the AES and SED under this rule. We estimate that each electronic SED will take approximately 3 minutes to complete; we estimate that each paper SED will take approximately 11 minutes to complete.
List of Subjects in 15 CFR Part 30
Economic statistics, Foreign trade, Exports, Reporting and recordkeeping requirements.
0 For the reasons set out in the preamble, 15 CFR part 30 is amended as follows:
PART 30--FOREIGN TRADE STATISTICS
0 1. Revise the authority citation for part 30 to read as follows:
Authority: 5 U.S.C. 301; 13 U.S.C. 301-307; Reorganization Plan No. 5 of 1950 (3 CFR 1949-1953 Comp., 1004); and Department of Commerce Organization Order No. 35-2A, July 22, 1987, as amended.
0 2. In Part 30, revise all references to the ``Bureau of Export Administration'' to read the ``Bureau of Industry and Security,'' and revise all reference to ``BXA'' to read ``BIS.'' Also, revise all references to the ``U.S. Customs Service'' to read the ``Bureau of Customs and Border Protection,'' and revise all references to ``Customs'' to read ``CBP.''
0 3. Revise the heading of subpart A to read as follows:
Subpart A--General Requirements--U.S. Principal Party In Interest (USPPI)
0 4. Amend Sec. 30.1 as follows:
The revisions read as follows:
Sec. 30.1 General Statement of requirement for Shipper's Export Declarations (SEDs).
* * * * *
0 5. Amend Section 30.7 as follows:
The additions and revisions read as follows:
Sec. 30.7 Information required on Shipper's Export Declaration.
( 4) Truck Shipments. Report the Freight or Pro Bill number for all truck
shipments. The Freight or Pro Bill number is the number assigned by the
carrier to hold space on the truck for cargo being exported. The Freight
or Pro Bill number correlates to a bill of lading number, air waybill
number or Trip number for multi-modal shipments. The reporting of this
number is optional.
0 6. Revise Sec. 30.12 to read as follows:
Sec. 30.12 Time and Place for Presenting the SED, Exemption Legends or Proof of Filing Citations.
The following conditions govern the time and place to present paper SEDs,
exemption legends, or proof of filing citations. It is the duty of the
USPPI or the authorized agent to deliver the required number of copies
of the SED, the exemption legends, or the proof of filing citations when
the cargo is tendered to the exporting carrier. Information on items identified
on the CCL of the EAR (15 CFR Supp. No. 1 to Part 774) or the USML of
the ITAR (22 CFR part 121) that would otherwise require the filing of
an SED, must be filed through the AES. Information for items identified
on the USML, including those exported under an export license exemption,
must be filed electronically prior to export, unless exempted from the
SED filing requirements by the State Department. For State Department
USML shipments, refer to the ITAR (22 CFR parts 120-130) for more specific
requirements concerning the AES proof of filing citation and filing time.
Failure of the USPPI or the authorized agent of either the USPPI or foreign
principal party in interest to comply with these requirements constitutes
a violation of the provisions of these regulations, and renders such principal
party or the authorized agent subject to the penalties provided for in
Sec. 30.95 of this part.
Subpart B--General Requirements--Exporting Carriers
0 7. Revise Sec. 30.21 to read as follows:
Sec. 30.21 Requirements for the filing of manifests.
Carriers transporting merchandise via vessel, aircraft, or rail are required
to file an outbound manifest (along with the required SEDs, supporting
documentation and/or the exemption statement or the proof of filing citation)
to the CBP Port Director at the port of exportation. Outbound vessel manifests
may be filed via paper or electronically through the vessel transportation
module, a component of the AES, as provided in CBP Regulations, 19 CFR,
Sec. Sec. 4.63 and 4.76. SEDs may be filed via paper or electronically
via the AES.
122.76. All the cargo so laden shall be listed and shall show, for each
item, the air waybill number or marks and numbers on packages, the number
of packages, and the description of the goods.
0 8. Amend Sec. 30.22 as follows:
Sec. 30.22 Requirements for the filing of SEDs or AES exemption legends and AES proof of filing citations by departing carriers.
(a) * * * When the export information for a shipment is filed electronically
via the AES, the carrier is responsible for transmitting the appropriate
AES exemption legend as provided in Sec. 30.65 of this part and the AES
proof of filing citation as provided in the ITAR (22 CFR, part 121) for
USML shipments. Such transmittal shall be without material change or amendment
of the proof of filing citation as provided to the carrier by the USPPI
or the authorized agent.
0 9. Amend Sec. 30.23 by adding a sentence to the end of the paragraph to read as follows:
Sec. 30.23 Requirements for the filing of Shipper's Export Declarations by pipeline carriers.
* * If the merchandise transported by pipeline is identified on the
CCL of the EAR (15 CFR Supplement No. 1 to part 774) or the USML of the
ITAR (22 CFR, Part 121), and requires an SED, the data regarding the shipment
must be filed electronically through the AES.
Subpart E--Electronic Filing Requirements--Shipper's Export Information
0 10. Revise Sec. 30.60(a) to read as follows:
Sec. 30.60 General requirements for filing export and manifest data electronically using the AES.
* * * * *
0 11. Amend Sec. 30.61 as follows:
Sec. 30.61 Electronic filing options.
As an alternative to filing paper SEDs (Option 1), two electronic filing
options (Option 2 and 4) for transmitting shipper's export information
are available to U.S. principal parties or the authorized filing agent.
The electronic filing Option 4 takes into account that complete information
concerning export shipments is not always available prior to exportation.
Information on the export of items identified on the CCL of the EAR (15
CFR Supplement No. 1 to part 774) or the USML of the ITAR (22 CFR, part
121) that would otherwise require the filing of an SED must be filed using
Option 2. Option 4 may only be used when the appropriate licensing agency
has granted the USPPI authorization to use this option. The available
AES electronic filing options are as follows:
and Puerto Rico may be filed using Option 4. Certified AES authorized filing agents or service centers may transmit information post departure on behalf of approved Option 4 USPPIs, or the USPPI may transmit the data. All USPPIs filing a Letter of Intent for Option 4 filing privileges will be cleared through a formal review process by CBP, the Census Bureau, and other federal government agencies participating in the AES (partnership agencies) in accordance with provisions contained in Sec. 30.62. The USPPI or the authorized agent must provide the exporting carrier with the USPPI's Option 4 AES exemption legend as described in Sec. 30.65.
0 12. Amend Sec. 30.62 as follows:
Sec. 30.62 AES/AES Direct Certification, qualification, and standards.
Certification for AES filing will apply to the USPPI, authorized forwarding
agent, ocean carrier, or any organization acting as a service center transmitting
export information electronically using the AES.
0 13. Amend Sec. 30.63 as follows:
Sec. 30.63 Information required to be reported electronically through AES (data elements).
(a) * * *
0 14. Revise Sec. 30.65 to read as follows:
Sec. 30.65 Annotating the proper exemption legends or proof of filing citations for shipments transmitted electronically.
(a) Items identified on the USML must meet the predeparture reporting
requirements identified in the ITAR (22 CFR, part 120-130) for the State
Department requirements concerning AES proof of filing citations and time
and place of filing.
0 15. Revise Sec. 30.66 to read as follows:
Sec. 30.66 Support, documentation and record keeping requirements.
(a) Support. ``ASKAES@census.gov''
is an online service that allows electronic filers to seek assistance
pertaining to AES. AESDirect is supported by a help desk available twelve
(12) hours a day, seven (7) days a week.
documents by CBP or the Census Bureau does not relieve the USPPI or the authorized agent from providing complete and accurate information after the fact. The Department of State or other regulatory agencies may have additional recordkeeping requirements for exports.
0 16. Amend Appendix A as follows:
Appendix A to Part 30--Format for the Letter of Intent, Automated Export System (AES)
The first requirement for participation in AES is a Letter of Intent.
The Letter of Intent is a written statement of a company's desire to participate
in the AES. It must set forth a commitment to develop, maintain, and adhere
to CBP and Census performance requirements and operations standards. Once
the letter of intent is received, a CBP Client Representative and U.S.
Census Bureau Client Representative will be assigned to the company. Census
will forward additional information to prepare the company for participation
Appendix B to Part 30 [Reserved]
0 17. Remove and reserve Appendix B.
0 18. Amend Appendix C as follows:
Appendix C to Part 30--Electronic (AES) Filing Codes
Part II--Export Information Codes
Part III--License Codes
Part IV--In-Bond Codes
Dated: July 14, 2003.
Source: FTDWebMaster, Foreign
Trade Division, U.S. Census Bureau, Washington, D.C. 20233
Location: MAIN: REGULATIONS:FEDERAL REGISTER NOTICES
Created: 09 October 2002
Last modified: 13 July 2011 at 08:23:29 AM