[Federal Register Volume 70, Number 32 (Thursday, February 17, 2005)]
[Proposed Rules]
[Pages 8200-8227]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 05-2926]



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Part III





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; 
Proposed Rule

  Federal Register / Vol. 70, No. 32 / Thursday, February 17, 2005 / 
Proposed Rules  

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DEPARTMENT OF COMMERCE

Bureau of the Census

15 CFR Part 30

[Docket Number 031009254-4355-02]
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: Notice of proposed rulemaking and request for comments.

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SUMMARY: The U.S. Census Bureau (Census Bureau) proposes to amend the 
Foreign Trade Statistics Regulations (FTSR) to implement provisions in 
the Foreign Relations Authorization Act. Specifically, the Census 
Bureau proposes to require mandatory filing of export information 
through the Automated Export System (AES) or through the AESDirect for 
all shipments where a Shipper's Export Declaration (SED) is currently 
required. In addition to requiring mandatory AES filing, the proposed 
rule makes other changes to the FTSR. These additional changes are 
discussed in detail in the SUPPLEMENTARY INFORMATION section.

DATES: Submit written comments on or before April 18, 2005.

ADDRESSES: Please direct all written comments on this proposed rule to 
the Director, U.S. Census Bureau, Room 2049, Federal Building 3, 
Washington, DC 20233. You may also submit comments, identified by RIN 
number 0607-AA38, to the Federal e-Rulemaking Portal: http://www.regulations.gov. Please follow the instructions at that site for 
submitting comments.

FOR FURTHER INFORMATION CONTACT: C. Harvey Monk, Jr., Chief, Foreign 
Trade Division, U.S. Census Bureau, Room 2104, Federal Building 3, 
Washington, DC 20233-6700, by phone (301) 763-2255, by fax (301) 457-
2645, or by e-mail: [email protected].

SUPPLEMENTARY INFORMATION: 

Background

Reporting Requirements

    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 the information contained therein is 
used by the Census Bureau for statistical purposes only. Information 
reported in the AES 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. Information collected through 
the SED or AES is exempt from public disclosure unless the Secretary of 
Commerce determines that such exemption would be contrary to the 
national interest under the provisions of Title 13, U.S.C., Chapter 9, 
Section 301(g).
    Under current regulations, export information is compiled from both 
paper and electronic transactions filed by the exporting community with 
the Bureau of Customs and Border Protection (CBP, formerly the U.S. 
Customs Service) and the Census Bureau. The AES is an electronic method 
for filing the paper SED information directly with CBP and the Census 
Bureau. The AESDirect is the Census Bureau's free Internet-based system 
for filing SED information with the AES. Future references to the AES 
also shall apply to the AESDirect unless otherwise specified.
    A paper SED or the equivalent EEI is currently required, with 
certain exceptions, for exports of goods from the United States, 
including Foreign Trade Zones (FTZs) located therein, Puerto Rico, and 
the U.S. Virgin Islands to foreign countries; for exports between the 
United States and Puerto Rico; and for exports to the U.S. Virgin 
Islands from the United States or Puerto Rico. The SED or the EEI also 
is required for all exports requiring a license from the Bureau of 
Industry and Security (BIS), a license or license exception from the 
Department of State, or other government agency, regardless of value, 
unless exempted from the requirement for a SED or EEI by the licensing 
government agency.

Electronic Filing

    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 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 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 authorizes 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 authorizes the 
Secretary of Commerce to issue regulations regarding imposition of 
penalties, both civil and criminal, for the delayed filing, failure to 
file, and false filing of export information and/or using the AES to 
further any illegal activity. The Act provides for administrative 
proceedings for imposition of a civil penalty for violation(s) of 
Public Law 107-228. Finally, the Act authorizes the Secretary of 
Commerce to designate employees of the Office of Export Enforcement of 
the Department of Commerce to perform the enforcement functions in 
Title 13, U.S.C., Chapter 9, and delegate to customs officials in the 
U.S. Department of Homeland Security authority to enforce these same 
provisions.
    On October 22, 2003, the Census Bureau published an advanced notice 
of proposed rulemaking (ANPR) in the Federal Register (68 FR 60301) 
announcing the Census Bureau's intent to propose a rule mandating 
electronic filing through the AES of all information on export 
shipments where a SED is required and allowing the public to comment on 
this subject. The Census Bureau received and responded to two (2) non-
substantive comments to the ANPR. One commenter expressed continued 
support for postdeparture filing with mandatory AES filing. The second 
commenter was concerned about the ability to file complete export 
information prior to exportation under the mandatory filing system. 
Specifically, the commenter was concerned that accurate quantity data 
would not be available in the time frames required by the revised 
regulations. The Census Bureau did not

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change the proposed rule in response to these comments since post-
departure filing remains an option under the proposed rule to allow 
approved exporters the option to file export information within ten 
working days from the date of exportation.

Program Requirements

    To comply with the requirements of Public Law 107-228, the Census 
Bureau proposes amending in its entirety the FTSR to specify the 
requirements for the mandatory reporting of all export information 
through the AES when a SED is required. All future references to the 
SED shall be referred to as AES.
    The Census Bureau proposes amending the FTSR to include the 
following changes:
     Rename the FTSR to ``Part 30--Foreign Trade Regulations'' 
(FTR) 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), 
Form 7525-V, from Title 15, Code of Federal Regulations (CFR), part 30, 
so that AES will be the only mode for filing information currently 
required by the SED.
     Remove requirements for filing the intransit SED, Form 
7513, from 15 CFR part 30. Responsibility for Form 7513 was transferred 
to the U.S. Department of the Army, U.S. Army Corps of Engineers.
     In Sec.  30.2, list types of export transactions outside 
the scope of 15 CFR part 30 and thus the FTR. The list of out-of-scope 
transactions included in Sec.  30.2 is not all-inclusive, but includes 
those types of shipments about which the Census Bureau receives 
frequent inquiries on how to report export information. These types of 
shipments are to be excluded from EEI filing.
     In Sec.  30.2(a)(2), include language specifying the four 
optional means for filing EEI of which two methods require the 
development of AES software using the Automated Export System Trade 
Interface Requirements (AESTIR).
     In Sec.  30.3, include language specifying that in 
``routed'' transactions, the U.S. principal party in interest (USPPI) 
will compile and transmit export information on behalf of the foreign 
principal party in interest (FPPI) when authorized by the FPPI. This 
language is consistent with the language of Sec.  758.3 of the Export 
Administration Regulations and permits the USPPI to act as an agent of 
the FPPI upon the written authorization by the FPPI.
     In Sec.  30.5, revise the postdeparture (formerly Option 
4) approval procedures. 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 proposed 
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 AES predeparture filing requirements by filing EEI to the AES 
before applying for approval for postdeparture filing; (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.  30.4, specify the time and place-of-filing 
requirements for presenting proof of filing citations, postdeparture 
filing citations, and/or exemption legends. Specific time and place-of-
filing requirements are included in the FTR in accordance with 
provisions of Section 341(a) of Public Law 107-210, the Trade Act of 
2002. With the exception of State Department USML shipments under the 
control of the International Traffic in Arms Regulations and shipments 
approved for postdeparture filing, EEI with the appropriate proof of 
filing citations and/or exemption legends is required to be transmitted 
to the exporting carrier within specified time frames depending on the 
mode of transportation used. For example, transmissions 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 cargo is 
laden. Time and place-of-filing requirements for other modes of 
transportation also are presented in Sec.  30.4 of the proposed FTR. 
Currently, export information, with appropriate proof of filing 
citations and/or exemption legends, is only required to be presented to 
the exporting carrier prior to exportation.
     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.  30.6, add language specifying the specific 
procedure for reporting the value of goods to the AES when inland 
freight and insurance 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, add requirements for transmitting a Routed 
Transaction Indicator and a Vehicle Identification Qualifier to the 
list of data elements required to be reported to the AES. Both the 
Routed Transaction Indicator and the Vehicle Identification Qualifier 
indicate the conditions of other data elements reported to the AES. The 
Routed 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 used 
vehicle exported.
     Remove requirements for the Date of Arrival and the Waiver 
of Prior Notice Indicator from the list of data elements required to be 
reported to 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 
than other export shipments.
     Reference in subpart B export control and export licensing 
issues relevant to 15 CFR part 30. This subpart proposes to add 
references to export control and licensing requirements of the 
Department of State and other Federal agencies in addition to expanding 
those of the Department of Commerce's BIS. 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, revise 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. 
The previous version of the FTSR did not specifically describe the 
manner in

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which these export transactions would 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.
     Reference in subpart E carrier and manifest issues 
pertaining to provisions relevant to 15 CFR part 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.
     Reference in subpart F reporting requirements for import 
shipments relevant to 15 CFR part 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. Added to subpart F are instructions to 
import filers on where to obtain information on reporting import data. 
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.
     Create a new subpart H to cover FTR penalty provisions 
formerly addressed in Sec.  30.95 of the FTSR. New penalty provisions 
referenced in subpart H of this part describe the increase in penalties 
imposed for violations from $100 to $1,000 per each day of delinquency, 
to a maximum from $1,000 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 not more than five (5) years, or both, per violation. 
Finally, subpart H provides for the enforcement of these penalty 
provisions by the Bureau of Industry and Security's Office of Export 
Enforcement (OEE) and the Department of Homeland Security's CBP, 
Immigration and Customs Enforcement (ICE).
     Make other non-substantive revisions including revisions 
to language incorporated from the current FTSR, to clarify the intent 
of the regulations.
    The Departments of State and Homeland Security concur with the 
provisions contained in this notice of proposed rulemaking.

Rulemaking Requirements

Regulatory Flexibility Act

    The Chief Counsel for Regulation of the Department of Commerce 
certified to the Chief Counsel for Advocacy of the Small Business 
Administration (SBA) that this rule will not have a significant impact 
on a substantial number of small entities. This action would require 
that USPPIs or authorized agents in the United States file export 
information through the AES for all shipments where a SED is required 
under the current FTSR.
    The SBA's table of size standards indicates that businesses that 
are the USPPI or authorized agent and file export information are 
considered small businesses if they employ less than 500 people. Based 
on year 2001 data, the Census Bureau estimates that there are 91,000 
USPPIs that are considered small entities under the Small Business Act. 
Over 90 percent of USPPIs use an authorized agent to file export 
documentation. An estimate of the number of authorized agents is not 
known.
    The Census Bureau anticipates that the new requirement would not 
significantly affect the small businesses that must now file through 
the AES. It is unlikely that the regulations requiring mandatory use of 
the AES to file export information would affect a substantial number of 
small entities because more than 90 percent of USPPIs that are 
considered small entities use an authorized agent to file export 
documentation. Also, while this regulation would likely affect a 
substantial number of agents that are small entities it is not likely 
that the effect will be significant. The majority of agents require use 
of a computer to perform required tasks. These agents are unlikely to 
be significantly affected by this new requirement, as they currently 
possess the technology and equipment to submit the information through 
the AES. The Census Bureau has provided a free Internet-based system, 
AESDirect, especially for small businesses to submit their export 
information electronically. It would not be necessary for small 
businesses to purchase software for this task. For these reasons, if 
this proposed rule is adopted, this rule would not have a significant 
economic impact on a substantial number of small entities.

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 Office of Management and Budget 
(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 AES and 
related documents (e.g., the Letter of Intent (LOI) 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, Foreign trade, Exports, Reporting and 
recordkeeping requirements.

    For the reasons stated in the preamble, the Census Bureau proposes 
to revise 15 CFR part 30 to read as follows:

PART 30--FOREIGN TRADE STATISTICS

Subpart A--General Requirements
Sec.
30.1 Purpose and definitions.
30.2 General requirements for filing Electronic Export Information.
30.3 Electronic Export Information filer requirements, parties to 
export transactions, and responsibilities of parties to export 
transactions.

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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, and other 
commercial loading documents with the proper proof of filing 
citations, approved postdeparture filing citations, downtime filing 
citation, and exemption legends.
30.8 Time and place for presenting proof of filing citations, 
postdeparture filing citations, downtime filing citation, and 
exemption legends.
30.9 Transmitting and correcting Automated Export System 
information.
30.10 Authority to require production of documents and retaining 
electronic data.
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 Automated 
Export System 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.
30.74-30.99 [Reserved]

Appendix A To Part 30--Format for the Letter of Intent, Automated 
Export System

Appendix B To Part 30--Sample for Power of Attorney and Written 
Authorization

    Authority: 5 U.S.C. 301; 13 U.S.C. 301-307; Reorganization plan 
No. 5 of 1990 (3 CFR 1949-1953 Comp., 1004); Department of Commerce 
Organization Order No. 35-2A, July 22, 1987, as amended; Pub. L. 
107-228, September 30, 2002.

Subpart A--General Requirements


Sec.  30.1  Purpose and definitions.

    (a) This part sets forth the Foreign Trade Regulations (FTR) as 
required under 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. 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 Title 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 these 
regulations.
    (b) Electronic filing through the AES strengthens the U.S. 
Government's ability to prevent the export of certain items by 
unauthorized parties to unauthorized destinations and end users because 
AES aids in targeting, identifying, and when necessary confiscating 
suspicious or illegal shipments prior to exportation.
    (c) Definitions used with Electronic Export Information. 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 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 or their agents to transmit EEI to the AES 
via the Internet, at http://www.aesdirect.gov.
    AES Downtime Filing Citation. A statement used in place of a proof 
of filing citation when the AES or the AES participant's computer 
system experiences a major failure. The downtime filing citation must 
appear on the bill of lading, air waybill, or other commercial loading 
documentation.
    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-negotiable bill of 
lading and is used for similar purposes.
    Alongside. A phrase referring to the side of a ship. Goods to be 
delivered ``alongside'' are to be placed on the dock within reach of a 
transport ship's tackle so that they can be loaded aboard the ship.
    Annotation. An explanatory note (e.g., proof of filing citation, 
postdeparture filing citation, AES downtime filing citation, or 
exemption legend) placed on the bill of lading, air waybill, or other 
loading document.
    Authorized Agent. An individual or legal entity domiciled 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

[[Page 8204]]

summary data on goods imported into the United States.
    Automated Export System (AES). The electronic system, including 
AESDirect, for collecting Shipper's Export Declaration 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 materials 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 a security to ensure the 
performance of specific acts, such as the payment of duties and taxes 
or the provision 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 on a 
specific voyage or flight.
    Buyer. The entity who has entered into the export transaction to 
purchase the commodities for delivery to the ultimate consignee.
    Cargo. Goods being transported.
    Carnet. An international customs document permitting the holder to 
carry or send goods temporarily into certain foreign countries without 
paying duties or posting bonds.
    Carrier. An individual or legal entity in the business of 
transporting passengers or goods. Airlines, trucking companies, 
railroad companies, shipping lines, pipeline companies, non-vessel 
operating common carriers, and slot charterers are all examples of 
carriers.
    Civil Penalty. A monetary penalty imposed on a USPPI or authorized 
agent for failing to file export information, filing false or 
misleading information, filing information late, and/or using the AES 
to further any illegal activity.
    Commerce Control List (CCL). A list of all items--commodities, 
software, and technical data--that are subject to BIS export controls. 
It incorporates not only the national security controlled items agreed 
to by the Coordinating Committee on Multilateral Export Controls, but 
also items controlled for foreign policy and other reasons.
    Commodity. Articles exchanged in trade, and commonly used to refer 
to raw materials and bulk-produced agriculture products.
    Compliance Alert. A notice 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 filing practices and take 
steps to conform with export reporting requirements.
    Consignee. The person or entity named in a freight contract to whom 
goods have been consigned and that has the legal right to claim the 
goods at the destination.
    Consignment. Delivery of goods from an exporter (the consignor) to 
an agent (consignee) under agreement that the agent sells the goods for 
the account of the exporter. The consignor retains title to the goods 
until sold. The consignee sells the goods for commission and remits the 
net proceeds to the consignor.
    Container. A uniform, sealed, reusable metal ``box'' in which goods 
are shipped by vessel, truck, or rail.
    Controlling Agency. The agency responsible for the license 
determination on specified goods exported from the United States.
    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 under the applicable 
rule of origin for the good. The country of origin for U.S. imports 
shall be 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, or manufactured, as known to the 
shipper at the time of exportation.
    Criminal Penalty. For the purpose of this part, a penalty imposed 
for knowingly 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 place 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. Commodities 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 by further manufacture in the United States.
    Domicile. A place of permanent residence or business.
    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 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 equivalent of 
the export data formerly collected on the Shipper's Export Declaration 
(SED) now mandated to be filed through the AES or AESDirect.
    Employer Identification Number (EIN). The USPPI's Internal Revenue 
Service Employer Identification Number 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 purchaser or ultimate consignee.
    Enhancement. A change or modification to goods that increases their 
value.
    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

[[Page 8205]]

equipment, such as container or igloo number, truck license number or 
rail car number.
    Exception. A determination by BIS that releases the USPPI or the 
authorized agent from the necessity to apply for a license from the 
agency.
    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, 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 this part 
where the particular exemption is provided (for example, Sec.  30.38).
    Export. To send or transport goods out of a country for consumption 
in another country.
    Export Control. The establishment of procedures for the 
governmental control of exports for statistical or strategic purposes.
    Export Control Classification Number (ECCN). Formerly Export 
Commodity Classification Number within the CCL. Every product on the 
CCL has an ECCN consisting of a five-character number that identifies 
categories, product groups, strategic level of control, and country 
groups.
    Export License. A controlling agency 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, Bureau of Industry and Security, and Bureau of 
Alcohol, Tobacco, and Firearms.
    Export Statistics. Export statistics measure the quantity or 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. FTZ.
    Export Value. The estimated worth of goods at the port of export; 
for example, 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. port of export.
    Fatal Error Message. A notice sent to the filer by the AES when 
invalid data or a critical condition has been encountered and the EEI 
has been rejected. The filer is required to immediately address the 
problem, correct the data, and retransmit the EEI.
    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. If the FPPI is in the United States when the goods are 
purchased or obtained for export, it must be shown as the USPPI. If an 
individual representing the foreign entity does not possess an EIN or 
SSN, their passport number, border crossing card number, or other 
official document number must be shown in the USPPI field of the EEI.
    Foreign Trade Zone (FTZ). Special 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 move 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.
    Harmonized System. A method of classifying goods in international 
trade developed by the Customs Cooperation Council (now the World 
Customs Organization).
    Harmonized Tariff Schedule (HTS). An organized listing of goods and 
their duty rates, developed by the U.S. International Trade Commission, 
that 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 moving into the United States, 
including:
    (1) Commodities of foreign origin and
    (2) Goods of domestic origin returned to the United States with no 
change in condition, or after having been processed and/or assembled in 
other countries.
    Inbond. A procedure established 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 paid, or until they are exported from the United States. The 
procedure is so named because the cargo moves under the carrier's bond 
(financial liability assured by the carrier) from the gateway seaport 
or airport and remains ``in bond'' until CBP releases the cargo at the 
inland Customs point or at the port of export.
    Inland Freight. The cost to ship commodities between domestic ports 
and points inland by rail, air, road, or water, other than baggage, 
express mail, or regular mail.
    Intermediate Consignee. The person or entity in the foreign country 
who acts as an agent for a 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 system generated number 
assigned to a shipment confirming that the AES transmission was 
accepted and is on file in AES.
    Interplant Correspondence. Records or documents from a U.S. firm to 
its subsidiary or affiliate, whether in the United States or overseas.
    Intransit. 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.
    ISO Country Codes. The 2-position alphabetic International 
Standards Organization code for countries.
    Letter of Intent (LOI). A written statement 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.
    License Applicant. The person who applies for an export or reexport 
license for agency-controlled commodities. (For example, obtaining a 
license for goods that are listed on the CCL.)
    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. For example, the air waybill, inland bill of lading, ocean bill 
of lading, and through bill of lading are all loading documents.
    Manifest. A document listing and describing the cargo contents of a 
carrier, container, or warehouse. Carriers required to file manifests 
with the CBP Port Director must include a proof of filing citation, AES 
downtime filing citation, postdeparture filing citation, or exemption 
legend for all cargo being transported.

[[Page 8206]]

    Merchandise. See commodity or goods.
    Mode 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. Modes of transportation include vessel, air, 
truck, rail, or other. When goods are transshipped across land borders, 
the mode of transportation to be reported is that by which the goods 
enter or depart from the United States.
    North American Free Trade Agreement (NAFTA). A formal agreement, or 
treaty, between Canada, Mexico, and the United States to promote trade 
amongst the three countries. It includes measures for the elimination 
of tariffs and non-tariff barriers to trade, as well as numerous 
specific provisions concerning the conduct of trade and investment.
    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 foreign purchaser or ultimate consignee. 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.
    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 Type. Identifies whether the Party ID is an EIN, SSN, DUNS, 
or Foreign Entity reported to the AES, for example, E=EIN, S=SSN, 
D=DUNS, T=Foreign Entity.
    Person. In legal usage, any natural person, corporation or other 
entity, domestic or foreign.
    Port of Export. The seaport of CBP 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 foreign territory. In the case of an export 
by mail, it includes the place of mailing.
    Postdeparture Filing. The privilege granted to approved USPPIs to 
file commodity data up to 10 calendar days after the date of export.
    Postdeparture Filing Citation. A notation placed on the bill of 
lading, air waybill, or other commercial loading document from an 
approved USPPI that states that the EEI will be filed after departure 
of the carrier.
    Power of Attorney. A legal authorization from a USPPI or FPPI 
stating that the agent has authority to act as its 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 greatest satisfaction from an export 
trade negotiation; 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, or other commercial loading document, usually for carrier 
use, that provides evidence that export information has been filed and 
accepted as transmitted through the AES.
    Reexport. For statistical purposes: exports of foreign-origin goods 
that have previously entered the United States or Puerto Rico 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 further manufacture 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): the shipment of U.S.-origin products from one foreign 
destination to another.
    Related Party Transaction. A transaction involving trade between a 
USPPI and ultimate consignee in which one exercises at least 10 percent 
of interest or more (voting securities) in both.
    Remission. The cancellation or release from a penalty, including 
fines, imprisonment, 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.
    Routed Export Transaction. A transaction where the FPPI authorizes 
a U.S. agent to facilitate export of items from the United States on 
its behalf.
    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. 
(See HTS.)
    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 International 
Standards Organization codes.
    Schedule D. The classification of CBP ports. The Schedule D 
provides a list of CBP 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 Army Corps of Engineers.
    Seller. The party, usually the manufacturer, producer, wholesaler, 
or distributor of the goods, that receives the monetary benefit of the 
export transaction (price) or other consideration for the exported 
goods.
    Shipment. Unless as otherwise provided, all goods being sent from 
one exporter to one consignee in a single country of destination on a 
single conveyance.
    Shipment Reference Number. A unique identification number assigned 
by the EEI filer for reference purposes. This number must remain unique 
for a period of five years.
    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 aircraft 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.
    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.

[[Page 8207]]

    U.S. Principal Party In Interest (USPPI). The person or legal 
entity in the United States that receives the primary benefit, monetary 
or otherwise, of 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.
    Ultimate Consignee. The person located abroad who is the true 
principal party in interest, receiving the export or reexport for the 
designated end use. (See also End-User.)
    Unlading. The physical removal of cargo from an aircraft, truck or 
vessel.
    Vehicle Identification Number (VIN). A number used for the 
identification of a self-propelled vehicle.
    Verify Message. A notice sent to the filer by the AES when an 
unlikely condition is found. The data may or may not be correct, and 
the filer is required to transmit a correction, if warranted, within 
four calendar days.
    Warning Message. A notice sent to the filer by the AES when certain 
incomplete and conflicting data reporting conditions are encountered. 
AES accepts the information filed to facilitate the trade. The filer is 
required to transmit a correction to the commodity data within four 
calendar days. If left uncorrected, AES will periodically generate and 
transmit a ``warning reminder'' message back to the filer until the 
data have been corrected.
    Wholesaler/Distributor. An agent who sells directly for a supplier 
and maintains an inventory of the supplier's products.
    Written Authorization. A written consent by the USPPI or FPPI 
stating that the agent has authority to act as its 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 to shipments admitted to a zone.


Sec.  30.2  General requirements for filing Electronic Export 
Information.

    (a) Filing requirements--(1) The AES is the electronic system for 
collecting 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. References 
to the AES also shall apply to AESDirect unless otherwise specified. 
For purposes of the regulations in this part, SED information shall be 
referred to as Electronic Export Information (EEI). Electronic Export 
Information shall be filed through the AES by the U.S. 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 
exports of physical goods, including shipments moving pursuant to 
orders received over the Internet. Exceptions, exclusions, and 
exemptions to this requirement are provided for in paragraphs 
(a)(1)(iv) and (d) of this section and subpart D of this part. 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, 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 non-foreign areas:
    (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) Electronic export information 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) Destined for countries subject to the Department of Treasury 
export licensing under the Office of Foreign Assets Control (OFAC) 
regulations (31 CFR parts 500 through 599).
    (B) Requiring a Department of Commerce, Bureau of Industry and 
Security (BIS) license (15 CFR parts 730 through 774).
    (C) Requiring a Department of State, Directorate of Defense Trade
    Controls (DDTC) export license under the International Traffic in 
Arms Regulations (ITAR) (22 CFR parts 120 through 130).
    (D) Subject to the ITAR but exempt from license requirements.
    (E) Requiring a Department of Justice, Drug Enforcement 
Administration (DEA) export permit (21 CFR part 1312).
    (F) Requiring an export license issued by any other federal 
government agency.
    (G) Classified as rough diamonds under 6-digit Harmonized System 
subheadings 7102.10, 7102.21, and 7102.31.
    (2) Filing methods. The USPPI has four optional means for filing 
EEI: use AESDirect; develop AES software using the AESTIR; purchase 
software developed by certified vendors using the AESTIR; or use an 
authorized agent.
    (b) General requirements--(1) Electronic Export Information shall 
be filed prior to exportation unless the USPPI has been authorized 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.
    (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, 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) Electronic Export Information is required to be presented to 
CBP prior to export for commodities being exported by vessel going 
directly to the countries identified in 19 CFR 4.75(c) and by aircraft 
going directly or indirectly to those countries (See 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 export data through the AES or 
AESDirect. 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 a Letter of Intent for AES filing or submission 
of an online registration for filing through AESDirect.

[[Page 8208]]

    (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. Shipments under CBP bond leaving the United States by 
vessel may require the filing of Form 7513, Shipper's Export 
Declaration for In-transit Goods.
    (2) Goods shipped from the U.S. possessions of Guam Island, 
American Samoa, Wake Island, Midway Island, Northern Mariana Islands, 
and Canton and Enderbury Islands to foreign countries or areas, and 
goods shipped between the United States and these possessions when an 
export license or license exemption is not required. As per this 
section, EEI is required for shipments between the United States and 
Puerto Rico, or from the United States or Puerto Rico to the U.S. 
Virgin Islands. (See subpart B of this part for filing requirements for 
export control purposes.)
    (3) Electronic transmissions and intangible transfers. (See subpart 
B 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, its authorized agent, or the authorized U.S. agent 
of the FPPI. Export data provided 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 Employer Identification Number (EIN) or social security 
number (SSN), 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 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 principals in a transaction are the seller 
and buyer.
    (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 goods are temporarily imported into the United States for 
reexport within one year (e.g., carnets), the authorized agent entering 
the goods may be listed as the USPPI in the EEI.
    (v) 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.
    (3) Authorized agent. The agent shall be authorized by the USPPI 
or, in the case of a routed export transaction, 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 Export Administration 
Regulations (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 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) Maintaining 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) Accurately preparing and filing 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 
complete the EEI.
    (iii) Maintaining 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 the manner prescribed by the USPPI.
    (d) Filer responsibilities. Responsibilities of USPPIs and 
authorized agents filing EEI are as follows:
    (1) Transmitting complete and accurate information (see Sec.  30.4 
for a

[[Page 8209]]

delineation of filing responsibilities of USPPIs and authorized 
agents).
    (2) Transmitting 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 transmitting corrections or cancellations to EEI in 
accordance with provisions contained in Sec.  30.9.
    (6) Maintaining 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 maintaining 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 one 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 or authorize an agent to file the EEI on its behalf. If the USPPI 
prepares and files the EEI, it shall maintain documentation to support 
the EEI filed. If the FPPI authorizes an agent to prepare and file the 
EEI, the USPPI shall maintain 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) Point of origin (State or FTZ).
    (iv) Commercial description of commodities.
    (v) Origin of goods indicator: Domestic (D) or foreign (F).
    (vi) Schedule B/Harmonized Tariff Schedule (HTS) Classification 
Commodity Code.
    (vii) Quantity/unit of measure.
    (viii) Value.
    (ix) Upon request from the FPPI or its agent, the Export Control 
Classification Number (ECCN) or sufficient technical information to 
determine the ECCN.
    (x) 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.
    (xi) Any information that it knows will affect the determination of 
license authorization (see subpart B of this part for additional 
information on licensing requirements).
    (2) Authorized agent responsibilities. In a routed export 
transaction, the authorized agent is responsible for obtaining a power 
of attorney or written authorization from the FPPI to prepare and file 
the EEI on its behalf; preparing and filing the EEI based on 
information obtained from the USPPI or other parties involved in the 
transaction; maintaining documentation to support the EEI reported to 
the AES; and upon request by the USPPI, verifying that the information 
provided by the USPPI was accurately reported to the AES. The 
authorized agent also shall provide the following export information to 
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) Mode 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.
    (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)). 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.


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 to AES for the following types of 
shipments:
    (1) Used self-propelled vehicles (except those shipped between the 
United States and Puerto Rico) as defined in 19 CFR 192.1;
    (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.  
30.1(c) for a list of definitions that apply to this part);
    (6) Shipments to countries where complete outbound manifests are 
required prior to clearing vessels or aircraft for export (see 19 CFR 
4.75(c) and 122.74(b)(2) for a listing of these countries);
    (7) Items identified on the U.S. Munitions List (USML) of the ITAR 
(22 CFR part 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 Harmonized System 
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 Internal Transaction Number (ITN) no

[[Page 8210]]

later than the time period specified as follows:
    (1) For State Department USML shipments, refer to the ITAR (22 CFR 
parts 120 through 130) for specific requirements concerning 
predeparture filing time frames. In addition, if a filer is unable to 
acquire an ITN because AES is not operating, the filer shall not export 
until AES is operating and an ITN is acquired.
    (2) For non-USML shipments, file the EEI and transmit 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 AES ITN to the exporting 
carrier no later than 24 hours prior to the departure of the vessel 
from 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 AES ITN 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 AES ITN 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 AES ITN 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 AES ITN to the exporting carrier no later than two 
(2) hours prior to exportation. (See Sec.  30.4(d) 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 proof of filing citation as described 
in Sec.  30.7(b)(4); 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 (10) 
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) Pipeline. The operator of a pipeline may transport goods to a 
foreign country without the prior filing of the proof of filing 
citation, on the condition that within four (4) days following the end 
of each calendar month the operator shall file on the AES and will 
deliver to the CBP Port Director the proof of filing citation covering 
all exportations through the pipeline to each consignee during the 
month.
    (e) Proof of filing citation or exemption legend. The USPPI or the 
authorized agent shall provide the exporting carrier with the AES proof 
of filing citation or exemption legend 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 shall be 
certified to file on 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 to 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, a written 
authorization from the USPPI or FPPI, and be domiciled in the United 
States to file EEI to the AES. The USPPI or authorized agent that 
utilizes a certified software vender 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 Letter of Intent. The first 
requirement for all participation in AES, including approval for 
postdeparture filing privileges, is to submit a complete and accurate 
Letter of Intent to the Census Bureau. The Letter of Intent is a 
written statement of a company's desire to participate in AES. It shall 
set forth a commitment to develop, maintain, and adhere to CBP and 
Census Bureau performance requirements and operations standards. The 
format and content for the Letter of Intent are provided in Appendix A 
of this part.
    (2) AESDirect registration. U.S. principal parties in interest 
desiring to file though AESDirect shall complete the online AESDirect 
registration form in lieu of the AES Letter of Intent. 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 
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 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 shall successfully transmit the AES 
certification test. The 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 qualifies for certification. Upon successful completion of 
certification testing, the USPPI's status is moved from testing mode to 
operational status. Automated Export System 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 
has been approved for operational status. The certification notice will 
include:
    (i) The date that filers may begin transmitting data;
    (ii) Reporting instructions; and

[[Page 8211]]

    (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 Letter of Intent to the 
Census Bureau in accordance with the provisions contained in Sec.  30.4 
(see Appendix A of this part for the content and format of the Letter 
of Intent). An authorized agent may not apply on behalf of a USPPI. The 
Census Bureau will distribute the Letter of Intent for postdeparture 
filing privileges 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 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 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 
Letter of Intent 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) The USPPI has not demonstrated experience in filing or 
authorizing the filing of information electronically through the AES.
    (ii) The USPPI's volume of EEI reported through the AES does not 
warrant participation in postdeparture filing.
    (iii) The USPPI is not an established USPPI with regular 
operations.
    (iv) The USPPI has consistently failed to submit EEI to the AES in 
a timely and accurate manner.
    (v) The USPPI has a history of noncompliance with Census Bureau 
export regulations contained in this part.
    (vi) 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.
    (vii) The USPPI has made or caused to be made in the Letter of 
Intent a false or misleading statement or omission with respect to any 
material fact.
    (viii) The USPPI would pose a significant threat to national 
security interests such that its participation in postdeparture filing 
should be denied.
    (ix) The USPPI has multiple violations of either the Export 
Administration Regulations (EAR) (15 CFR parts 730 through 774) or the 
International Traffic in Arms Regulations (ITAR)(22 CFR parts 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 non-selection and for their appeal procedures. A 
USPPI denied postdeparture filing status by the Census Bureau will be 
provided with a specific reason for non-selection and a Census Bureau 
point of contact in an electronic notification letter. A USPPI may 
appeal the Census Bureau's non-selection decision by following the 
appeal procedure and re-application 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 to 
the AES in a timely and accurate manner;
    (C) The USPPI has made or caused to be made in the Letter of Intent 
a false or misleading statement or omission with respect to material 
fact;
    (D) The USPPI submitting the Letter of Intent 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 
applicant is in violation of Census Bureau export rules and regulations 
contained in this part;
    (E) The USPPI has failed to comply with existing Census Bureau or 
other agency 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. 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

[[Page 8212]]

this time period and an expected date of decision. Approved 
postdeparture filing USPPIs who have had their postdeparture filing 
status revoked may not reapply for this privilege for one year 
following written notification of the 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. Filers 
shall change administrator codes or passwords for security purposes 
when employees leave the company. The administrator shall change the 
password when any person with access leaves the company.
    (2) Registered companies are responsible for those persons having 
access to the user name, administrator code, and password. If an 
employee with 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, administrator code, and 
user name in the system to ensure the integrity and confidentiality of 
Title 13 data.
    (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 30 days, to ensure the elimination of 
any virus contamination. If the registered company's computer system is 
infected with a virus, the company shall contact the Census Bureau's 
Foreign Trade Division Computer Security Officer and refrain from using 
AESDirect until it is virus free. Failure to comply with these 
requirements will result in immediate loss of privilege to use 
AESDirect until the registered company can establish to the 
satisfaction of the Census Bureau's Foreign Trade Division Computer 
Security Officer that the company's computer systems accessing 
AESDirect are virus free.
    (e) Monitoring the filing of EEI. The USPPI's or the authorized 
agent's AES filings will be monitored and reviewed for quality, 
timeliness, and coverage. The Census Bureau will provide performance 
reports to USPPIs and authorized agents who file EEI. The Census Bureau 
will take appropriate action to correct specific situations where the 
USPPI or authorized agent fails to maintain acceptable levels of data 
quality, timeliness, or coverage.
    (f) Support. The Census Bureau provides online services that allow 
the USPPI and the authorized agent to seek assistance pertaining to AES 
and this part. For AES assistance, filers may send an e-mail to 
[email protected], and for regulatory assistance, filers may send an e-
mail to [email protected]. AESDirect is supported by a help desk 
available twelve (12) hours a day from 7 a.m. to 7 p.m. EST, seven (7) 
days a week. Filers can obtain contact information from the Web site 
http://www.aesdirect.gov.


Sec.  30.6  Electronic Export Information data elements.

    The information specified in this section is required for shipments 
transmitted to the AES. The data elements identified as ``mandatory'' 
shall be reported for each transaction. The data elements identified as 
``conditional'' shall be reported if they are required for or apply to 
the specific shipment. The data elements identified as ``optional'' may 
be reported at the discretion of the USPPI or the authorized agent.
    (a) Mandatory data elements are as follows:
    (1) USPPI and USPPI identification. The name, address, 
identification, and contact information of the USPPI shall be reported 
to the AES as follows:
    (i) Name of the USPPI. In all export transactions, the name listed 
in the USPPI field in the EEI shall be the USPPI in the transaction. 
(See Sec.  30.1 for the definition of the USPPI and Sec.  30.3 for 
details on the USPPI's reporting responsibilities.)
    (ii) Address of the USPPI. In all EEI filings, the USPPI shall 
report the address or location (no post office box number) from which 
the goods actually begin the journey to the port of export. For 
example, 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. If the USPPI does not have a facility (processing plant, 
warehouse, distribution center, or retail outlet, etc., whether owned 
or leased) at the location from which the goods began their export 
journey, report the USPPI address from which the export was directed. 
For shipments with multiple origins, report the address from which the 
commodity with the greatest value begins its export journey or, if such 
information is not known at the time of filing, the address from which 
the export is directed.
    (iii) USPPI identification number. The USPPI's EIN or SSN. The 
USPPI shall report its own Internal Revenue Service (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 ID Type code shall be reported to 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

[[Page 8213]]

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, or where the USPPI is located. 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 International Standards Organization (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.
    (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 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) Mode of transportation. The mode 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 modes of 
transportation, including mail or fixed modes (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 modes of transportation, including mail and fixed modes 
(pipeline), the carrier identification is not required. The National 
Motor Freight Traffic Association (NMFTA) issues and maintains the 
SCAC. (See http://www.nmfta.org.) The IATA issues and maintains the 
IATA codes. (See http://www.census.gov/trade for a list of IATA codes.)
    (9) Port of export. The port of export is the seaport or airport 
where the goods are loaded on the exporting carrier that is taking the 
goods out of the United States, or the port where exports by overland 
transportation cross the U.S. border into foreign territory. 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 company indicator. The related company indicator shows 
if the USPPI and the ultimate consignee are related. A related party 
transaction involves trade between an affiliated USPPI and ultimate 
consignee in which one person or business exercises at least a 10 
percent interest (voting securities) in both parties. Shipments to 
independent distributors are considered non-related unless there is at 
least 10 percent control.
    (11) Domestic or foreign indicator. Indicate if the goods exported 
are of domestic or foreign origin. Show 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

[[Page 8214]]

are the growth, produce, or manufacture of the United States, including 
goods exported from U.S. FTZs, Puerto Rico, or the U.S. Virgin Islands 
(including commodities incorporating foreign components), 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. 
Identify domestic goods by the designation ``D'' in the EEI.
    (ii) Foreign. Exports of foreign goods include those commodities 
that are the growth, produce, or manufacture of 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. Identify foreign goods by the designation ``F'' in the EEI.
    (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 HTS may be reported in lieu of the Schedule B commodity 
classification number except as noted in the headnotes of the HTS. The 
HTS is a global classification system used to describe most world trade 
in goods. Furnishing the correct Schedule B or HTS number does not 
relieve the USPPI or the authorized agent of furnishing, in addition, a 
complete and accurate commodity description. When reporting the 
Schedule B number or HTS number, the decimals shall be omitted. (See 
http://www.census.gov/trade for a list of Schedule B Classification 
Numbers).
    (13) Commodity description. Report the description of the goods 
shipped in sufficient detail to permit verification of the Schedule B 
or HTS 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 HTS (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 HTS 
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 HTS. If 
neither Schedule B or HTS 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 HTS. 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 
HTS, 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 and fractions of less than one-half unit up or down 
to the nearest whole unit, respectively. (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 
modes. For exports (except household goods) by mail, fixed transport 
(pipeline), or other valid modes, 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 HTS 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. Report value to the nearest dollar; omit cents figures. 
Fractions of a dollar less than 50 cents should be ignored, and 
fractions of 50 cents or more should be rounded upward 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 alongside the exporting carrier at the 
port of export 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 are 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

[[Page 8215]]

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, shipments under carnet, and 
all other shipments).
    (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 (5) 
years.
    (20) Line number. A number that identifies the specific commodity 
line item within a shipment.
    (21) Hazardous material (HAZMAT) indicator. An indicator 
identifying the shipment as 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 identifies the 
commodity as having a Federal Government agency requirement for a 
license, permit, license exception or exemption or that no license is 
required.
    (24) Routed export transaction indicator. An indicator that the 
FPPI has authorized, through a power of attorney or written 
authorization, an agent to prepare and file the EEI. See Sec.  30.3 for 
responsibilities of the parties to the routed export transaction.
    (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. Only 
approved USPPIs may file 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) 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.)
    (ii) 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 (see paragraph (b)(1)(iii) of this section).
    (iii) 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 type 
of agent identification (E=EIN, S=SSN, etc.) shall be indicated.
    (iv) Contact information. Show 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 Export Administration Regulations 
(EAR) (15 CFR parts 730 through 774).
    (3) Foreign Trade Zone (FTZ) identifier. If goods are removed from 
the FTZ and not entered for consumption, report the FTZ identifier. 
This is the unique 5-digit identifier assigned by the Foreign Trade 
Zone Board that identifies the FTZ, sub-zone or site from which goods 
are withdrawn for export.
    (4) Foreign port of unlading. The foreign port of unlading is the 
port and 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/authorization symbol. 
License number, permit number, citation, or authorization symbol 
assigned by the Department of Commerce, BIS; Department of State, DDTC; 
Department of Treasury, OFAC; Department of Justice, Drug Enforcement 
Administration (DEA); Nuclear Regulatory Commission (NRC); or any other 
federal government agency.
    (6) Export Control Classification Number (ECCN). The number used to 
identify items on the Commerce Control List (CCL), Supplement No. 1 to 
Part 774 of the EAR. The five (5) position ECCN consists of a set of 
digits and a letter or EAR99. Section 738.2 of the EAR describes the 
ECCN format.
    (7) Secondary unit of measure. The unit of measure is a code that 
corresponds to the secondary quantity as prescribed in the Schedule B 
or HTS. If neither Schedule B nor HTS specifies a secondary unit of 
measure for the item, the unit of measure is not required.
    (8) Secondary quantity. The quantity is the total number of units 
that correspond to the secondary unit of measure, if any, specified in 
the Schedule B or HTS. See the definition of the primary quantity for 
specific instructions on reporting the quantity as a weight and whole 
unit, and rounding fractions.
    (9) Vehicle Identification Number (VIN)/Product ID. The 
identification found on the reported used vehicle. For used self-
propelled vehicles that do not

[[Page 8216]]

have a VIN, the Product ID is reported. ``Used'' vehicle refers to any 
self-propelled vehicle the equitable or legal title to which has been 
transferred by a manufacturer, distributor, or dealer to an ultimate 
purchaser. See 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 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 abbreviation 
code for the state or territory that issued the vehicle title.
    (13) Entry number. The entry number is the import entry number for 
a shipment transported under bond or if a FTZ or North American Free 
Trade Agreement (NAFTA) deferred duty claim is made. 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. This 
number shall not contain any imbedded slashes or dashes.
    (14) Transportation reference number. The transportation reference 
number (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 number for multimodal shipments. The TRN is 
optional for truck shipments.
    (15) Department of State requirements.
    (i) DDTC registration number. The number assigned by DDTC to 
persons who are required to register per part 122 of the ITAR (22 CFR 
parts 120 through 130), that has 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 U.S. Munitions List (USML) (22 CFR 
part 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 parts 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 part 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 parts 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 and authorization 
symbol. The unique identifying number of 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 Harmonized System 
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, truck license 
number, or rail car number.
    Sec.  30.7 Annotating the bill of lading, air waybill, and other 
commercial loading documents with the proper proof of filing citations, 
approved postdeparture filing citations, downtime filing citation, and 
exemption legends.
    (a) Items identified on the U.S Munitions List (USML) (22 CFR part 
121) shall meet the predeparture reporting requirements identified in 
the ITAR (22 CFR parts 120 through 130) for the State Department 
requirements concerning AES proof of filing citations, and time and 
place of filing.
    (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, or other commercial loading document. 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 or exemption legend on the carrier's outbound manifest 
when required. The carrier is responsible for presenting the 
appropriate exemption legend or the proof of filing citation to the 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, manifest or other commercial loading documentation and shall 
be clearly visible and include either of the following:
    (1) For shipments other than USML, the proof of filing citation 
shall include the statement ``AES,'' followed by the returned 
confirmation number provided by the AES when the transmission is 
accepted, referred to as the ITN (for example, AES ITN). Items on the 
USML shall meet the predeparture reporting requirements in the ITAR (22 
CFR parts 120 through 130).
    (2) Requirements for shipments filed postdeparture for approved 
USPPIs.
    (i) If the USPPI files the EEI postdeparture, only the USPPI's EIN 
and the date of export are required in the

[[Page 8217]]

postdeparture filing citation (e.g., AESPOST EIN (USPPI) mm/dd/yyyy).
    (ii) If the authorized agent files the EEI postdeparture on behalf 
of an approved USPPI, the filing citation will include the statement 
``AESPOST,'' followed by the USPPI's EIN, followed by the filer's 
identification number and the date of export (e.g., AESPOST EIN 
(USPPI)-EIN (Authorized agent) mm/dd/yyyy).
    (3) Exports of rough diamonds classified under Harmonized System 
subheadings 7102.10, 7102.21, and 7102.31, in accordance with the Clean 
Diamond Act, will require the proof of filing citation, as stated in 
paragraph (b)(2) of this section, to be annotated on the Kimberley 
Process Certificate.
    (4) For goods shipped pursuant to Sec.  30.4(b)(3)(ii), the filer 
must provide the following downtime filing citation: ``AESDOWN'' 
followed by the filers EIN, shipment reference number, and date of 
export (e.g., AESDOWN EIN (filer) shipment reference number mm/dd/
yyyy).


Sec.  30.8  Time and place for presenting proof of filing citations, 
postdeparture filing citations, AES downtime filing citation, and 
exemption legends.

    The following conditions govern the time and place to present proof 
of filing citations, postdeparture filing citations, AES downtime 
filing citation, and/or exemption legends. The USPPI or the authorized 
agent is required to deliver the proof of filing citations, 
postdeparture filing citations, AES downtime filing citation, and/or 
exemption legends required in Sec.  30.4(a). See Sec.  30.7 for 
instructions for properly formatting the proof of filing citations, 
postdeparture filing citation, and AES downtime filing citation. See 
subpart D of this part for instructions on properly formatting 
exemption 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 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 
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 exportation.
    (b) Pipeline exports. See subpart E of this part for the proof of 
filing citation and/or exemption legend requirements.
    (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, postdeparture filing 
citations, AES downtime filing citation, and/or exemption legends prior 
to exportation.


Sec.  30.9  Transmitting and correcting Automated Export System 
information.

    (a) The USPPI or the authorized filing agent is responsible for 
electronically transmitting accurate export information 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 
after exportation. The provisions of this paragraph relating to the 
reporting of corrections, cancellations, or 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. Failure to respond to 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. A fatal error 
message will cause the EEI to be rejected. This error shall be 
corrected prior to exportation of goods. 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 (4) calendar days. 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  Authority to require production of documents and retaining 
electronic data.

    (a) Authority to require production of documents. For purposes of 
verifying the completeness and accuracy of the 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 retain documents or records pertaining to the shipment 
for five (5) years from the date of export. The Department of State or 
other regulatory agencies may have record keeping requirements for 
exports that exceed the retention period specified in the regulations 
in this part, and those requirements prevail. The CBP, Immigration and 
Customs Enforcement (ICE), the Census Bureau, the BIS, and other 
participating agencies may require that EEI, shipping documents, 
invoices, orders, packing lists, and correspondence, as well as any 
other relevant documents and any other information bearing upon a 
particular exportation be produced at any time within the 5-year time 
period for inspection or copying. These records may be retained in an 
elected format, including electronic or hard copy as provided for in 
the applicable agency's regulations. Acceptance of the documents by 
CBP, the Census Bureau, or the BIS does not relieve the USPPI or its 
authorized agent from providing complete and accurate information at a 
later time, if all requirements have not in fact been properly met.
    (b) Retaining Electronic Export Information. Automated Export 
System filers shall retain a copy of their letter of intent to 
participate in AES and a copy of the electronic certification notice 
from the Census Bureau that the filer's AES account has been approved 
for operational status. The Letter of Intent and certification notice 
shall be retained for as long as the filer submits EEI through AES. 
Filers using AES are able to retrieve their AES filings. AESDirect and/
or AESPcLink filers shall retain a copy of the electronic certification 
notice and print the notice indicating the filer has attained 
certification on AESDirect and/or AESPcLink. Filers using the AESDirect 
and/or AESPcLink are able to retrieve a copy of their submissions. The 
Census Bureau will maintain a database of EEI filed in AES to ensure 
that all filers can retrieve a validated record of their submissions. 
The USPPI or the authorized agent of the USPPI or FPPI also may request 
a copy of the electronic record, or submission from the Census Bureau, 
as provided for in subpart G of this part.

[[Page 8218]]

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, including 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 or the authorized agent 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 (5) 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 (EAR).

    The EAR issued by the U.S. Department of Commerce, BIS, also 
contain some additional reporting requirements pertaining to EEI (see 
15 CFR parts 730 through 774).
    (a) The EAR require 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 U.S. Department of Homeland Security's CBP 
regulations, 19 CFR part 192, for information referencing the advanced 
electronic submission of cargo information on exports for targeting and 
inspection 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. The 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 U.S. Munitions List (USML) 
of the ITAR (22 CFR part 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 parts 120 through 130) for 
requirements regarding information required for electronically 
reporting export information for USML shipments, proof of filing 
citations, and filing time requirements.
    (c) Department of State regulations can be found at: http://www.state.gov.


Sec.  30.19  Other Federal agency regulations.

    Other Federal agencies have requirements regarding the reporting of 
certain types of export transactions. 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.

    The following 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, ferries, 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 returned without having been entered

[[Page 8219]]

into a foreign destination, the filer shall correct or 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 the 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 HTS 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 part 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 requirement for filing is provided in 
this subpart, 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 number of 
the section or provision in this part where the particular exemption is 
provided (for example, Sec.  30.36).


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 parts 120 through 130).
    (4) Requiring a Department of Commerce, BIS export license under 
EAR 15 CFR parts 730 through 774.
    (5) Subject to the ITAR, but exempt from license requirements.
    (6) Classified as rough diamonds under 6-digit Harmonized System 
subheadings 7102.10, 7102.21, and 7102.31.


Sec.  30.37  Miscellaneous exemptions.

    Electronic Export Information 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 HTS commodity classification code, is $2,500 or less. 
This exemption applies to individual Schedule B or HTS commodity 
classification codes regardless of the total shipment value. In 
instances where a shipment contains a mixture of individual Schedule B 
or HTS commodity codes valued $2,500 or less and individual Schedule B 
or HTS commodity classification codes valued over $2,500, only those 
commodity classification codes valued over $2,500 need be reported. If 
the filer reports multiple items of the same Schedule B or HTS code, 
this exception only applies if the total value of exports for the 
Schedule B/HTS code is $2,500 or less. This exemption does not apply to 
shipments requiring a license from either the Department of Commerce or 
the Department of State or a license exemption for commodities 
controlled under the USML.
    (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(a)(2)(i) and 740.14(b)(4)), 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,

[[Page 8220]]

employee, or representative of the company or business.
    (4) Are not for sale.
    (5) Are returned to the United States no later than one 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, other than by vessel, of goods for which no export 
licenses or ITAR exemptions are required, transported in bond through 
the United States, and exported from another U.S. port, or transshipped 
and exported directly from the port of arrival. (However, where 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, EEI shall be filed when the goods are 
exported from the United States.)
    (f) Exports of technology and software as defined in 15 CFR part 
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) Intangible exports of software and technology, such as 
downloaded software and technical data, regardless of whether an export 
license is required, and mass-market software exported electronically.
    (h) Shipments to foreign libraries, government establishments, or 
similar institutions, as provided in Sec.  30.40(d).
    (i) Shipments as authorized under License Exception GFT for gift 
parcels and humanitarian donations (see 15 CFR 740.12 of the EAR).
    (j) Diplomatic pouches and their contents.
    (k) Human remains and accompanying appropriate receptacles and 
flowers.
    (l) 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.
    (m) Shipments of pets as baggage, accompanied or unaccompanied, of 
persons leaving the United States, including members of crews on 
vessels and aircraft.
    (n) 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.
    (o) 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.
    (p) 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 exception (AVS) for aircraft and 
vessels (see 15 CFR 740.15(c)).
    (q) Electronic Export Information 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 the 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.


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 HTS commodity classification codes, unit of 
measure, 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 19 CFR part 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 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 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.

    Electronic Export Information 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 or controlled by the 
ITAR and shipments that are not consigned to the U.S. armed services 
but are for their ultimate use.


Sec.  30.40  Special exemptions for certain shipments to U.S. 
Government agencies and employees.

    Electronic Export Information 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

[[Page 8221]]

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 requirement for the filing of carrier 
manifests with proof of filing citations for the electronic submission 
of export information or exemption legends when Automated Export System 
filing is not required.

    (a) Requirement for filing carrier manifest. Carriers transporting 
goods from the United States, Puerto Rico, or U.S. Possessions 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 (for 
vessels, aircraft, and rail carriers) have been delivered to the CBP 
Port Director in accordance with all applicable requirements under CBP 
regulations. Each bill of lading, air waybill, or other commercial 
loading document shall contain the appropriate AES proof of filing 
citations, covering all cargo for which 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 AES proof of filing citations or exemption 
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.
    (ii) Coal and fuel oil. The quantity of coal shall be reported in 
metric tons (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 through 122.76. 
The manifest shall be filed with the 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 the 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 with the CBP Port Director at the border port of export in 
accordance with 19 CFR Part 123.
    (4) Carriers not required to file manifests. Carriers exempted from 
filing manifests under applicable CBP regulations are required, upon 
request, to present to the CBP Port Director, the proof of filing 
citation or exemption legend 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 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 the 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, or other commercial documents. The bills of lading, cargo 
lists, or other commercial forms shall be securely attached to the 
manifest in such 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 need not be reported 
by the regulations in this part, a notation on the manifest, or an oral 
declaration to the CBP Port Director, shall be made by the carrier as 
to the basis for the exemption.
    (f) Proof of filing citations and exemption legends.
    (1) The exporting carrier shall not accept paper SEDs under any 
circumstances nor load cargo that does not have an appropriate proof of 
filing citation or exemption legend.
    (2) The exporting carrier is 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 appropriate AES proof of filing citations 
or exemption legends.


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 citation or exemption 
legend, on the condition that within four (4) calendar days following 
the end of each calendar month the operator will deliver to the CBP 
Port Director the proof of filing citations covering all exports 
through the pipeline to each consignee during the month.


Sec.  30.47  Clearance or departure of carriers under bond on 
incomplete manifests.

    (a) Except when carriers are transporting goods from the United 
States to Puerto Rico, clearance or permission to depart may be granted 
to any carrier by the CBP Port Director prior to the filing of a 
complete manifest, to the extent authorized, per the bond provisions as 
contained in 19 CFR 4.75, 4.76, and 122.74.
    (b) Except as provided in 19 CFR 4.75, 4.76 and 122.74 as 
applicable, on the bond, or on a separate listing as part of the bond, 
a pro forma list of AES proof

[[Page 8222]]

of filing citations and exemption legends shall be shown by the 
departing carrier. This listing may be waived by the CBP Port Director 
if such waiver does not interfere with the ability of the CBP Port 
Director to check on performance under the bond or with identifying 
shipments for which statistical data are required.


Sec. Sec.  30.48--30.49  [Reserved]

Subpart F-Import Requirements


Sec.  30.50  General requirements for filing import entries.

    Electronic entry filing Automated Broker Interface (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 non-foreign areas (except Puerto Rico).
    (b) Sources for collecting import statistics include the following:
    (1) CBP's ABI Program (see 19 CFR, subpart A, part 143).
    (2) CBP-7501 paper entry summaries required for individual 
transactions (see 19 CFR, subpart B, part 142).
    (3) CBP-226, Record of Vessel Foreign Repair or Equipment Purchase 
(see 19 CFR 4.7 and 4.14).
    (4) CBP-214, Application for Foreign Trade Zone Admission and/or 
Status Designation (Statistical copy).
    (5) Automated Foreign Trade Zone Reporting Program (AFTZRP).


Sec.  30.51  Statistical information required for import entries.

    The information required for statistical purposes is, in most 
cases, also required by CBP regulations for other purposes. Refer to 
CBP Web site at http://www.cbp.gov to download ``Instructions for 
Preparation of CBP-7501,'' for completing the paper entry summary 
documentation (CBP-7501). Refer to the Customs and Trade Automated 
Interface Requirements for instructions on submitting an ABI electronic 
record, or instructions for completing the 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 entering 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 drawn 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 part 146, ``Foreign 
Trade Zones.'') When foreign goods enter a FTZ, the zone operator is 
required to file CBP-214, ``Application for Foreign Trade Zone 
Admission and/or Status Designation.'' Refer to the CBP Web site for 
instructions on completing the CBP-214. Per 19 CFR 146.32(a), the 
applicant for admission shall present the 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 calendar day of the month following the report month. 
Participation in the Census Bureau program does not relieve companies 
of the responsibility to file the 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 part 146 for 
completing these fields.):
    (a) HTS 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) Mode 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 the 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 if they meet all of the requirements for filing 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 is being charged.
    (b) HTS Classification Code. Report HTS commodity classification 
code, 9801.10.0000 for goods re-exported after repair.


Sec.  30.54  Special provisions for imports from Canada.

    (a) When certain softwood lumber products described under 
Harmonized Tariff Schedule of the United States (HTSUS) subheadings 
4407.1000, 4409.1010, 4409.1090, and 4409.1020 are imported from 
Canada, import entry records are required to show a valid Canadian 
Province of Manufacture Code. The Canadian Province of Manufacture is 
determined on a first mill basis (the point at which the item was first 
manufactured into a covered lumber product). For purposes of 
determination, Province of Manufacture is the first province where the 
subject goods underwent a change in tariff classification to the tariff 
classes cited in this paragraph. The Province of Manufacture Code 
should replace the Country of Origin code on the CBP-7501, Entry 
Summary form. For

[[Page 8223]]

electronic ABI entry summaries, the Canadian Province Code should be 
transmitted in positions 6-7 of the A40 records. These requirements 
apply only for imports of certain soft lumber products for which the 
Country 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 Province 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 Province of Origin is defined 
as the Province 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 Province 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 province in which the goods were 
manufactured, assembled, grown, mined, or otherwise produced is 
unknown, the province in which the Canadian vendor is located can be 
reported. For those reporting on paper forms the Province of Origin 
code replaces the country of origin code on the CBP-7501, Entry Summary 
form.
    (c) All electronic ABI entry summaries for imports originating in 
Canada also required the new Canadian Province of Origin code to be 
transmitted for each entry summary line item in the A40 record 
positions 6-7.
    (d) The Province of Origin code replaces the Country of Origin code 
only for imports that have been determined, under applicable CBP rules, 
to originate in Canada. Valid Canadian Province/Territory codes are:

XA--Alberta
XB--New Brunswick
XC--British Columbia
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 HTS 
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. Authority can also be found in CBP 
Regulations 19 CFR 141.61(a) which require that the entry summary data 
clearly set forth all information required.
    (b) 19 CFR 141.61(e) of the 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 HTS. 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 contained in the AES 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. The 
information collected is used by the Census Bureau for statistical 
purposes only and by the BIS of the Department of Commerce for export 
control purposes. In addition, EEI is used by other Federal agencies 
such as the Department of State and CBP for export control. Except as 
provided for in paragraph (f) of this section, information reported 
through the AES shall not be disclosed to anyone by any officer, 
employee, contractor, or agent of the federal government other than to 
the USPPI, FPPI, the authorized agent of the USPPI or the FPPI, or the 
transporting carrier (the parties). Such disclosure shall be limited to 
that information provided to the AES by each party.
    (b) Penalties. Disclosure of confidentiality of EEI by any officer, 
employee, contractor, or agent of the Federal Government except as 
provided for in paragraphs (a) and (f) of this section renders such 
persons subject to the penalties provided for in subpart H of this 
part.
    (c) Supplying EEI for official purposes. The EEI may be supplied to 
federal agencies for official purposes, defined to include, but not 
limited to:
    (1) Verification of export shipments for export control and 
compliance purposes;
    (2) Providing proof of export; and
    (3) Compliance and audit purposes by the USPPI, FPPI, agents of 
USPPI and FPPI, and carriers. Such disclosure shall be limited to that 
information provided to the AES by each party. Official purposes shall 
also include those determined to be in the national interest pursuant 
to Title 13 U.S.C., Section 301(g) and paragraph (e) of this section.
    (d) Supplying EEI for non-official purposes. The EEI shall not be 
disclosed by the USPPI or the authorized agent or representative of the 
USPPI or authorized agent for non-official purposes, defined to 
include, but not limited to:
    (1) Claims for exemption from Federal internal revenue tax or state 
taxes;
    (2) Use by the IRS for purposes not related to export control or 
compliance;
    (3) Use by state and local government agencies, and non-
governmental entities; and
    (4) Use by foreign governments.
    (e) 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, proof of filing citation or exemption 
legend, shall be copied to the outward manifest of ocean carriers.
    (f) Determination by the Secretary of Commerce. Under Title 13, 
U.S.C., Chapter 9, Section 301(g), the 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

[[Page 8224]]

paragraph (d) 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.


Sec.  30.61  Statistical classification schedules.

    The following statistical classification schedules are referenced 
in this part. These schedules, except as noted, may be accessed through 
the Census Bureau's Web site at: http://www.census.gov/trade.
    (a) Schedule B: Statistical Classification for Domestic and Foreign 
Commodities Exported from the United States shows the detailed 
commodity classification requirements and 10-digit statistical 
reporting numbers to be used in preparing EEI, as required by the 
regulations in this part.
    (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. (Note: 
This site is maintained by the United States International Trade 
Commission (USITC) at http://www.usitc.gov.)
    (c) Schedule C--Classification of Country and Territory 
Designations for U.S. Foreign Trade Statistics.
    (d) Schedule D--Classification of CBP Districts and Ports for U.S. 
Foreign Trade Statistics.
    (e) Schedule K--Classification of Foreign Ports by Geographic Trade 
Area and Country. (Note: This site is maintained by the Army Corps of 
Engineers.)
    (f) International Air Transport Association (IATA)--Code of the 
carrier for air shipments. These are the 2-digit or 3-digit 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 4-character 
code necessary to prepare EEI, as required by the regulations in this 
part. (Note: This site is maintained by the National Motor Freight 
Traffic Association at http://www.nmfta.org.)


Sec.  30.62  Emergency exceptions.

    The Census Bureau and CBP may jointly authorize the postponement of 
or exceptions 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.
------------------------------------------------------------------------
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 the Bureau of Immigration and Customs 
Enforcement (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 Clean Diamond Trade Act (the 
Act), Executive Order 13312, and Rough Diamonds Control Regulations (31 
CFR part 592). CBP, ICE, and 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 (10) 
years, or both;
    (2) If an officer, director, or agent of any corporation, 
imprisoned for not more than 10 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 (5) 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 
(5) 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 section 3571 of Title 18, U.S.C.
    (b) Civil penalties. (1) Filing false/misleading information, 
failure to file, furtherance of illegal activities, delayed filing 
violations. A civil penalty not to exceed $1,000 for each day's 
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 
information or reports in connection with the exportation or 
transportation of cargo.
    (2) 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.

[[Page 8225]]

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 sections 556 and 557 of 
Title 5, U.S.C.
    (b) 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 (5) 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.
    (c) 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.
    (d) Applicable law for delegated function. If, pursuant to Title 
13, U.S.C., section 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.
    (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.


Sec.  30.73  Enforcement.

    (a) Department of Commerce. The BIS's Office of Export Enforcement 
(OEE) may conduct investigations pursuant to this part. In conducting 
investigations, OEE may, to the extent necessary or appropriate to the 
enforcement of this part, exercise such authorities as are conferred 
upon OEE by other laws of the United States, subject to policies and 
procedures approved by the Attorney General.
    (b) Department of Homeland Security. The ICE and CBP may enforce 
the provisions of this part or conduct investigations under this part.


Sec. Sec.  30.74-30.99  [Reserved]

Appendix A to Part 30--Format for the Letter of Intent, Automated 
Export System

    The first requirement for approval/certification to file in the 
AES is to submit an electronic Letter of Intent (LOI). The LOI is a 
statement of a company's desire to participate in the AES. It shall 
set forth a commitment to develop, maintain, and adhere to CBP and 
Census performance requirements and operations standards. Once the 
LOI is received, a CBP Client Representative and a U.S. Census 
Bureau Client Representative will be assigned to the company. Census 
will forward additional information to prepare the company for 
participation in the AES.
    The AES postdeparture filing privilege allows a USPPI approved 
to file postdeparture (an approved USPPI) or an authorized agent 
filing on behalf of an approved USPPI to submit complete export data 
at any time prior to or within ten (10) calendar days after the date 
of exportation. Applicants will be reviewed by several government 
agencies prior to acceptance for the postdeparture filing. Failure 
to provide complete and accurate information will be grounds for 
rejecting the LOI for the postdeparture filing option. Incomplete or 
inaccurate information on the LOI for the predeparture filing status 
will be returned without action to the organization filing the 
application.
    The LOIs shall include all of the following:
    1. Company Name, Address (no P.O. boxes), City, State, Postal 
Code.
    2. Company Contact Person, Phone Number, Fax Number, E-mail 
Address.
    3. Technical Contact Person, Phone Number, Fax Number, E-mail 
Address.
    4. Corporate Office Address, City, State, Postal Code.
    5. Type of Business--USPPI, Authorized Agent/Broker, Ocean 
Carrier, Software Vendor, Service Center, etc. (Indicate all that 
apply).
    (i) Authorized Agents/Brokers, indicate the number of USPPIs for 
which export information is filed.
    (ii) USPPIs, indicate whether you applied for AES predeparture 
and/or postdeparture filing (only USPPIs can apply for postdeparture 
filing).
    6. Identify the filing type sought: Predeparture, Postdeparture 
filing, or BOTH
    (Note: Only USPPIs can apply for postdeparture filing).
    If applying for postdeparture filing, state/identify the reason 
for the request.
    7. Filer Code--EIN, SSN, or DUNS (Indicate all that apply).
    8. Description of products exported and 6-digit Schedule B/HTS 
number(s). Only the 6-digit Schedule B/HTS number(s) identified will 
be approved for use in postdeparture filing.
    (i) Indicate seasonal product(s).
    (ii) Identify why the product is seasonal.
    9. Types of Licenses or Permits.
    10. U.S. Ports of Export Expected to be Utilized.
    11. Average Monthly Number of Export Shipments requiring the 
filing of EEI.
    12. Average Monthly Value of Export Shipments requiring the 
filing of EEI.
    13. Software Vendor Name, Contact, and Phone Number (if using 
vendor provided software).
    14. Modes of Transportation used for export shipments (Air, 
Vessel, Truck, Rail, etc.).
    15. The following self-certification statement, signed by an 
officer of the company: ``I, ------ representing or on behalf of, 
(COMPANY NAME) certify that all statements made and all information 
provided herein are true and correct. I understand that civil and 
criminal penalties may be imposed for making false or fraudulent 
statements herein, failing to provide the requested information or 
for violation of U.S. laws on exportation (13 U.S.C. 305; 18 U.S.C. 
1001).''
BILLING CODE 3510-07-P

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[GRAPHIC] [TIFF OMITTED] TP17FE05.000


[[Page 8227]]


[GRAPHIC] [TIFF OMITTED] TP17FE05.001


    Dated: February 10, 2005.
Charles Louis Kincannon,
Director, Bureau of the Census.

[FR Doc. 05-2926 Filed 2-16-05; 8:45 am]
BILLING CODE 3510-07-C