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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


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


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[Federal Register: June 2, 2008 (Volume 73, Number 106)]
[Rules and Regulations]               
[Page 31547-31590]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr02jn08-13]                         


[[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


[[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.

-----------------------------------------------------------------------

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 c.harvey.monk.jr@census.gov.

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://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=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 http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=http://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://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=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://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=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://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=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://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=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://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=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://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=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 
ASKAES@census.gov and for FTR assistance, filers may send an e-mail to 
FTDREGS@census.gov. AESDirect is supported by a help desk available 
twelve (12) hours a day from 7 a.m. to 7 p.m. EST, seven (7) days a 
week. Filers can obtain contact information from the Web site http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=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://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=http://www.nmfta.org.) The IATA 
issues and maintains the IATA codes. (See http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=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://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=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 
http://www.gpoaccess.gov/.


Sec.  30.18  Department of State regulations.

    (a) The USPPI or the authorized agent shall file export 
information, when required, for items on the 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://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=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://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=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://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=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 FTDRegs@census.gov.
    (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

[[Page 31580]]

[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
いいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいい
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
いいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいい
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
いいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいい
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
いいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいい
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
いいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいいい
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

FTD Web News


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EXPORT COMPLIANCE SEMINARS AND WORKSHOPS
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2003 AES Option 4 Moratorium
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AES Compliance Best Practices:
Best Practices for maintaining AES Compliance are now available.

Related Party Database Application:
Time series RELATED PARTY data for specific commodities and countries.

ORDER AND DOWNLOAD FOREIGN TRADE DATA PRODUCTS:
- Online Order Form
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NEW Schedule B Search Engine:
It's new. It's flexible. It has more options.

NEWEST TRADE DATA!
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Source: FTDWebMaster, Foreign Trade Division, U.S. Census Bureau, Washington, D.C. 20233
Location: MAIN: REGULATIONS:TRADE REGULATIONS
Created: 03 June 2008
Last modified: 13 July 2011 at 08:23:30 AM