[Federal Register Volume 78, Number 50 (Thursday, March 14, 2013)]
[Rules and Regulations]
[Pages 16366-16391]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2013-05435]



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Vol. 78

Thursday,

No. 50

March 14, 2013

Part II





Department of Commerce





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Bureau of the Census





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15 CFR Part 30





Foreign Trade Regulations: Mandatory Automated Export System Filing for 
All Shipments Requiring Shipper's Export Declaration Information; Final 
Rule; Submission for OMB Review; Comment Request; Notice

  Federal Register / Vol. 78, No. 50 / Thursday, March 14, 2013 / Rules 
and Regulations  

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DEPARTMENT OF COMMERCE

Bureau of the Census

15 CFR Part 30

[Docket Number 100318153-3158-02]
RIN 0607-AA50


Foreign Trade Regulations: Mandatory Automated Export System 
Filing for All Shipments Requiring Shipper's Export Declaration 
Information

AGENCY: Bureau of the Census, Commerce Department.

ACTION: Final rule.

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SUMMARY: The Bureau of the Census (Census Bureau) is amending its 
regulations to reflect new export reporting requirements. Specifically, 
the Census Bureau is requiring mandatory filing of export information 
through the Automated Export System (AES) or through AESDirect for all 
shipments of used self-propelled vehicles and temporary exports. In 
addition to adopting new export reporting requirements and modifying 
the postdeparture filing program, the Census Bureau is making remedial 
changes to the FTR to improve clarity and to correct errors.

DATES: This final rule is effective January 8, 2014, except for Sec.  
30.6(a)(24) and (b)(15) containing information collection requirements 
that have not yet been approved by the Office of Management and Budget 
(OMB) under the Paperwork Reduction Act (PRA). When OMB approval is 
received, the Census Bureau will publish a document in the Federal 
Register.

FOR FURTHER INFORMATION CONTACT: Nick Orsini, Chief, Foreign Trade 
Division, U.S. Census Bureau, Room 6K032, Washington, DC 20233-6010, by 
phone (301) 763-6959, by fax (301) 763-6638, or by email 
([email protected]).

SUPPLEMENTARY INFORMATION:

Background

    The Census Bureau is responsible for collecting, compiling, and 
publishing export trade statistics for the United States under the 
provisions of Title 13, United States Code (U.S.C.), Chapter 9, Section 
301. The AES is the primary instrument used for collecting export trade 
data, which is used by the Census Bureau for statistical purposes only. 
Through the AES, the Census Bureau collects Electronic Export 
Information (EEI), the electronic equivalent of the export data 
formerly collected on the Shipper's Export Declaration, reported 
pursuant to Title 15 Code of Federal Regulations (CFR) Part 30. The EEI 
consists of data elements set forth at 15 CFR 30.6 for an export 
shipment, and includes information such as the exporter's personal 
identifying information, which includes name, address and 
identification number, and detailed information concerning the exported 
product. Other Federal government agencies use the EEI for export 
control purposes to detect and prevent the export of certain items by 
unauthorized parties or to unauthorized destinations or end users. The 
EEI is exempt from public disclosure unless the Secretary of Commerce 
determines under the provisions of Title 13, U.S.C., Chapter 9, Section 
301(g), that such exemption would be contrary to the national interest.
    In August 2003, the Census Bureau, in agreement with U.S. Customs 
and Border Protection (CBP), placed a moratorium on accepting new 
applications for Postdeparture filing. The Census Bureau and CBP plan 
to continue the moratorium on accepting new applications pending the 
development of a program to collect advanced export information that 
will continue to facilitate trade and address national security 
concerns. The Census Bureau is modifying the existing postdeparture 
filing program for current approved filers.

Response to Comments

    The Census Bureau received 53 letters and/or emails commenting on 
the Notice of Proposed Rulemaking (NPRM) published in the Federal 
Register on January 21, 2011, (76 FR 4002). All the letters and/or 
emails contained comments on two or more issues. A summary of the 
comments and the Census Bureau's responses are provided below.
    The major concerns were as follows:
    1. Amend the proposed rule to remove the requirement for reporting 
the Country of Origin. Several commentors were concerned that they 
would have to install costly automated systems to calculate and 
classify all components that go into the exported product, or institute 
a manual procedure to generate the necessary information. The Census 
Bureau has removed the requirement to report the country of origin 
because of the significant cost and burden the trade community would 
incur as a result of this requirement.
    2. Amend the proposed rule to remove the equipment number as a 
conditional data element. Commentors were concerned that the equipment 
number may not be available at the time of filing and as a result would 
create a burden to the trade community. The Census Bureau agrees with 
the commentors; therefore, this information will remain an optional 
reporting field.
    3. Amend the proposed rule to remove the requirement to report 
household goods regardless of value and destination. Commentors were 
concerned that this requirement would increase burden to the trade by 
requiring filing for shipments that are exempt based on the low value 
exemption or the exemption for non-licensed shipments to Canada. 
Commentors were also concerned that the new definition was too broad. 
The Census Bureau has reviewed this section and determined that the 
previous regulations remain appropriate. Filing will be required for 
household goods that are over $2,500 and are destined for countries 
other than Canada. In addition, the Census Bureau revised the 
definition of household goods to add clarity.
    4. Clarify that the changes to the Foreign Trade Regulations will 
not adversely affect the President's National Export Initiative. 
Commentors were concerned that the proposed postdeparture changes would 
impede the President's National Export Initiative (NEI). The Census 
Bureau supports the President's National Export Initiative and does not 
want to impede the export process. We reviewed all comments and after 
consideration, have excluded several of the proposed requirements to 
reduce the burden placed on the trade community. The Census Bureau's 
goal is to continue collecting accurate and timely statistics as well 
as address the enforcement and security concerns of CBP, the Bureau of 
Industry and Security (BIS), and the U.S. Department of State. The 
Census Bureau has determined that these goals complement the 
President's National Export Initiative.
    5. Clarify that an Automated Export System (AES) filing is required 
for repairs and replacements when valued over $2,500 per Schedule B 
number, or when a license or Department of Defense Trade Controls 
(DDTC) exemption is required. The commentors requested clarification on 
whether an AES filing was required regardless of value for repairs and 
replacements. The requirement for filing an EEI record for repairs and 
replacements has not changed. The Census Bureau added ``If the value of 
parts and labor is over $2,500 per Schedule B, or a license or DDTC 
license exemption statement is required, the EEI must be filed,'' to 
clarify that the filing is only required when the value of repairs and 
replacement parts is over $2,500.
    6. Amend the proposed rule to remove the seal number as a 
conditional data

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element. Commentors stated that it would be extremely difficult to 
obtain the seal number prior to exportation. The Census Bureau 
conferred with trade groups who verified that the seal number may not 
be available at the time of filing. Therefore, this information will 
remain an optional reporting field.
    7. Amend the proposed rule to remove the requirement to report the 
Transportation Reference Number (TRN) for air shipments. Commentors 
were concerned that the TRN would not be available since it is not a 
common practice for air shipments to have an advance booking. The 
Census Bureau conferred with trade groups who verified that the TRN is 
not available at the time of filing; therefore, reporting the TRN will 
remain optional.
    8. Clarify that the reuse of the Shipment Reference Number (SRN) is 
prohibited. Commentors were concerned that the trade currently reuses 
the same SRN for internal purposes and would like the ability to reuse 
the same SRN for AES purposes. The Census Bureau recognizes that the 
trade community may continue to use the same SRN for internal purposes. 
However, an analysis of the AES confirmed that the system is not 
configured to allow the reuse of the SRN, and the SRN cannot be reused.
    9. Amend the proposed rule to remove the requirement to report the 
address of the license applicant. A commentor is concerned that the 
Census Bureau is requiring information that is available in the 
licensing database. The Census Bureau acknowledges that this 
information is collected in the export control licensing system and 
will remove the requirement to report the address of the license 
applicant. Therefore, the Census Bureau will eliminate the license 
applicant in the Final Rule.
    10. Amend a number of definitions in the definition section of the 
proposed rule. Several commentors proposed changes to definitions 
contained in the NPRM. The Census Bureau revised the following 
definitions in Sec.  30.1:
    AES downtime filing citation. The Census Bureau revised this 
definition to clarify that the downtime citation cannot be used when 
the filer's system is down or experiences delays.
    Annotation. The Census Bureau revised this definition by adding the 
word ``commercial'' prior to the words ``loading documents.''
    Automated Export System Trade Interface Requirements (AESTIR). The 
Census Bureau revised this definition by adding the word ``technical'' 
to clarify that the document also includes technical requirements.
    Automated Foreign Trade Zone Reporting Program (AFTZRP). The Census 
Bureau deleted this definition because the program is no longer in 
existence.
    Country of ultimate destination. The Census Bureau revised this 
definition to include reference to Sec.  30.6(a)(5).
    Diplomatic pouch. The Census Bureau added this definition as a 
result of internal agency review.
    Electronic CBP Form 214 Admissions (e214). The Census Bureau added 
this definition to clarify the electronic submission of Foreign Trade 
Zone information replaced the AFTZRP.
    Export value. This term was changed to ``value'' and moved 
alphabetically in Sec.  30.1.
    Filers. The Census Bureau revised this definition to remove the 
word ``system'' after the acronym ``AES.''
    Filer ID. The Census Bureau added this definition as a result of 
internal agency review.
    Foreign exports. The Census Bureau revised this definition to 
clarify that goods can also be admitted to a U.S. Foreign Trade Zone.
    Foreign port of unlading. The Census Bureau added this definition 
as a result of internal agency review.
    Foreign principal party in interest (FPPI). The Census Bureau 
revised this definition to clarify that the FPPI is the party that 
purchases the goods.
    Foreign Trade Zone (FTZ). The Census Bureau revised this definition 
to clarify that goods can also be manufactured in an FTZ.
    Harmonized Tariff Schedule of the United States Annotated (HTSUSA). 
The Census Bureau revised this definition to include the correct title 
and abbreviation and remove references to CBP since it is not the only 
agency that uses the HTSUSA.
    Household goods. The Census Bureau added this definition as a 
result of internal agency review.
    International Waters. The Census Bureau added this definition as a 
result of internal agency review.
    Issued banknotes. The Census Bureau added this definition as a 
result of internal agency review.
    Kimberley Process Certificate (KPC). The Census Bureau added this 
definition to account for this document since it is used to certify the 
origin of rough diamonds from sources which are free of conflict.
    Loading document. This term was changed to ``commercial loading 
document'' and moved accordingly.
    Mass-market software. The Census Bureau added this definition as a 
result of internal agency review.
    Method of Transportation. The Census Bureau revised this definition 
to include shipments via mail as a method of transportation.
    Non-Vessel Operating Common Carrier (NVOCC). The Census Bureau 
added this definition as a result of internal agency review.
    Port of export. The Census Bureau revised this definition to 
clarify what port is required to be reported for transshipments through 
Canada or Mexico.
    Postdeparture filing. The Census Bureau revised this definition to 
clarify that the postdeparture filing time frame is changed from ten 
(10) calendar days to five (5).
    Power of attorney. The Census Bureau revised this definition to 
include a reference to Appendix A.
    Shipment. The Census Bureau revised this definition to clarify that 
except as noted in Sec.  30.2(a)(1)(iv), the EEI shall be filed when 
the value of the goods is over $2,500 per Schedule B number.
    Shipment reference number. The Census Bureau revised this 
definition to clarify that the reuse of the shipment reference number 
is prohibited.
    Shipper's Export Declaration (SED). The Census Bureau revised this 
definition to clarify the date the paper SED became obsolete.
    Shipping documents. The Census Bureau added this definition to 
clarify what is considered a shipping document for purposes of 
retaining required documents for five years and reporting proof of 
filing citations and exemption legends.
    Split shipment. The Census Bureau revised this definition to 
clarify that split shipments apply to all modes of transportation and 
that all parts of a shipment must leave within 24 hours from the same 
port.
    Transshipment. The Census Bureau added this definition as a result 
of internal agency review.
    U.S. Customs and Border Protection. The Census Bureau revised this 
definition to correct errors in grammar.
    Voluntary Self-Disclosure (VSD). The Census Bureau added this 
definition as a result of internal agency review.
    Written Authorization. The Census Bureau revised this definition to 
include reference to Appendix A.
    11. Clarify whether an exemption can be used for goods destined to 
Country Group E:1. Several commentors requested further clarification 
as to whether an exemption can be used for these types of shipments. 
Certain shipments destined to Country Group E:1 are exempt from AES 
filing per 15 CFR 740 of the Export Administration Regulations (EAR). 
The Census Bureau has revised Sec.  30.2(a)(1)(iv) to add a note 
clarifying that the filing requirement for

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certain shipments destined to Country Group E:1 are located in Sec.  
30.16.
    12. Amend the proposed rule to eliminate the requirement to report 
the exclusion legend. Several commentors were concerned that if the 
exclusion legend is not required to be noted on the bill of lading or 
other commercial loading documents, carriers would not be able to 
recognize if the shipment was annotated properly. They were concerned 
that this new requirement could potentially lead to violations of the 
Foreign Trade Regulations (FTR) which would ultimately result in 
penalties for all parties involved. Commentors recommend that the 
exclusion legend remain a requirement. The Census Bureau and CBP have 
reviewed this requirement and agree with the commenters that this 
requirement should not be changed, therefore the previous regulations 
remain appropriate.
    13. Amend the proposed rule to revise the definition of a split 
shipment to clarify that split shipments apply to all modes of 
transportation and that all parts of a shipment must leave within 24 
hours from the same port of export. Several commentors were concerned 
that the changes to the split shipment requirement would increase the 
burden on the trade because multiple shipments would have to be filed 
after the initial shipment is exported. The Census Bureau revised the 
split shipment definition to remove the burden of having to file for 
multiple shipments that have been split by the carrier and are 
departing from the same port within 24 hours of each other. The new 
definition will reflect that after the first part of the shipment has 
been exported; all the succeeding parts must be exported within 24 
hours. The commentors were also concerned that the carriers would be 
burdened with notifying USPPIs and filers of the changes to the 
shipment information. The Census Bureau reviewed this part and found 
that the requirement to notify the USPPI or filer of changes to the 
transportation information has not changed from the previous 
regulations and remains appropriate.
    14. Amend the proposed rule to include a mandatory filing 
requirement for ultimate consignee type. Several commentors were 
concerned with reporting the ultimate consignee type because the 
ultimate consignee may be a party other than a Reseller, Government 
Reseller, or Government Consumer. Also, the commentors were concerned 
that the ultimate consignee type may be unknown at the time of export. 
The Census Bureau acknowledges that the ultimate consignee type may be 
unknown or other. Therefore, the Census Bureau modified the requirement 
to include Other/Unknown as reporting options for the ultimate 
consignee type. This is a new mandatory filing requirement and has been 
added as Sec.  30.6(a)(24).
    15. Clarify the carrier responsibilities in an export transaction. 
Several commentors requested clarification on how carriers are to 
determine changes to commodity information as well as identify the 
party who filed in order to provide them with changes. The Census 
Bureau understands that the carrier may not know the commodity 
information. The Census Bureau has reviewed this section and has 
revised Sec.  30.3(c)(3)(iv) to indicate the carrier is only 
responsible for providing and notifying the USPPI or Authorized Agent 
of changes to the transportation data.
    16. Clarify how the carrier is to amend the manifest when the 
manifest is not required to be filed until four days after the date of 
export. Commentors were concerned that when identifying a portion of 
the goods covered by a single EEI transaction that has not been 
exported on the intended conveyance that they could not immediately 
notify the CBP Director and amend the manifest because the carrier 
files the manifest four days after the export departure date. The 
Census Bureau has reviewed this section and has revised Sec.  
30.3(c)(3)(iv) to indicate that manifest amendments must be made in 
accordance with CBP regulations.
    17. Clarify that licensed goods where the country of ultimate 
destination is the United States are outside the scope of the FTR. 
Commentors requested clarification on how a carrier would be able to 
identify that the person(s) or entity assuming control of the item(s) 
is a citizen or permanent resident alien of the United States or a 
juridical entity organized under the laws of the United States or a 
jurisdiction within the United States. The Census Bureau has reviewed 
these comments and has determined that there are no significant 
procedural requirements for carriers regarding their responsibility for 
ensuring that export documentation has the required citations. As noted 
above, shipments where the country of ultimate destination is the 
United States are outside the scope of the FTR.
    18. Amend the proposed rule to remove the requirement to report the 
end user. Several commentors were concerned that they would have to 
incur costly programming changes in order to capture the end user 
information. In addition, commentors were concerned that the 
information is not always available. The Census Bureau acknowledges 
that this information is collected in the export control licensing 
system; therefore, the Census Bureau eliminated the requirement to 
report the end user in the Final Rule.
    19. Clarify the commodity based requirement for postdeparture 
reporting. Several Commenters were concerned about the limited 
commodities available for postdeparture reporting. The commentors 
requested additions to the commodities available for the postdeparture 
privilege. The Census Bureau has reviewed these comments and has agreed 
with the CBP to revise Sec.  30.5. The proposed commodity based 
postdeparture program is not going to be implemented. However, the 
Census Bureau and CBP have agreed to continue the moratorium on 
accepting new applications for postdeparture filing, pending the 
development of a program to collect advanced export information that 
will continue to facilitate trade and address national security 
concerns. Based on the results, the Census Bureau and CBP will issue 
new guidelines on the application process for postdeparture filing.
    20. Clarify the requirement to report postdeparture shipments no 
later than five (5) calendar days from the date of export. Several 
commentors were concerned the filing requirement to report the export 
information in the AES no later than five (5) calendar days from the 
date of export did not give filers enough time to file the EEI. The 
Census Bureau reviewed the AES data and found that only a small 
percentage of approved postdeparture USPPIs reported their EEI after 
five (5) calendar days. The Census Bureau and the CBP have reviewed 
this section of the NPRM and determined that the requirement to file 
the EEI for postdeparture shipments within five (5) days from the date 
of export remains appropriate.
    21. Clarify that the moratorium on postdeparture applications will 
be lifted. Several commentors wanted clarification on the existing 
moratorium on the postdeparture filing program. The Census Bureau and 
CBP have agreed to continue the moratorium on accepting new 
applications for postdeparture filing, pending the development of a 
program to collect advanced export information that will continue to 
facilitate trade and address national security concerns.
    22. Clarify in the proposed rule that the filing timeframe for 
submitting manifests to CBP is within four calendar days of departure. 
Commentors requested clarification on the filing timeframe for filing 
citations, exemptions, and submitting manifests to the CBP. The Census 
Bureau reviewed

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the request and Sec.  30.47 was revised to clarify that all required 
filing citations and/or exemption legends must be submitted by the 
carrier at the port of exit in accordance with all applicable 
requirements under the CBP regulations.
    23. Clarify the filing requirement for used self-propelled 
vehicles. Several commentors requested clarification on the requirement 
to file EEI for used self-propelled vehicles regardless of value and 
destination. The Census Bureau has reviewed the NPRM regarding this 
requirement and determined that there will be no exemptions to this 
requirement. Several commentors were also concerned about the use of 
the Manufacturer's Statement of Origin Certificates (MSOs) and being 
able to use this documentation in order to be exempt from filing 
requirements. The Census Bureau acknowledges this concern and forwarded 
this comment to the CBP for consideration.

Changes to the Proposed Rule Made by This Final Rule

    After consideration of the comments received, the Census Bureau 
revised certain provisions and added several provisions in the Final 
Rule to address the concerns of the commentors and to clarify the 
requirements of the rule. The changes made in this Final Rule are as 
follows:
     Section 30.1(c) is amended by adding the definition of 
``Kimberley Process Certificate (KPC)'' to clarify the use of the term 
in the FTR.
     Section 30.2(a)(1)(iv) is amended by deleting the revised 
end user definition as a result of the elimination of the end user 
requirement; therefore, the current FTR definition remains appropriate.
     Section 30.2(a)(1)(iv) is amended by adding paragraph (E) 
for shipments licensed by the Nuclear Regulatory Commission (NRC). This 
change was made to provide clarity that shipments licensed by NRC must 
be filed via the AES.
     Section 30.2(a)(1)(iv) is amended by adding a clarifying 
note to (a)(1)(iv) for filing requirements for shipments destined for a 
country in Country Group E:1 as set forth in the Supplement No. 1 to 15 
CFR part 740. This change was made to provide clarity and ensure 
consistency with the EAR.
     Section 30.4(a)(8) is amended to clarify that all 
shipments that require a license from the BIS and exports listed under 
BIS's grounds for denial of postdeparture filing status set forth in 15 
CFR Sec.  758.2 must be filed predeparture. This change was made to 
provide clarity.
     Section 30.4(a) is amended by adding the requirement that 
shipments licensed by the NRC must be filed predeparture. This change 
was made to provide clarity and consistency.
     Section 30.4(c) is amended by modifying the filing 
timeframe for postdeparture shipments from ten calendar days to five 
calendar days from the date of export. This change is in response to 
concerns addressed in item 20 in the ``Response to Comments'' section.
     Section 30.5 is amended by modifying the existing 
postdeparture filing program. However, the moratorium on accepting new 
applications will remain in effect pending the development of a new 
postdeparture program.
     Section 30.5 is amended by removing the requirement that 
postdeparture reporting will only be permitted for commodities on the 
approved list for postdeparture filing. This change is in response to 
concerns addressed in item 19 in the ``Response to Comments'' section.
     Section 30.5(c)(3) is amended by adding a section to 
clarify that the Census Bureau may revoke postdeparture privileges of 
an approved USPPI if it exports commodities that must be filed 
predeparture. This change was made during internal agency review.
     Section 30.6(a) is amended by adding a new filing 
requirement for ultimate consignee type. The ultimate consignee types 
are: Direct consumer, Government Entity, Other and Unknown. This change 
is in response to concerns addressed in item 14 in the ``Response to 
Comments'' section.
     Section 30.6(b)(1) is amended to clarify that an 
authorized agent should be listed in the AES when they prepare and file 
the EEI or are named on the export license. This change was made during 
internal agency review.
     Section 30.6(b)(3) is amended by adding the words ``7-
digit alphanumeric identifier.'' This change was made during internal 
agency review.
     Sections 30.7(c) and 30.50(b) are amended to reflect that 
the Kimberley Process Certificate must be faxed to the Census Bureau 
prior to export. This change was made during internal agency review.
     Section 30.9(b) is amended to clarify that failure to 
respond to fatal error messages for shipments filed will subject the 
USPPI or authorized agent to penalties. This change was made to provide 
clarity.
     Section 30.16 is amended by adding paragraph (c) to 
include the requirement to place certain export information on export 
control documents for shipments that are exempt from filing in the AES. 
This change was made during internal agency review.
     Section 30.16 is amended by adding paragraph (d) to 
include the filing requirements for shipments destined for a country 
listed in Country Group E:1 as set forth in Supplement No. 1 to 15 CFR 
part 740. This language is also referenced in the note to Sec.  30.2 
(a)(1)(iv). For shipments destined for a country listed in Country 
Group E:1 the EEI is required regardless of value unless such shipment 
is eligible for one or more of the exemptions in Sec.  30.37(y) and 
does not require a license by any other Federal Government Agency. This 
change was made during internal agency review.
     Section 30.16 is amended by adding paragraph (e) for goods 
licensed by the BIS where the country of ultimate destination is the 
United States. This change was made during internal agency review.
     Section 30.26 is amended to clarify filing requirements 
for shipments of vessels, aircraft, cargo vans, and other carriers and 
containers. This change was made to provide clarity and consistency.
     Section 30.28 is amended to clarify that split shipments 
now include all modes of transportation and that all parts of a 
shipment must leave within 24 hours from the same port. This change is 
in response to concerns addressed in item 13 in the ``Response to 
Comments'' section.
     Section 30.29 is amended to clarify the value to be 
reported for United States Munitions List (USML) and non-USML shipments 
of goods previously imported for repair, alteration, or replaced under 
warranty.
     Section 30.37 is amended by removing and reserving 
paragraphs (e), (q) and (r). This change was made to eliminate costly 
programming changes.
     Section 30.37 is amended by revising paragraphs (h) to 
clarify the specific section of the EAR that provides requirements for 
a license exception for gift parcels and humanitarian donations (GFT). 
This change was made during internal agency review.
     Section 30.37 is amended by adding paragraphs (u), (v), 
(w), (x) and (y) to clarify that exports of technical data and defense 
service items; vessels, aircraft, cargo vans, and other carriers and 
containers when shipping as instruments of international traffic; 
shipments via Army Post Office, Diplomatic Post Office and Fleet Post 
Office shipments, shipments exported under a license exception for 
baggage (BAG); and certain shipments destined to Country Group E:1 that 
have been identified by the BIS are exempt from the EEI filing 
requirements. This change

[[Page 16370]]

was made during internal agency review.
     Sections 30.47(a), (a)(1) and (a)(2) are amended to 
clarify that the carrier must file the manifest and all required filing 
citations and/or exemption legends in accordance with the CBP 
regulations. This change is in response to concerns addressed in item 
22 in the ``Response to Comments'' section.

Program Requirements

    To comply with the requirements of the Foreign Relations 
Authorization Act, Public Law 107-228, the Census Bureau is amending 
relevant sections of the FTR to correct or clarify export reporting 
requirements.
    The Census Bureau amended the following sections of the FTR:
     Revise the table of contents entry for Sec.  30.28 by 
removing the quotations and the words ``by air'' because split 
shipments applies to all modes of transportation.
     Revise Sec.  30.1(c) to add the terms and definitions for 
``Commercial loading document,'' ``Diplomatic pouch,'' ``Electronic CBP 
Form 214 Admissions (e214),'' ``Filer ID,'' ``Foreign port of 
unlading,'' ``Household goods,'' ``International waters,'' ``Issued 
banknote,'' ``Mass-market software,'' ``Non Vessel Operating Common 
Carrier (NVOCC),'' ``Shipping documents,'' ``Transshipment,'' 
``Value,'' and ``Voluntary Self-Disclosure'' to clarify the use of 
these terms in the FTR.
     In Sec.  30.1(c), revise the definition for ``AES downtime 
filing citation'' to clarify that the downtime citation cannot be used 
when the filer's system is down or experiences delays.
     In Sec.  30.1(c), revise the definition for ``Annotation'' 
by adding the word ``commercial'' prior to the words ``loading 
documents.'' This revision is necessary to note that the FTR only 
references commercial loading documents; therefore, the word 
``commercial'' is added before all references to the words ``loading 
documents.''
     In Sec.  30.1(c), revise the definition for ``Automated 
Export System Trade Interface Requirements (AESTIR)'' to clarify that 
the document also includes technical requirements.
     In Sec.  30.1(c), remove the definition for ``Automated 
Foreign Trade Zone Reporting Program (AFTZRP)'' because the program is 
no longer in existence. The definition for ``Electronic CBP Form 214 
Admissions (e214)'' is added to replace the AFTZRP.
     In Sec.  30.1(c), add the term and definition ``Commercial 
loading document'' because the FTR only references commercial loading 
documents. Therefore, the term and definition for ``Loading document'' 
is removed from this section.
     In Sec.  30.1(c), revise the definition for ``Country of 
ultimate destination'' to reference Sec.  30.6(a)(5).
     In Sec.  30.1(c), remove the term and definition ``Export 
value'' because this term is not used in the FTR and cite the term and 
definition ``Value''.
     In Sec.  30.1(c), revise the definition for ``Filers'' to 
remove the word ``system'' after the acronym ``AES.''
     In Sec.  30.1(c), add the definition for ``Filer ID'' to 
clarify how the FTR uses the term.
     In Sec.  30.1(c), revise the definition for ``Foreign 
exports'' to clarify that goods are admitted, rather than entered, to a 
U.S. FTZ.
     In Sec.  30.1(c), revise the definition for ``Foreign 
principal party in interest (FPPI)'' to clarify that the FPPI is the 
party that purchases the goods for export or to whom final delivery 
will be made or is end-user of the goods.
     In Sec.  30.1(c), revise the definition for ``Foreign 
Trade Zone (FTZ)'' to clarify that goods can also be manufactured in a 
FTZ.
     In Sec.  30.1(c), amend the proposed rule to include the 
definition of ``Kimberley Process Certificate (KPC)'' for clarity.
     In Sec.  30.1(c), revise the term and definition for 
``Harmonized Tariff Schedule of the United States Annotated (HTSUSA)'' 
to include the correct title and abbreviation and remove references to 
CBP since it is not the only agency that uses the HTSUSA.
     In Sec.  30.1(c), revise the definition for ``Method of 
Transportation'' to include mail as a method of transportation.
     In Sec.  30.1(c), revise the definition for ``Port of 
export'' to clarify the port for transshipments through Canada or 
Mexico.
     In Sec.  30.1(c), revise the definition for 
``Postdeparture filing'' to clarify that the postdeparture filing time 
frame is changed from ten (10) calendar days to five (5) calendar days 
for export control and enforcement purposes.
     In Sec.  30.1(c), revise the definition for ``Power of 
attorney'' to include a reference to Appendix A.
     In Sec.  30.1(c), revise the definition for ``Shipment'' 
to clarify that the EEI shall be filed when the value of the goods is 
over $2,500 per Schedule B number, except as noted in Sec.  
30.2(a)(1)(iv).
     In Sec.  30.1(c), revise the definition for ``Shipment 
reference number'' to clarify that the reuse of the shipment reference 
number is prohibited.
     In Sec.  30.1(c), revise the definition for ``Shipper's 
Export Declaration (SED)'' to clarify the date the paper SED became 
obsolete.
     In Sec.  30.1(c), revise the definition for ``Split 
shipment'' to clarify that split shipments apply to all modes of 
transportation and that the goods must leave from the same port within 
24 hours.
     In Sec.  30.1(c), revise the definition for ``U.S. Customs 
and Border Protection'' to correct errors in grammar.
     In Sec.  30.1(c), revise the definition for ``Written 
Authorization'' to include reference to Appendix A.
     In Sec.  30.2(a)(1)(iv), redesignate paragraph (E) as a 
note in this section and add new paragraph (E) to include the filing 
requirements for shipments licensed by the NRC.
     In Sec.  30.2(a)(1)(iv), add paragraph (H) to include the 
new filing requirements for reporting used self-propelled vehicles. 
These shipments will be required to be filed in accordance with CBP 
regulations.
     In Sec.  30.2(a)(1)(iv), add a note to reference Sec.  
30.16 for filing requirements for shipments destined for a country in 
Country Group E:1 as set forth in the Supplement No. 1 to 15 CFR part 
740.
     Revise Sec.  30.2(a)(2), to reflect the correct Web site 
for the AESTIR document.
     Revise Sec.  30.2(b)(3) to reflect that the AES downtime 
procedures cannot be used when the computer system of an AES 
participant is unavailable for transmission.
     Revise Sec.  30.2(d)(2) to clarify that Puerto Rico and 
the U.S. Virgin Islands are not excluded from filing the EEI.
     Revise the parenthetical phrase in Sec.  30.2(d)(4), by 
removing the word ``by'' and adding in its place the word ``to.''
     In Sec.  30.2(d), add a new paragraph (5) to include the 
new exclusion for goods licensed by a U.S. federal government agency 
where the country of ultimate destination is the United States or goods 
destined to international waters where the person(s) or entity assuming 
control of the item(s) is a citizen or permanent resident alien of the 
United States or a juridical entity organized under the laws of the 
United States or a jurisdiction within the United States.
     Revise Sec.  30.3(b)(2) to clarify that a foreign entity 
must be in the United States at the time goods are purchased or 
obtained for export in order to be listed as a USPPI.
     Revise Sec.  30.3(b)(2)(iii) by removing the word 
``foreign entity'' and adding in its place the word ``FPPI.'' This 
revision was done to differentiate between the use of the term foreign 
entity versus FPPI.
     In Sec.  30.3(b), add paragraph (4) to include carriers as 
a party to the export transaction.

[[Page 16371]]

     Revise Sec.  30.3(c)(2)(ii) to clarify that the power of 
attorney or written authorization comes from the USPPI in a standard 
transaction.
     In Sec.  30.3(c), add paragraph (3) to clarify carrier 
responsibilities as they pertain to the FTR.
     Revise Sec.  30.4(a)(6) to clarify that shipments where 
complete outbound manifests are required prior to clearing vessels 
going directly to the countries identified in CBP regulations 19 CFR 
4.75(c) and aircraft going directly or indirectly to those countries 
per CBP regulations 19 CFR 122.74(b)(2) must be filed predeparture.
     Revise Sec.  30.4(a)(8) to clarify that all shipments that 
require a license from the BIS or include commodities identified on the 
Commerce Control List that are not EAR99 must be filed predeparture.
     In Sec.  30.4(a), redesignate paragraphs (9) and (10) as 
(10) and (11) and add new paragraph (9) to include the requirement that 
shipments licensed by the NRC must be filed predeparture.
     Revise Sec.  30.4(b)(1) to provide the correct citation in 
the International Traffic in Arms Regulations for filing timeframes for 
United States Munitions List (USML) shipments.
     Revise Sec.  30.4(b)(2) to clarify that the filing 
timeframes do not apply to non-USML shipments between United States and 
Puerto Rico and do not have to adhere to the filing timeframes.
     In Sec.  30.4(b), redesignate paragraph (3) as paragraph 
(4) and add new paragraph (3) to clarify that the filing timeframes for 
shipments between the United States and Puerto Rico do not apply. The 
USPPI must file the export information for shipments between the United 
States and Puerto Rico and have the proof of filing citation, 
postdeparture filing citation, or exemption citation by the time the 
shipment arrives at the port of unloading.
     Revise Sec.  30.4(b) to add paragraph (5) to include the 
filing timeframe requirements for used self-propelled vehicles as 
defined in 19 CFR 192.2 of CBP regulations.
     Revise Sec.  30.4(c) and Sec.  30.5(c) to clarify that the 
postdeparture filing time frame has changed from ten (10) calendar days 
to five (5) calendar days.
     Revise Sec.  30.5 to clarify that, when a new 
postdeparture program is established and the moratorium is lifted, the 
certification and approval requirements will be strengthened to address 
U.S. national security concerns and interest. All current USPPI's 
previously approved for postdeparture filing must reapply.
     In Sec.  30.5(c)(1), add paragraph (ix) to include that 
the USPPI will be denied postdeparture filing status if unable to meet 
the AES predeparture filing requirements.
     In Sec.  30.5(c)(3), add paragraph (G) to clarify that the 
Census Bureau may revoke postdeparture privileges of an approved USPPI 
if it exports commodities that must be filed predeparture. See section 
30.4(a) for types of shipments that must be filed predeparture.
     In Sec.  30.5(d)(1) and (d)(2), remove the administrator 
code option for accessing account features in the AESDirect.
     Revise Sec.  30.5(d)(2) to clarify that companies must 
immediately deactivate the username, in the AESDirect, of any employee 
who leaves the company or is no longer an authorized user.
     Revise Sec.  30.6(a)(1)(ii) to clarify that the USPPI does 
not need to own/lease the facility where the goods actually begin the 
journey to the port of export.
     Revise Sec.  30.6(a)(3) to reflect the new definition of 
``Ultimate Consignee'' and to clarify that for licensed shipments to 
international waters, the person designated on the export license must 
be reported as the ultimate consignee.
     Revise Sec.  30.6(a)(5) to clarify that the country of 
ultimate destination can be the country where the goods are stored.
     Revise Sec.  30.6(a)(5)(i) to clarify that the country of 
ultimate destination for BIS license exceptions and non-licensed 
shipments to international waters is the nationality of the person(s) 
or entity assuming control of the item(s) subject to the EAR .
     Revise Sec.  30.6(a)(8) to clarify the carrier 
identification code that must be reported in the AES for vessel 
shipments.
     In Sec.  30.6(a)(9), revise text to specify that the port 
of export for shipments by overland transportation is where the goods 
cross the U.S. border into Canada or Mexico, including transshipments 
through Canada or Mexico. In addition, language was added to address 
shipments by vessel and air involving several ports of exportation.
     In Sec.  30.6(a)(9), remove paragraphs (i) and (ii) 
because the content is included in the text of Sec.  30.6(a)(9).
     In Sec.  30.6(a)(17), revise the introductory text to 
clarify that the value reported in the AES must be in U.S. dollars.
     Revise Sec.  30.6(a)(19) to clarify that the reuse of the 
shipment reference number is prohibited.
     Revise Sec.  30.6(a)(23) by adding a comma and the word 
``authorization'' after the word ``permit.'' This revision is to 
clarify that authorizations, such as validated end-users, are to be 
reported in the license code/license exemption code field.
     In Sec.  30.6(a) add paragraphs (24), and (24)(i) through 
(24)(iv) to include a new mandatory filing requirement for ultimate 
consignee type. The ultimate consignee types are: Direct Consumer, 
Government Entity, Reseller, and Other/Unknown. If more than one type 
applies to the ultimate consignee, report the type that applies most 
often.
     In Sec.  30.6(b), redesignate paragraphs (15) and (16) as 
paragraphs (16) and (17) and add new paragraph (15) to include the new 
conditional filing requirement for reporting the license value.
     In Sec.  30.6(b)(1), clarify that an authorized agent 
shall be reported in the AES when the agent prepares and files the EEI 
or is named on the export license. Therefore, the language from 
(b)(1)(ii) is removed because it is captured in 30.6(b)(1).
     Revise Sec.  30.6(b)(3) to add the words ``seven-digit 
alpha numeric identifier.''
     Revise Sec.  30.6(c)(2) to allow the USPPI to report the 
container number for containerized vessel shipments in the equipment 
number field.
     Revise Sec.  30.7(c) to specify that the Kimberley Process 
Certificate must be faxed to the Census Bureau prior to export.
     In Sec.  30.8, remove the citation ``Sec.  30.4(e)'' and 
add in its place ``Sec.  30.7'', which references the requirement to 
annotate the commercial loading documents with the proof of filing 
citation and exemption legend, because the incorrect citation was 
provided. Section 30.7 provides requirements for annotating the bill of 
lading, air waybill, or other commercial loading documents with the 
proof of filing citations, and exemption legends.
     In Sec.  30.8(a), remove the citation ``Sec.  30.2'' and 
add in its place ``Sec.  30.4(b)'' because the incorrect citation is 
provided in the current FTR.
     In Sec.  30.8(b), add language to reference Sec.  30.46 
which states the requirements for filing export information by pipeline 
carriers.
     Revise Sec.  30.9(b) to clarify that failure to respond to 
fatal error messages for shipments filed subject the USPPI or 
authorized agent to penalties. In addition, change the postdeparture 
filing time frame from ten (10) calendar days to five (5) calendar 
days, and replace the word ``regulation'' with ``the FTR'' in the 
second to last sentence.
     In Sec.  30.16, revise the introductory text to spell out 
the acronym ``EAR'' and remove the word ``also.''
     In Sec.  30.16, revise paragraph (b) to include reference 
to 15 CFR 758.1(g).

[[Page 16372]]

     In Sec.  30.16, add paragraph (c) to include the 
requirement for placing certain information on export control documents 
for shipments that are exempt from filing in the AES.
     In Sec.  30.16, add paragraph (d) for Country Group E:1 
filing requirements. A shipment destined for a country listed in 
Country Group E:1 as set forth in Supplement No. 1 to 15 CFR part 740 
shall require EEI filings regardless of value unless such shipment is 
eligible for one of more of the exemptions in Sec.  30.37(y) and does 
not require a license by any other Federal Government Agency.
     In Sec.  30.16, add paragraph (e) for goods licensed by 
BIS where the country of ultimate destination is the United States.
     Revise Sec.  30.18(a) to spell out the acronym ``ITAR'' 
and to clarify that shipments licensed by the State Department that are 
ultimately destined to a location in the United States are not required 
to be filed in the AES.
     In Sec.  30.25, add paragraph (c) to include the new 
filing requirements for goods rejected after entry into the United 
States. Those goods must be filed in the AES and the value to be 
reported is the declared import value.
     Redesignate Sec.  30.26(a) as new paragraph Sec.  30.37(v) 
to include the exemption for reporting vessels, aircraft, cargo vans, 
and other carriers and containers when shipping as instruments of 
international traffic.
     Redesignate and revise Sec.  30.26(b) as Sec.  30.26.
     In Sec.  30.28, revise the title to remove the quotation 
marks and the words ``by air.'' This section clarifies that split 
shipments now include all modes of transportation and that all parts of 
a shipment's goods must leave within 24 hours from the same port 
without requiring a new EEI filing or a revision to the originally 
filed EEI.
     In Sec.  30.28, revise the introductory text to remove the 
words ``by air,'' and the word ``aircraft'' and adding in place of the 
latter the word ``conveyance,'' and to clarify that all parts of a 
split shipment must leave from the same port within 24 hours.
     In Sec.  30.28(a) and (b), remove all references to the 
word ``flight'' and add in its place ``conveyance.'' This revision is 
to clarify that split shipments apply to all modes of transportation.
     Revise Sec.  30.29 to clarify the value to be reported for 
USML and non-USML shipments of goods previously imported for repair, 
alteration, or replaced under warranty.
     Revise Sec.  30.35 to clarify that exemptions from filing 
in the AES do not apply when a shipment falls under Sec.  
30.2(a)(1)(iv), which references the types of export shipments that 
must be filed, regardless of value.
     In Sec.  30.36(b), add paragraph (7) to include the 
requirement for reporting all used self-propelled vehicles.
     In Sec.  30.36(b), revise the introductory text to clarify 
that shipments destined to Canada must be filed in the same manner as 
all other exports when they fall under Sec. Sec.  30.36(b)(1) through 
(7) and remove this language from paragraph (b)(2).
     Revise Sec.  30.37 introductory text to clarify that 
exemptions from filing EEI do not apply if the shipment falls under 
Sec.  30.2(a)(1)(iv), which references the types of export shipments 
that must be filed, regardless of value.
     In Sec.  30.37, remove and reserve paragraph (e). This 
revision removes goods that are transported In-bond through the United 
States from the list of exemptions. These shipments are outside the 
scope of the FTR and are excluded from filing requirements. This 
exclusion is located in Sec.  30.2(d)(1).
     In Sec.  30.37, remove and reserve paragraphs (q) and (r). 
This revision removes the exemption for temporary exports or for goods 
that were temporarily imported. Temporary shipments of goods valued 
over $2,500 per Schedule B or that require a license must be filed in 
the AES. When reporting temporary exports, report the appropriate 
export information code for temporary goods, such as ``TE and TP''.
     Revise Sec.  30.37(a) by removing the words ``Except as 
noted in Sec.  30.2 (a)(1)(iv)'' and clarify that goods that are of 
domestic and foreign origins with the same Schedule B number must be 
reported separately. In addition the reference to Sec.  30.38 for the 
reporting of household goods was added.
     Revise Sec.  30.37(g) to clarify the types of articles 
that are exempt when shipping to foreign libraries, government 
establishments, and other similar institutions.
     Revise Sec.  30.37(h) to clarify the specific section of 
the EAR for license exception GFT.
     Revise Sec.  30.37 by adding paragraphs (u), (v), (w), (x) 
and (y) to clarify that exports of technical data and defense service 
exemptions; vessels, aircraft, cargo vans, and other carriers and 
containers when shipping as tools of international trade; Army Post 
Office, Diplomatic Post Office and Fleet Post Office shipments; 
shipments exported under license exception Baggage (BAG) and certain 
shipments destined to Country Group E:1, are exempt from the EEI filing 
requirements.
     Revise Sec.  30.38 to reflect the revised definition of 
household goods.
     In Sec.  30.39 and Sec.  30.40, revise the introductory 
text to clarify that the exemptions for the U.S. Armed Services and 
U.S. government agencies and employees do not apply if the shipment 
falls under Sec.  30.2(a)(1)(iv), which identifies the types of export 
shipments that must be filed, regardless of value.
     In Sec.  30.40, remove paragraph (d) because Sec.  
30.37(g) now incorporates the exemption described in this paragraph.
     In Sec.  30.45(a), revise the introductory text by 
removing the word ``shall'' from the first sentence and adding in its 
place the word ``may.''
     In Sec.  30.45(a)(2), remove the word ``unladed'' and 
adding in its place ``unladen.'' This section is also revised to 
require the manifest to be filed with the CBP Port Director at the port 
of exit rather than the port where the goods are laden, except for 
shipments from the United States to Puerto Rico.
     In Sec.  30.45(c), revise the title to remove the 
quotation marks and the words ``by air'' since this requirement now 
pertains to all modes of transportation. This section is also revised 
to clarify that a split shipment must be divided by the carrier.
     In Sec.  30.45(d), remove the words ``bill of lading'' in 
the last sentence and add in its place the words ``commercial loading 
document.''
     Revise Sec.  30.45(f)(1) by adding the words ``Except as 
noted in Sec.  30.4 (b)(2)'' to clarify that proof of filing citations 
and exemption legends are required for shipments between the United 
States and Puerto Rico when the carrier reaches the port of unlading.
     In Sec.  30.45(f), remove paragraphs (3) and (4) because 
requirements for truck and rail shipments will be added to Sec. Sec.  
30.45(f)(1) and (2).
     In Sec.  30.47, revise paragraphs (a), (a)(1) and (a)(2) 
to clarify that the carrier must file the manifest and all required 
filing citations and/or exemption legends in accordance with the CBP 
regulations.
     Revise Sec.  30.47(a)(3) to clarify that a list of filing 
citations and/or exemption legends must be presented for carriers under 
bond on an incomplete manifest upon request by CBP.
     In Sec.  30.50(b)(5), remove the words ``Automated Foreign 
Trade Zone Reporting Program (AFTZRP)'' and add in their place 
``Electronic CBP Form 214 Admissions (e214)'' since the AFTZRP was 
eliminated March 1, 2009.
     Revise Sec.  30.52 to clarify the statistical filing 
requirements for Foreign Trade Zone shipments via the e214 or paper 
214A.
     In Sec.  30.54(b), remove the word ``region'' in the last 
sentence and add in its place the word ``country.'' This is to

[[Page 16373]]

clarify that the region of origin code replaces the country of origin 
code on the CBP Form 7501.
     In Sec.  30.71(b), revise paragraph (1), redesignate 
paragraphs (2) and (3) as paragraphs (3) and (4) and add a new 
paragraph (2). This revision is to clarify that the civil penalties 
imposed for late filings and failures to file are different. For late 
filings, the penalty will not exceed $1,100 per day of delinquency, and 
no more than $10,000 per violation; whereas, failure to file, the 
penalty will not exceed $10,000 per violation.
     In Sec.  30.74(c)(3), add paragraphs (vi) and (vii) to 
clarify that, when submitting a voluntary self-disclosure, the person 
must indicate the corrective measures taken to avoid the violation in 
the future and the ITNs of the missed and/or corrected shipments.
     Revise Sec.  30.74(c)(5) to include the U.S. Census 
Bureau's Foreign Trade Division Web site regarding further instructions 
for submitting Voluntary self-disclosure (VSD) to the Census Bureau.
     Revise Appendices B through F to reflect all proposed 
changes to the FTR discussed in this part.

Classification

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 during the proposed rule stage that this action would 
not have a significant economic impact on a substantial number of small 
entities. The factual basis for this determination was published in the 
proposed rule and is not repeated here. No comments were received 
regarding the certification. As a result, a regulatory flexibility 
analysis was not required and none was prepared.

Executive Orders

    This rule has been determined to be not significant for purposes of 
Executive Order 12866. It has been determined that this rule does not 
contain policies with federalism implications as that term is defined 
under Executive Order 13132.

Paperwork Reduction Act

    Notwithstanding any other provision of law, no person is required 
to respond to, nor shall a person be subject to a penalty for failure 
to comply with, a collection of information subject to the requirements 
of the Paperwork Reduction Act (PRA), unless that collection of 
information displays a current, valid 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 a 
30-day notice has been submitted to the OMB under control number 0607-
0152 for approval to continue to collect export information via the AES 
and to collect two additional data elements, ultimate consignee type 
and license value. The estimated burden hours for filing the SED 
information through the AES and related documents (e.g., the AES 
Participant Application (APA) and AESDirect) are 791,600.

List of Subjects in 15 CFR Part 30

    Economic statistics, exports, foreign trade, reporting and 
recordkeeping requirements.

    For the reasons set out in the preamble, the Census Bureau is 
amending Title 15, CFR part 30, as follows:

PART 30--FOREIGN TRADE REGULATIONS

Subpart A-- General Requirements

0
1-2. The authority citation for part 30 continues to read as follows:

    Authority:  5 U.S.C. 301; 13 U.S.C. 301-307; Reorganization Plan 
5 of 1990 (3 CFR 1949-1953 Comp., p.1004); Department of Commerce 
Organization Order No. 35-2A, July 22, 1987, as amended, and No. 35-
2B, December 20, 1996, as amended; and Public Law 107-228, 116 
Stat.1350.


0
3. Amend Sec.  30.1(c) by:
0
a. Revising the terms and definitions for ``AES downtime filing 
citation,'' ``Annotation,'' ``Automated Export System Trade Interface 
Requirements (AESTIR),'' ``Country of ultimate destination,'' 
``Filers,'' ``Foreign Export,'' ``Foreign principal party in interest 
(FPPI),'' ``Foreign Trade Zone,'' ``Harmonized Tariff Schedule of the 
United States Annotated (HTSUSA),'' ``Method of transportation,'' 
``Port of export,'' ``Postdeparture filing,'' ``Power of attorney,'' 
``Shipment,'' ``Shipment reference number,'' ``Shipper's Export 
Declaration (SED),'' ``Split shipment,'' ``U.S. Customs and Border 
Protection (CBP),'' and ``Written Authorization;'' and removing the 
definition for ``Automated Foreign Trade Zone Reporting Program 
(AFTZRP),'' ``Loading Document,'' ``Export Value''; and
0
b. Adding alphabetically the definitions for ``Commercial loading 
document,'' ``Diplomatic pouch,'' ``Electronic CBP Form 214 Admissions 
(e214),'' ``Filer ID,'' ``Foreign port of unlading,'' ``Household 
goods,'' ``International waters,'' ``Issued banknote,'' ``Mass-market 
software,'' ``Non Vessel Operating Common Carrier (NVOCC),'' ``Shipping 
documents,'' ``Transshipment,'' ``Value,'' and ``Voluntary Self-
Disclosure (VSD)''.
    The revisions and additions read as follows:


Sec.  30.1  Purpose and definitions.

* * * * *
    (c) * * *
    AES downtime filing citation. A statement used in place of a proof 
of filing citation when the AES or AES Direct computer systems 
experience a major failure. The citation must appear on the bill of 
lading, air waybill, export shipping instructions, or other commercial 
loading documents. The downtime filing citation is not to be used when 
the filer's system is down or experiencing delays.
* * * * *
    Annotation. An explanatory note (e.g., proof of filing citation, 
postdeparture filing citation, AES downtime filing citation, exemption 
or exclusion legend) placed on the bill of lading, air waybill, export 
shipping instructions, or other commercial loading documents.
* * * * *
    Automated Export System Trade Interface Requirements (AESTIR). The 
document that describes the technical and operational requirements of 
the AES. The AESTIR presents record formats and other reference 
information used in the AES.
* * * * *
    Commercial 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 or the shipper's agent or the 
carrier and serves as a contract of carriage. Examples of commercial 
loading documents include the air waybill, ocean bill of lading, truck 
bill and rail bill of lading.
* * * * *
    Country of ultimate destination. The country where the goods are to 
be consumed, further processed, stored, or manufactured, as known to 
the USPPI at the time of export. (See Sec.  30.6(a)(5).
* * * * *
    Diplomatic pouch. Any properly identified and sealed pouch, 
package, envelope, bag, or other container that is used to transport 
official correspondence, documents, and articles intended for official 
use, between embassies, legations, or consulates, and the foreign 
office of any government.
* * * * *

[[Page 16374]]

    Electronic CBP Form 214 Admissions (e214). An automated CBP 
mechanism that allows importers, brokers, and zone operators to report 
FTZ admission information electronically via the CBP's Automated Broker 
Interface. The e214 is the electronic mechanism that replaced the 
Census Bureau's Automated Foreign Trade Zone Reporting Program 
(AFTZRP).
* * * * *
    Filers. Those USPPIs or authorized agents (of either the USPPI or 
the FPPI) who have been approved to file EEI directly in the AES or 
AESDirect Internet application.
    Filer ID. The Employer Identification Number or Dun & Bradstreet 
Number of the company or individual filing the export information in 
the Automated Export System.
* * * * *
    Foreign exports. Commodities of foreign origin that have previously 
been admitted to a U.S. FTZ or entered the United States for 
consumption, including entry into a CBP bonded warehouse, and which, at 
the time of exportation, are in substantially the same condition as 
when imported.
    Foreign port of unlading. The port in a foreign country where the 
goods are removed from the exporting carrier. The foreign port does not 
have to be located in the country of destination. The foreign port of 
unlading shall be reported in terms of the Schedule K, ``Classification 
of CBP Foreign Ports by Geographic Trade Area and Country.''
    Foreign Principal Party in Interest (FPPI). The party abroad who 
purchases the goods for export or to whom final delivery or end-use of 
the goods will be made. This party may be the Ultimate Consignee.
    Foreign Trade Zone (FTZ). Specially licensed commercial and 
industrial areas in or near ports of entry where foreign and domestic 
goods, including raw materials, components, and finished goods, may be 
brought in without being subject to payment of customs duties. Goods 
brought into these zones may be stored, sold, exhibited, repacked, 
assembled, sorted, graded, cleaned, manufactured, or otherwise 
manipulated prior to reexport or entry into the country's customs 
territory.
* * * * *
    Harmonized Tariff Schedule of the United States Annotated (HTSUSA). 
An organized listing of goods and their duty rates, developed by the 
U.S. International Trade Commission, as the basis for classifying 
imported products.
    Household goods. Usual and reasonable kinds and quantities of 
personal property necessary and appropriate for use by the USPPI in the 
USPPI's dwelling in a foreign country that are shipped under a bill of 
lading or an air waybill and are not intended for sale.
* * * * *
    International waters. Waters located outside the U.S. territorial 
sea, which extends 12 nautical miles measured from the baselines of the 
United States, and outside the territory of any foreign country, 
including the territorial waters thereof. Note that vessels, platforms, 
buoys, undersea systems, and other similar structures that are located 
in international waters, but are attached permanently or temporarily to 
a country's continental shelf, are considered to be within the 
territory of that country.
* * * * *
    Issued banknote. A promissory note intended to circulate as money, 
usually printed on paper or plastic, issued by a bank with a specific 
denomination, payable to an individual, entity or the bearer.
* * * * *
    Kimberley Process Certificate (KPC). The document used to certify 
the origin of rough diamonds from sources which are free of conflict.
* * * * *
    Mass-market software. Software that is produced in large numbers 
and made available to the public. It does not include software that is 
customized for a specific user.
* * * * *
    Method of transportation. The method by which goods are exported 
from the United States by way of seaports, airports, or land border 
crossing points. Methods of transportation include vessel, air, truck, 
rail, mail or other. Method of transportation is synonymous with mode 
of transportation.
* * * * *
    Non-Vessel Operating Common Carrier (NVOCC). A freight forwarder 
that acts as common carrier but does not operate the vessels by which 
ocean transportation is provided, and is a shipper in relation to the 
involved ocean common carrier.
* * * * *
    Port of export. The port of export is the U.S. Customs and Border 
Protection (CBP) seaport or airport where the goods are loaded on the 
aircraft or vessel that is taking the goods out of the United States, 
or the CBP port where exports by overland transportation cross the U.S. 
border into Canada or Mexico. For EEI reporting purposes only, for 
goods loaded aboard an aircraft or vessel that stops at several ports 
before clearing to the foreign country, the port of export is the first 
CBP port where the goods were loaded. 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. The port of export is reported in terms of Schedule 
D, ``Classification of CBP Districts and Ports.'' Use port code 8000 
for shipments by mail.
* * * * *
    Postdeparture filing. The privilege granted to approved USPPIs for 
their EEI to be filed up to five (5) calendar days after the date of 
export.
* * * * *
    Power of attorney. A legal authorization, in writing, from a USPPI 
or FPPI stating that an agent has authority to act as the principal 
party's true and lawful agent for purposes of preparing and filing the 
EEI in accordance with the laws and regulations of the United States. 
(See Appendix A of this part.)
* * * * *
    Shipment. All goods being sent from one USPPI to one consignee 
located in a single country of destination on a single conveyance and 
on the same day. Except as noted in Sec.  30.2(a)(1)(iv), the EEI shall 
be filed when the value of the goods is over $2,500 per Schedule B or 
HTSUSA commodity classification code.
    Shipment reference number. A unique identification number assigned 
to the shipment by the filer for reference purposes. The reuse of the 
shipment reference number is prohibited.
    Shipper's Export Declaration (SED). The Department of Commerce 
paper form used under the Foreign Trade Statistics Regulations to 
collect information from an entity exporting from the United States. 
This form was used for compiling the official U.S. export statistics 
for the United States and for export control purposes. The SED became 
obsolete on October 1, 2008, with the implementation of the Foreign 
Trade Regulations (FTR) and has been superseded by the EEI filed in the 
AES or through the AESDirect.
    Shipping documents. Documents that include but are not limited to 
commercial invoices, export shipping instructions, packing lists, bill 
of ladings and air waybills.
* * * * *
    Split shipment. A shipment booked for export that is divided by the 
carrier in two or more shipments by the same

[[Page 16375]]

mode of transportation from the same port within 24 hours.
* * * * *
    Transshipment. The transfer of merchandise from the country or 
countries of origin through an intermediary country or countries to the 
country of ultimate destination.
* * * * *
    U.S. Customs and Border Protection (CBP). The border agency within 
the Department of Homeland Security (DHS) charged with the management, 
control, and protection of our Nation's borders at and between the 
official ports of entry of the United States.
* * * * *
    Value. The selling price (or the cost if the goods are not sold) in 
U.S. dollars, plus inland or domestic freight, insurance, and other 
charges to the U.S. seaport, airport, or land border port of export. 
Cost of goods is the sum of expenses incurred in the USPPI's 
acquisition or production of the goods. (See Sec.  30.6(a)(17)).
* * * * *
    Voluntary Self-Disclosure (VSD). A narrative account with 
supporting documentation that sufficiently describes suspected 
violations of the FTR. A VSD reflects due diligence in detecting, and 
correcting potential violation(s) when required information was not 
reported or when incorrect information was provided that violates the 
FTR.
* * * * *
    Written authorization. An authorization, in writing, by the USPPI 
or FPPI stating that the agent has authority to act as the USPPI's or 
FPPI's true and lawful agent for purposes of preparing and filing the 
EEI in accordance with the laws and regulations of the United States. 
(See Appendix A of this part.)


0
4. Amend Sec.  30.2 as follows:
0
a. Revise paragraph (a)(1)(iv)(E);
0
b. Add paragraph (a)(1)(iv)(H);
0
c. Add a note to (a)(1)(iv);
0
d. Revise paragraphs (a)(2) and (b)(3);
0
e. Revise paragraph (d) introductory text, (d)(2), and (d)(4); and
0
f. Add paragraph (d)(5).
The additions and revisions read as follows:


Sec.  30.2  General requirements for filing Electronic Export 
Information (EEI).

    (a) * * *
    (1) * * *
    (iv) * * *
    (E) Requiring a general or specific export license issued by the 
U.S. Nuclear Regulatory Commission under 10 CFR part 110.
* * * * *
    (H) Used self-propelled vehicles as defined in 19 CFR 192.1 of U.S. 
Customs and Border Protection regulations, except as noted in CBP 
regulations.
    Note to Paragraph (a)(1)(iv): For the filing requirement for 
exports destined for a country in Country Group E:1 as set forth in the 
Supplement No. 1 to 15 CFR part 740, see FTR Sec.  30.16.
    (2) Filing methods. The USPPI has four means for filing EEI: use 
AESDirect; develop AES software using the AESTIR (see <www.cbp.gov/xp/cgov/trade/automated/aes/tech_docs/aestir/); purchase 
software developed by certified vendors using the AESTIR; or use an 
authorized agent. An FPPI can only use an authorized agent in a routed 
transaction.
    (b) * * *
    (3) The AES downtime procedures provide uniform instructions for 
processing export transactions when the government's AES or AESDirect 
is unavailable for transmission. (See Sec.  30.4(b)(1) and Sec.  
30.4(b)(3).)
* * * * *
    (d) Exclusions from filing EEI. The following types of transactions 
are outside the scope of this part and shall be excluded from EEI 
filing.
* * * * *
    (2) Except Puerto Rico and the U.S. Virgin Islands, goods shipped 
from the U.S. territories and goods shipped between the United States 
and these territories do not require EEI filing. However, goods 
transiting U.S. territories to foreign destinations require EEI filing.
* * * * *
    (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 to the U.S. Armed Services.)
    (5) Goods licensed by a U.S. federal government agency where the 
country of ultimate destination is the United States or goods destined 
to international waters where the person(s) or entity assuming control 
of the item(s) is a citizen or permanent resident alien of the United 
States or a juridical entity organized under the laws of the United 
States or a jurisdiction within the United States.
* * * * *

0
5. Amend Sec.  30.3 by revising paragraphs (b)(2) introductory text, 
(b)(2)(iii), and (c)(2)(ii), and adding paragraphs (b)(4) and (c)(3) to 
read as follows:


Sec.  30.3  Electronic Export Information filer requirements, parties 
to export transactions, and responsibilities of parties to export 
transactions.

* * * * *
    (b) * * *
    (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 
if in the United States at the time goods are purchased or obtained 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. Sec.  30.3 and 30.6 pertaining to the USPPI.
* * * * *
    (iii) If a U.S. order party directly arranges for the sale and 
export of goods to the FPPI, the U.S. order party shall be listed as 
the USPPI in the EEI.
* * * * *
    (4) Carrier. A carrier is an individual or legal entity in the 
business of transporting passengers or goods. Airlines, trucking 
companies, railroad companies, shipping lines, and pipeline companies 
are all examples of carriers.
    (c) * * *
    (2) * * *
    (ii) Obtaining a power of attorney or written authorization from 
the USPPI to file the EEI.
* * * * *
    (3) Carrier responsibilities. (i) The carrier must not load or move 
cargo unless the required documentation, from the USPPI or authorized 
agent, contains the required AES proof of filing, postdeparture, 
downtime, exclusion or exemption citations. This information must be 
cited on the first page of the bill of lading, air waybill, or other 
commercial loading documents.
    (ii) The carrier must annotate the AES proof of filing, 
postdeparture, downtime, exclusion or exemption citations on the 
carrier's outbound manifest when required.
    (iii) The carrier is responsible for presenting the required AES 
proof of filing, postdeparture, downtime, exclusion or exemption 
citations 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, postdeparture, downtime, 
exclusion or exemption citation.
    (iv) The carrier shall notify the USPPI or the authorized agent of 
changes to the transportation data, and the USPPI or

[[Page 16376]]

the authorized agent shall electronically transmit the corrections, 
cancellations, or amendments as soon as the corrections are known in 
accordance with Sec.  30.9. Manifest amendments must be made in 
accordance with CBP regulations.
    (v) Retain documents pertaining to the export shipment as specified 
in Sec.  30.10.
* * * * *

0
6. Amend Sec.  30.4 by:
0
a. Revising paragraphs (a)(6) and (8);
0
b. Redesignating paragraphs (a)(9) and (10) as paragraphs (a)(10) and 
(11);
0
c. Adding new paragraph (a)(9);
0
d. Revising paragraph (b)(1) and paragraph (b)(2) introductory text;
0
e. Redesignating paragraph (b)(3) as (b)(4);
0
f. Adding a new paragraph (b)(3);
0
g. Revising newly redesignated paragraph (b)(4);
0
h. Adding paragraph (b)(5); and
0
i. Revising paragraph (c).
The additions and revisions read as follows:


Sec.  30.4  Electronic Export Information filing procedures, deadlines, 
and certification statements.

* * * * *
    (a) * * *
    (6) Shipments where complete outbound manifests are required prior 
to clearing vessels going directly to the countries identified in U.S. 
Customs and Border Protection regulations 19 CFR 4.75(c) and aircraft 
going directly or indirectly to those countries. (See U.S. Customs and 
Border Protection regulation 19 CFR 122.74(b)(2));
* * * * *
    (8) Shipments that require a license from the BIS and exports 
listed under BIS's grounds for denial of postdeparture filing status 
(see 15 CFR 758.2);
    (9) Shipments that require a license from the Nuclear Regulatory 
Commission.
* * * * *
    (b) * * *
    (1) For USML shipments, refer to the ITAR (22 CFR 123.22(b)(1)) for 
specific requirements concerning predeparture filing time frames. In 
addition, if a filer is unable to acquire an ITN because the AES or 
AESDirect is not operating, the filer shall not export until the AES is 
operating and an ITN is acquired. The downtime filing citation is not 
to be used when the filer's system is down or experiencing delays.
    (2) For non-USML shipments, except shipments between the United 
States and Puerto Rico, file the EEI and provide the ITN as follows 
(See Sec.  30.4(b)(3), for filing timeframes for shipments between the 
United States and Puerto Rico):
* * * * *
    (3) For shipments between the United States and Puerto Rico, the 
AES proof of filing citation, postdeparture filing citation, or 
exemption citation must be presented to the carrier by the time the 
shipment arrives at the port of unloading.
    (4) For non-USML shipments when the AES or AESDirect is 
unavailable, use the following instructions:
    (i) If the participant's AES is unavailable, the filer must delay 
the export of the goods or find an alternative filing method;
    (ii) If AES or AESDirect is unavailable, the goods may be exported 
and the filer must:
    (A) Provide the appropriate downtime filing citation as described 
in Sec.  30.7(b) and Appendix D; and
    (B) Report the EEI at the first opportunity AES or AESDirect is 
available.
    (5) For used self-propelled vehicles as defined in 19 CFR 192.1 of 
U.S. Customs and Border Protection regulations, the USPPI or the 
authorized agent shall file the EEI as required by Sec.  30.6 and 
provide the filing citation to the CBP at least 72 hours prior to 
export. The filer must also provide the carrier with the filing 
citation as required by paragraph (b) of this section.
    (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 five (5) 
calendar days after 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. 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.
* * * * *

0
7. Amend Sec.  30.5 by revising paragraph (c) introductory text, adding 
paragraphs (c)(1)(ix) and (c)(3)(i)(G), and revising paragraphs (d)(1) 
and (2) to read as follows:


Sec.  30.5  Electronic Export Information filing application and 
certification processes and standards.

* * * * *
    (c) Postdeparture filing approval process. Postdeparture filing is 
a privilege granted to approved USPPIs for their EEI to be filed up to 
five (5) calendar days after the date of export. The USPPI or its 
authorized agent may not transmit EEI postdeparture for certain types 
of shipments that are identified in Sec.  30.4(a). The USPPI may apply 
for postdeparture filing privileges by submitting a postdeparture 
filing application at www.census.gov/aes. An authorized agent may not 
apply on behalf of a USPPI. The Census Bureau will distribute the 
applications submitted by USPPI's who are applying for postdeparture to 
the CBP and the other federal government partnership agencies for their 
review and approval. Failure to meet the standards of the Census 
Bureau, CBP or any of the partnership agencies is reason for denial of 
the AES applicant for postdeparture filing privileges. Each partnership 
agency will develop its own internal postdeparture filing acceptance 
standards, and each agency will notify the Census Bureau of the USPPI's 
success or failure to meet that agency's 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 its application for 
postdeparture filing privileges within ninety (90) calendar days of 
receipt of the postdeparture filing application by the Census Bureau.
    (1) * * *
    (ix) The USPPI fails to demonstrate the ability to meet the AES 
predeparture filing requirements.
* * * * *
    (3) * * *
    (i) * * *
    (G) The USPPI or its authorized agent files postdeparture for 
commodities that are identified in Sec.  30.4(a).
* * * * *
    (d) * * *
    (1) AESDirect user names and passwords are to be kept secure by the 
account administrator and not disclosed to any unauthorized user or any 
persons outside the registered company.
    (2) Registered companies are responsible for those persons having a 
user name and password. If an employee with a user name and password 
leaves the company or otherwise is no longer an authorized user, the 
company shall immediately deactivate that username in the system to 
ensure the integrity and confidentiality of Title 13 data.
* * * * *

0
8. Amend Sec.  30.6 as follows:
0
a. Revise paragraphs (a)(1)(ii), (a)(3), (a)(5) introductory text, 
(a)(5)(i), (a)(8),

[[Page 16377]]

(a)(9), (a)(17) introductory text, (a)(19), and (a)(23);
0
b. Add paragraph (a)(28);
0
c. Revise paragraph (b)(1) introductory text, (b)(1)(ii), and (b)(3);
0
d. Redesignate paragraphs (b)(15) and (16) as (b)(16) and (17), 
respectively, and revise them;
0
e. Add a new paragraph (b)(15); and
0
f. Revise paragraph (c)(2).
The revisions and additions read as follows:


Sec.  30.6   Electronic Export Information data elements.

* * * * *
    (a) * * *
    (1) * * *
    (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 even if the 
USPPI does not own/lease the facility. For example, the EEI covering 
goods laden aboard a truck at a warehouse in Georgia for transport to 
Florida for loading onto a vessel for export to a foreign country shall 
show the address of the warehouse in Georgia. For shipments with 
multiple origins, report the address from which the commodity with the 
greatest value begins its export journey. If such information is not 
known, report the address in the state where the commodities are 
consolidated for export.
* * * * *
    (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 
including shipments to international waters, the ultimate consignee 
reported in the AES shall be the person so designated on the export 
license or authorized to be the ultimate consignee under the applicable 
license exemption or exception 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).
* * * * *
    (5) Country of ultimate destination. The country of ultimate 
destination is the country in which goods are to be consumed, further 
processed, stored, or manufactured, as known to the USPPI at the time 
of export. The country of ultimate destination is the code issued by 
the ISO. (i) Shipments under an export license, license exception or 
license exemption. For shipments under an export license or license 
exemption issued by the Department of State, DDTC or export license or 
license exception issued by the Department of Commerce, BIS, the 
country of ultimate destination shall conform to the country of 
ultimate destination as shown on the license. In the case of a 
Department of State license, the country of ultimate destination is the 
country specified with respect to the end user. For goods licensed by 
other government agencies, refer to their specific requirements 
concerning providing country of destination information. For shipments 
to international waters for items that are being exported pursuant to a 
BIS license exception or No License Required (NLR), the country of 
destination to be reported is the nationality of the person(s) or 
entity assuming control of the item(s) subject to the Export 
Administration Regulations that are being exported.
* * * * *
    (8) Carrier identification. 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. 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 
vessel shipments, report the carrier identification code of the party 
whose booking number was reported in the AES. 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. For modes other than vessel, air, rail and truck 
valid methods of transportation, including but not limited to mail, 
fixed transport (pipeline), and passenger hand carried, the carrier 
identification is not required. The National Motor Freight Traffic 
Association (NMFTA) issues and maintains the SCAC. (See www.nmfta.org.) 
The IATA issues and maintains the IATA codes. (See www.census.gov/trade 
for a list of IATA codes.)
    (9) Port of export. The port of export is the U.S. Customs and 
Border Protection (CBP) seaport or airport where the goods are loaded 
on the carrier that is taking the goods out of the United States, or 
the CBP port where exports by overland transportation cross the U.S. 
border into Canada or Mexico. For EEI reporting purposes only, for 
goods loaded aboard a conveyance (aircraft or vessel) that stops at 
several ports before clearing to the foreign country, the port of 
export is the first port where the goods were loaded on this 
conveyance. 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. 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.
* * * * *
    (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 in U.S. dollars. 
The value shall be the selling price (or the cost, if the goods are not 
sold), plus inland or domestic freight, insurance, and other charges to 
the U.S. seaport, airport, or land border port of export. Cost of goods 
is the sum of expenses incurred in the USPPI's acquisition or 
production of the goods. Report the value to the nearest dollar, omit 
cents. Fractions of a dollar less than 50 cents should be ignored, and 
fractions of 50 cents or more should be rounded up to the next dollar.
* * * * *
    (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 reuse of the shipment reference 
number is prohibited.
* * * * *
    (23) License code/license exemption code. The code that identifies 
the commodity as having a federal government agency requirement for a 
license, permit, authorization, license exception or exemption or that 
no license is required.
* * * * *
    (28) Ultimate consignee type. Provide the business function of the 
ultimate consignee that most often applies. If more than one type 
applies to the ultimate consignee, report the type that applies most 
often. For purposes of this paragraph, the ultimate consignee will be 
designated as a Direct Consumer, Government Entity, Reseller, or Other/
Unknown, defined as follows:
    (i) Direct Consumer--a non-government institution, enterprise, or 
company that will consume or use the exported good as a consumable, for 
its own internal processes, as an input to

[[Page 16378]]

the production of another good or as machinery or equipment that is 
part of a manufacturing process or a provision of services and will not 
resell or distribute the good.
    (ii) Government Entity--a government-owned or government-controlled 
agency, institution, enterprise, or company.
    (iii) Reseller--a non-government reseller, retailer, wholesaler, 
distributor, distribution center or trading company.
    (iv) Other/Unknown--an entity that is not a Direct Consumer, 
Government Entity or Reseller, as defined above, or whose ultimate 
consignee type is not known at the time of export.
    (b) * * *
    (1) Authorized agent and authorized agent identification. The 
authorized agent is the person or entity in the United States who 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. If an authorized 
agent is used, the following information shall be provided to the AES:
* * * * *
    (ii) Name of the authorized agent. Report the name of the 
authorized agent. (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.)
* * * * *
    (3) FTZ identifier. If goods are removed from a FTZ and not entered 
for consumption, report the FTZ identifier. This is the unique 7-digit 
alphanumeric identifier assigned by the Foreign Trade Zone Board that 
identifies the FTZ, subzone or site from which goods are withdrawn for 
export.
* * * * *
    (15) License value. For shipments requiring an export license, 
report the value designated on the export license that corresponds to 
the commodity being exported.
    (16) Department of State requirements. (i) Directorate of Defense 
Trade Controls (DDTC) registration number. The number assigned by the 
DDTC to persons who are required to register per part 122 of the ITAR 
(22 CFR parts 120 through 130), and have an authorization (license or 
exemption) from DDTC to export the article.
    (ii) DDTC Significant Military Equipment (SME) indicator. A term 
used to designate articles on the USML (22 CFR 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 United States Munitions List (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 the number of articles 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.
    (17) Kimberley Process Certificate (KPC) number. The unique 
identifying number on the KPC issued by the United States Kimberley 
Process Authority that must accompany all export shipments of rough 
diamonds. Rough diamonds are classified under 6-digit HS subheadings 
7102.10, 7102.21, and 7102.31. Enter the KPC number in the license 
number field excluding the 2-digit ISO country code for the United 
States.
    (c) * * *
    (2) Equipment number. Report the identification number for the 
shipping equipment, such as container or igloo number (Unit Load Device 
(ULD)), truck license number, rail car number, or container number for 
containerized vessel cargo.

0
9. Amend Sec.  30.7 by revising paragraph (c) to read as follows:


Sec.  30.7  Annotating the bill of lading, air waybill, or other 
commercial loading documents with proof of filing citations, and 
exemption legends.

* * * * *
    (c) Exports of rough diamonds classified under HS subheading 
7102.10, 7102.21, 7102.31, in accordance with the Clean Diamond Trade 
Act, will require the proof of filing citation, as stated in paragraph 
(b) of this section, and report the proof of filing citation on the 
KPC. In addition, the KPC must be faxed prior to exportation to the 
Census Bureau on (800) 457-7328 or provided by other methods as 
permitted by the Census Bureau.

0
10. Revise Sec.  30.8 to read as follows:


Sec.  30.8  Time and place for presenting proof of filing citations and 
exemption legends.

    The following conditions govern the time and place to present proof 
of filing citations, postdeparture filing citations, AES downtime 
filing citation, exemption, or exclusion legends. The USPPI or the 
authorized agent is required to deliver the proof of filing citations, 
postdeparture filing citations, AES downtime filing citations, 
exemption, or exclusion legends required in Sec.  30.7 to the exporting 
carrier. See Appendix D of this part for the properly formatted proof 
of filing citations, exemption, or exclusion legends. Failure of the 
USPPI or the authorized agent of either the USPPI or FPPI to comply 
with these requirements constitutes a violation of the regulations in 
this part and renders such principal party or the authorized agent 
subject to the penalties provided for in Subpart H of this part.
    (a) Postal exports. The proof of filing citations, postdeparture 
filing citations, AES downtime filing citation, and/or exemption and 
exclusions legends for items being sent by mail, as required in Sec.  
30.4(b), shall be presented to the appropriate Postal Service personnel 
with the packages at the time of mailing. The postmaster is required to 
deliver the proof of filing citations or exemption legends prior to 
export.
    (b) Pipeline exports. The proof of filing citations or exemption 
and exclusion legends for items being sent by pipeline shall be 
presented to the operator of a pipeline no later than four calendar 
days after the close of the month. See Sec.  30.46 for requirements for 
the filing of export information by pipeline carriers.
    (c) Exports by other methods of transportation. For exports sent 
other than by mail or pipeline, the USPPI or the authorized agent is 
required to deliver the proof of filing citations and/or exemption and 
exclusion legends to the exporting carrier in accord with the time 
periods set forth in Sec.  30.4(b).

0
11. Amend Sec.  30.9 by revising paragraph (b) to read as follows:


Sec.  30.9  Transmitting and correcting Electronic Export Information.

* * * * *
    (b) For shipments where the USPPI or the authorized agent has 
received an

[[Page 16379]]

error message from AES, the corrections shall take place as required. 
Fatal error messages are sent to filers when EEI is not accepted in the 
AES and update rejected messages are sent when a correction is not 
accepted in the AES. Fatal errors must be corrected and EEI resubmitted 
prior to export for shipments filed predeparture and for post-departure 
shipments but not later than five (5) calendar days after the date of 
export. Failure to respond to fatal error messages for shipments filed 
predeparture prior to export of the cargo subjects the principal party 
or authorized agent to penalties provided for in Subpart H of this 
part. Failing to 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. Update rejected messages must be corrected as 
soon as possible. 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 
of receipt of the message. A compliance alert indicates that the 
shipment was not reported in accordance with the FTR. The USPPI or the 
authorized agent is required to review its filing practices and take 
required corrective actions to conform with export reporting 
requirements.

0
12. Amend Sec.  30.16 by revising the introductory text and paragraph 
(b) and adding paragraphs (c), (d), and (e) to read as follows:


Sec.  30.16  Export Administration Regulations.

    The Export Administration Regulations (EAR) issued by the U.S. 
Department of Commerce, BIS, contain additional reporting requirements 
pertaining to EEI (see 15 CFR parts 730-774).
* * * * *
    (b) Requirements to place certain export control information in the 
EEI are found in the EAR. (See 15 CFR 758.1(g) and 15 CFR 758.2).
    (c) Requirements to place certain export control information on 
export control documents for shipments exempt from AES filing 
requirements. (See 15 CFR 758.1(d)).
    (d) A shipment destined for a country listed in Country Group E:1 
as set forth in Supplement No. 1 to 15 CFR part 740 shall require EEI 
filings regardless of value unless such shipment is eligible for an 
exemption in Sec.  30.37(y) of this part and does not require a license 
by BIS or any other Federal Government Agency.
    (e) Goods licensed by BIS where the country of ultimate destination 
is the United States or goods destined to international waters where 
the person(s) or entity assuming control of the item(s) is a citizen or 
permanent resident alien of the United States or a juridical entity 
organized under the laws of the United States or a jurisdiction within 
the United States shall be excluded from EEI filing.

0
13. Amend Sec.  30.18 by revising paragraph (a) to read as follows:


Sec.  30.18  Department of State regulations.

    (a) The USPPI or the authorized agent shall file export 
information, as required, for items on the USML of the International 
Traffic in Arms Regulations (ITAR) (22 CFR part 121). Information for 
items identified on the USML, including those exported under an export 
license or license exemption, shall be filed prior to export. Items 
identified on the USML, including those exported under an export 
license or license exemption, ultimately destined to a location in the 
United States are not required to be reported in the AES.
* * * * *

0
14. Amend Sec.  30.25 by adding paragraph (c) to read as follows:


Sec.  30.25  Values for certain types of transactions.

* * * * *
    (c) Goods rejected after entry. For imported goods that are cleared 
by CBP but subsequently rejected, an EEI must be filed to export the 
goods. The value to be reported in the AES is the declared import value 
of the goods.

0
15. Revise Sec.  30.26 to read as follows:


Sec.  30.26  Reporting of vessels, aircraft, cargo vans, and other 
carriers and containers.

    (a) Export information shall be filed in the AES for all vessels, 
locomotives, aircraft, rail cars, trucks, other vehicles, trailers, 
pallets, cargo vans, lift vans, or similar shipping containers when 
these items are moving as goods pursuant to sale or other transfer from 
ownership in the United States to ownership abroad. If the vessel, car, 
aircraft, locomotive, rail car, vehicle, or shipping container is 
outside 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 date of export shall be the date of sale.
    (b) 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.
0
16. Amend Sec.  30.28 by revising the section heading, introductory 
text, and paragraphs (a) and (b) to read as follows:


Sec.  30.28  Split shipments.

    A shipment covered by a single EEI transmission booked for export 
on one conveyance, but divided prior to export where the exporting 
carrier at the port of export will file the manifest indicating that 
the cargo was sent on two or more of the same conveyances leaving from 
the same port of export of the same carrier within 24 hours. For the 
succeeding parts of the shipment that are not exported within 24 hours, 
a new EEI must be filed and amendments must be made to the original AES 
record. The following procedures apply for split shipments:
    (a) The carrier shall deliver the manifest to the CBP Port Director 
with the manifest covering the conveyance 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.''e.g., ``3 of 10--
Split Shipment'' All associated manifests with the notation ``Split 
Shipment'' will have identical ITNs if exported within 24 hours.
    (b) On each subsequent manifest covering a conveyance on which any 
part of a split shipment is exported, a prominent notation ``SPLIT 
SHIPMENT'', e.g. ``4 of 10--Split shipment'' shall be made on the 
manifest for identification. On the last shipment, the notation shall 
read ``SPLIT SHIPMENT, FINAL, e.g., ``10 of 10 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 conveyance and a reference to the total 
number 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 conveyance, a notation will be made showing 
the bill of lading number, air waybill number, or other commercial 
loading documents shown in the original EEI and the portions of the 
originally declared total carried on each previous conveyance, together 
with the number and date of each such previous conveyance.
* * * * *

[[Page 16380]]


0
17. Amend Sec.  30.29 by revising paragraphs (a), (b)(1), and (b)(2) to 
read as follows:


Sec.  30.29   Reporting of repairs and replacements.

* * * * *
    (a) The return of goods previously imported only for repair and 
alteration.
    (1) The return of non-USML goods temporarily imported for repair 
and alteration and declared as such on importation shall have Schedule 
B number 9801.10.0000. The value reported shall only include parts and 
labor. The value of the original product shall not be included. If the 
value of the parts and labor is over $2,500 per Schedule B number, then 
EEI must be filed.
    (2) The return of USML goods temporarily imported for repair and 
alteration and declared as such on importation shall have Schedule B 
number 9801.10.0000. In the value field, report the value of the parts 
and labor, in the license value field, report the value designated on 
the export license that corresponds to the commodity being exported. An 
EEI must be filed regardless of value.
    (b) * * *
    (1) Goods that are reexported after repair under warranty shall 
follow the procedures in paragraph (a)(1) or (2) of this section as 
appropriate. 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 Schedule B number or HTSUSA classification 
commodity number of the replacement parts. For non-USML goods, report 
the value of the replacement parts in accordance with Sec.  
30.6(a)(17). For USML shipments report the value in accordance to Sec.  
30.6(a)(17) and (b)(15).

0
18. Revise Sec.  30.35 to read as follows:


Sec.  30.35  Procedure for shipments exempt from filing requirements.

    Except as noted in Sec.  30.2(a)(1)(iv), where an exemption from 
the filing requirement is provided in this subpart of this part, a 
legend describing the basis for the exemption shall be made on the 
first page of the bill of lading, air waybill, or other commercial 
loading document, and 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 (see Appendix D of this 
part).

0
19. Amend Sec.  30.36 by revising paragraph (b) introductory text and 
paragraph (b)(2); and adding paragraph (b)(7) to read as follows:


Sec.  30.36   Exemption for shipments destined to Canada.

* * * * *
    (b) This exemption does not apply to the following types of export 
shipments (These shipments shall be reported in the same manner as for 
all other exports, except household goods, which require limited 
reporting):
* * * * *
    (2) Exports moving from the United States through Canada to a third 
destination.
* * * * *
    (7) Used self-propelled vehicles as defined in 19 CFR 192.1 of U.S. 
Customs and Border Protection regulations, regardless of value or 
country of destination.

0
20. Amend Sec.  30.37 by:
0
a. Revising the introductory text and paragraph (a);
0
b. Removing and reserving paragraph (e);
0
c. Revising paragraphs (g) and (h);
0
d. Removing and reserving paragraphs (q) and (r); and
0
e. Adding paragraphs (u), (v), (w), (x) and (y).
    The revisions and additions read as follows:


Sec.  30.37  Miscellaneous exemptions.

    Except as noted in Sec.  30.2(a)(1)(iv), filing EEI is not required 
for the following kinds of shipments. However, the Census Bureau has 
the authority to periodically require the reporting of shipments that 
are normally exempt from filing.
    (a) Exports of commodities where the value of the commodities 
shipped from one USPPI to one consignee on a single exporting 
conveyance, classified under an individual Schedule B number or HTSUSA 
commodity classification code is $2,500 or less. This exemption applies 
to individual Schedule B numbers or HTSUSA commodity classification 
codes regardless of the total shipment value. In instances where a 
shipment contains a mixture of individual Schedule B numbers or HTSUSA 
commodity classification codes valued at $2,500 or less and individual 
Schedule B numbers or HTSUSA commodity classification codes valued over 
$2,500, only those Schedule B numbers or HTSUSA commodity 
classification codes valued over $2,500 are required to be reported. If 
the filer reports multiple items of the same Schedule B number or 
HTSUSA commodity classification code, this exemption only applies if 
the total value of exports for the Schedule B number or HTSUSA 
commodity classification code is $2,500 or less. Items of domestic and 
foreign origin under the same commodity classification number must be 
reported separately and EEI filing is required when either is over 
$2,500. For the reporting of household goods see Sec.  30.38. Note: 
this exemption does not apply to the export of vehicles. The export 
information for vehicles must be filed in AES regardless of value or 
country of destination.
* * * * *
    (g) Shipments of books, maps, charts, pamphlets, and similar 
articles to foreign libraries, government establishments, or similar 
institutions.
    (h) Shipments as authorized under License Exception GFT for gift 
parcels and humanitarian donations (15 CFR 740.12(a) and (b)).
* * * * *
    (u) Exports of technical data and defense service exemptions as 
cited in 22 CFR 123.22(b)(3)(iii) of the ITAR.
    (v) Vessels, locomotives, aircraft, rail cars, trucks, other 
vehicles, trailers, pallets, cargo vans, lift vans, or similar shipping 
containers 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.
    (w) Shipments to Army Post Office, Diplomatic Post Office, Fleet 
Post Office.
    (x) Shipments exported under license exception Baggage (BAG) (15 
CFR 740.14).
    (y) The following types of shipments destined for a country listed 
in Country Group E:1 as set forth in Supplement No. 1 to 15 CFR part 
740 are not required to be filed in the AES:
    (1) Shipments of published books, software, maps, charts, 
pamphlets, or any other similar media available for general 
distribution, as described in 15 CFR 734.7 to foreign libraries, or 
similar institutions.
    (2) Shipments to U.S. government agencies and employees that are 
lawfully exported under License Exception GOV (15 CFR 740.11(b)(2)(i) 
or (ii)) valued at $2500 or less per Schedule B Number.
    (3) Personal effects as described in 15 CFR 740.14(b)(1) being 
lawfully

[[Page 16381]]

exported under License Exception BAG (15 CFR 740.14).
    (4) Individual gift parcels and humanitarian donations being 
lawfully exported under License Exception GFT (15 CFR 740.12(a) and 
(b)).
    (5) Vessels and aircraft lawfully leaving the United States for 
temporary sojourn to or in a Country Group E:1 country under License 
Exception AVS (15 CFR 740.15).
    (6) Tools of trade that will be used by a person traveling to a 
Country Group E:1 destination, that will be returned to the United 
States within one year and that are lawfully being exported to a 
Country Group E:1 destination under License Exception BAG (15 CFR 
740.14) or License Exception TMP (15 CFR 740.9(a)).

0
21. Revise Sec.  30.38 to read as follows:


Sec.  30.38  Exemption from the requirements for reporting complete 
commodity information.

    Except as noted in Sec.  30.2(a)(1)(iv), report EEI for household 
goods. Household goods are usual and reasonable kinds and quantities of 
personal property necessary and appropriate for use by the USPPI in the 
USPPI's dwelling in a foreign country. Household goods include, but are 
not limited to items such as furniture, large and small appliances, 
kitchenware, electronics, toys, bicycles, clothing, personal 
adornments, and associated containers. These goods should be for use by 
the USPPI, not intended for sale; and shipped under a bill of lading or 
an air waybill. In such cases, Schedule B or HTSUSA commodity 
classification codes and domestic/foreign indicator shall not be 
required.

0
22. Revise Sec.  30.39 to read as follows:


Sec.  30.39  Special exemptions for shipments to the U.S. Armed 
Services.

    Except as noted in Sec.  30.2 (a)(1)(iv), filing of EEI is not 
required for any and all commodities, whether shipped commercially or 
through government channels, consigned to the U.S. Armed Services for 
their exclusive use, including shipments to armed services exchange 
systems. This exemption does not apply to articles that are on the USML 
and thus controlled by the ITAR and/or shipments that are not consigned 
to the U.S. Armed Services, regardless of whether they may be for their 
ultimate and exclusive use.

0
23. Amend Sec.  30.40 by revising the introductory text and removing 
paragraph (d). The revision reads as follows:


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

    Except as noted in Sec.  30.2(a)(1)(iv), filing EEI is not required 
for the following types of shipments to U.S. government agencies and 
employees:
* * * * *

0
24. Amend Sec.  30.45 as follows:
0
a. Revise paragraph (a) introductory text and paragraphs (a)(2), 
(a)(4), (c), (d), and (f)(1) and (2); and
0
b. Remove paragraphs (f)(3) and (4).
    The revisions read as follows:


Sec.  30.45   General statement of requirements for the filing of 
carrier manifests with proof of filing citations for the electronic 
submission of export information or exemption legends when Electronic 
Export Information filing is not required.

    (a) Requirement for filing carrier manifest. Carriers transporting 
goods from the United States, Puerto Rico, or the U.S. Virgin Islands 
to foreign countries; from the United States or Puerto Rico to the U.S. 
Virgin Islands; or between the United States and Puerto Rico may not be 
granted clearance and may not depart until complete manifests or other 
required documentation (for ocean, air, and rail carriers) have been 
delivered to CBP Port Director in accordance with all applicable 
requirements under CBP regulations. The CBP may require any document it 
determines necessary to ensure compliance with U.S. export control 
laws, such as: bill of lading, air waybill, export shipping 
instructions, manifest, train consist, or other commercial loading 
documents. The required documents shall contain the appropriate AES 
proof of filing citations, covering all cargo for which the EEI is 
required; or exemption legends, covering cargo for which EEI need not 
be filed by the regulations of this part. Such annotation shall be 
without material change or amendment of proof of filing citations or 
exemption and exclusion legends as provided to the carrier by the USPPI 
or its authorized agent.
* * * * *
    (2) Aircraft. Aircraft transporting goods shall file a complete 
manifest in accordance with all applicable requirements under CBP 
regulations. The manifest shall be filed with the CBP Port Director at 
the CBP port of exit. 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 unladen in Puerto Rico.
* * * * *
    (4) Carriers not required to file manifests. Carriers allowed to 
file incomplete manifests under applicable CBP regulations are 
required, upon request, to present to the CBP Port Director the proof 
of filing citation, exemption or exclusion legends for each shipment, 
prior to departure of the vessel, aircraft, train, truck or other means 
of conveyance.
* * * * *
    (c) Split shipments. When a shipment is divided by the carrier and 
is covered by a single EEI transmission, 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, export shipping documents or other commercial documents. 
The bills of lading, cargo lists, export shipping documents or other 
commercial documents shall be securely attached to the manifest in such 
a manner as to constitute one document and otherwise comply with CBP 
regulations.
* * * * *
    (f) * * *
    (1) Except as noted in Sec.  30.4(b)(2), ocean, rail, truck and air 
exporting carriers shall not load cargo that does not have all proof of 
filing citations, exemption, exclusion legends, or postdeparture 
citations as provided for in Appendix D.
    (2) Except as noted in Sec.  30.4(b)(2), ocean, rail, truck and air 
exporting carriers are subject to the penalties provided for in Subpart 
H of this part if the exporting carrier;
* * * * *

0
25. Revise Sec.  30.46 to read as follows:


Sec.  30.46  Requirements for the filing of export information by 
pipeline carriers.

    The operator of a pipeline may transport goods to a foreign country 
without the prior filing of the proof of filing citations, exemption, 
or exclusion legends, on the condition that within four calendar days 
following the end of each calendar month the operator will deliver to 
CBP Port Director the proof of filing citations, exemption, or 
exclusion legends covering all exports through the pipeline to each 
consignee during the month.

0
26. Amend Sec.  30.47 by revising paragraph (a) to read as follows:


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

    (a) For purposes of the regulations in this part, except when 
carriers are transporting merchandise from the United States to Puerto 
Rico, clearance

[[Page 16382]]

or permission to depart may be granted to any carrier by a CBP Port 
Director prior to filing of a complete manifest as required under the 
CBP regulations or prior to filing by the carrier of all required 
filing citations, exclusion and/or exemption legends, provided there is 
a bond as specified in 19 CFR 4.75, 4.76, and 122.74. The conditions of 
the bond shall be that a complete manifest, where a manifest is 
required by the regulations in this part and all required filing 
citations, exclusion and/or exemption legends shall be filed by the 
carrier in accordance with all applicable requirements under CBP 
regulations.
    (1) For manifests submitted electronically through the AES, the 
condition of the bond shall be that the manifest and all required 
filing citations, exclusion, and/or exemption legends shall be 
completed in accordance with all applicable requirements under CBP 
regulations.
    (2) For rail carriers to Canada, the conditions of the bond shall 
be that the manifest and all filing citations, exclusion, and/or 
exemption legends shall be filed with CBP in accordance with all 
applicable requirements under CBP regulations.
    (3) For carriers under bond on incomplete manifest, upon request, a 
list of filing citations, exclusion, and/or exemption legends must be 
presented to a CBP Export Control Officer at the port of export prior 
to departure by the carrier.
* * * * *

0
27. Amend Sec.  30.50 by revising paragraph (b)(5) and adding paragraph 
(c) to read as follows:


Sec.  30.50  General requirements for filing import entries.

* * * * *
    (b) * * *
    (5) Electronic CBP Form 214 Admissions (e214).
    (c) The Kimberley Process Certificates must be faxed prior to 
exportation to the Census Bureau on (800) 457-7328 or provided by other 
methods as permitted by the Census Bureau.

0
28. Revise Sec.  30.52 to read as follows:


Sec.  30.52  Foreign Trade Zones (FTZ).

    When goods are withdrawn from a FTZ for export to a foreign 
country, the export shall be reported in accordance with Sec.  30.2. 
Foreign goods admitted into FTZs shall be reported as a general import. 
Statistical requirements for zone admissions are provided to the Census 
Bureau via CBP's Automated Broker Interface (ABI) electronic 214 (e214) 
program or the CBP Form 214A Application for Foreign Trade Zone 
Admission and/or Status Designation. Refer to CBP Web site at 
www.cbp.gov to download the ``Foreign Trade Zone Manual'' where 
instructions for completing the paper CBP Form 214A documents are 
provided in Appendix C. When goods are withdrawn for domestic 
consumption or entry into a bonded warehouse, the withdrawal shall be 
reported on CBP 7501 or through the ABI in accordance with CBP 
regulations. The instructions and definitions for completing the e214 
are provided in 19 CFR 146. The following data items are required to be 
filed on the 214A, for statistical purposes:

(a) Zone Number and Location (Address)
(b) Port Code
(c) Importing Vessel and Flag/Other Carrier
(d) Export Date
(e) Import Date
(f) Zone Admission Number
(g) U.S. Port of Unlading
(h) In-bond Carrier
(i) Foreign Port of Lading
(j) Bill of Lading/AWB Number
(k) Number of Packages & Country of Origin
(l) Description of Merchandise
(m) HTSUSA Number
(n) Quantity (HTSUSA)
(o) Gross Weight
(p) Separate Value and Aggregate Charges
(q) Status Designation

0
29. Amend Sec.  30.54 by revising paragraph (b) to read as follows:


Sec.  30.54  Special provisions for imports from 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 region where the exported goods were originally grown, mined, or 
otherwise produced. For goods of Canadian origin that are manufactured 
or assembled in Canada, with the exception of the certain softwood 
lumber products described in paragraph (a) of this section, the region 
of origin is that in which the final manufacture or assembly is 
performed prior to exporting that good to the United States. In cases 
where the region in which the goods were manufactured, assembled, 
grown, mined, or otherwise produced is unknown, the province in which 
the Canadian vendor is located can be reported. For those reporting on 
paper forms the region of origin code replaces the country of origin 
code on CBP Form 7501, entry summary form.
* * * * *

0
30. Amend Sec.  30.71 by revising paragraph (b)(1), redesignating 
paragraphs (b)(2) and (3) as paragraphs (b)(3) and (4), revising the 
newly redesignated (b)(3) and adding new paragraph (b)(2) to read as 
follows:


Sec.  30.71  False or fraudulent reporting on or misuse of the 
Automated Export System.

* * * * *
    (b) * * *
    (1) Failure to file violations. A failure to file violation occurs 
if the government discovers that there is no AES record for an export 
transaction by the applicable period prescribed in Sec.  30.4 of this 
part. Any AES record filed later than ten (10) calendar days after the 
due date will also be considered a failure to file regardless of 
whether the violation was or was not discovered by the government. A 
civil penalty not to exceed $10,000 may be imposed for a failure to 
file violation.
    (2) Late filing violations. A late filing violation occurs when an 
AES record is filed after the applicable period prescribed in Sec.  
30.4 of this part. A civil penalty not to exceed $1,100 for each day of 
delinquency, but not more than $10,000 per violation, may be imposed 
for failure to file timely export information or reports in connection 
with the exportation or transportation of cargo. (See 19 CFR part 192)
    (3) Filing false/misleading information, furtherance of illegal 
activities and penalties for other violations. A civil penalty not to 
exceed $10,000 per violation may be imposed for each violation of 
provisions of this part other than any violation encompassed by 
paragraph (b)(1) or (b)(2) of this section. Such penalty may be in 
addition to any other penalty imposed by law.
* * * * *

0
31. Amend Sec.  30.74 by revising paragraphs (c)(3)(iv), (c)(3)(v), and 
(c)(5) and adding paragraphs (c)(3)(vi) and (c)(3)(vii) to read a 
follows:


Sec.  30.74  Voluntary self-disclosure.

* * * * *
    (c) * * *
    (3) * * *
    (iv) The complete identities and addresses of all individuals and 
organizations, whether foreign or domestic, involved in the activities 
giving rise to the violations;
    (v) A description of any mitigating circumstances;

[[Page 16383]]

    (vi) Corrective measures taken; and
    (vii) ITNs of the missed and/or corrected shipments.
* * * * *
    (5) Where to make voluntary self-disclosures. With the exception of 
voluntary disclosures of manifest violations under Sec.  30.47(c), the 
information constituting a Voluntary Self-Disclosures or any other 
correspondence pertaining to a Voluntary Self-Disclosures may be 
submitted to: Chief, Foreign Trade Division, U.S. Census Bureau, Room 
6K032, Washington, DC 20233-6700, or by fax on (301) 763-8835. 
Additional instructions are found at www.census.gov/trade.
* * * * *

0
32. In Appendix B to Part 30, revise parts II and III to read as 
follows:

Appendix B to Part 30--AES Filing Codes

* * * * *

Part II--Export Information Codes

TP--Temporary exports of domestic merchandise
IP--Shipments of merchandise imported under a Temporary Import Bond 
for further manufacturing or processing
IR--Shipments of merchandise imported under a Temporary Import Bond 
for repair
CH--Shipments of goods donated for charity
FS--Foreign Military Sales
ZD--North American Free Trade Agreements (NAFTA) duty deferral 
shipments
OS--All other exports
HV--Shipments of personally owned vehicles
HH--Household and personal effects
TE--Temporary exports to be returned to the United States
TL--Merchandise leased for less than a year
IS--Shipments of merchandise imported under a Temporary Import Bond 
for return in the same condition
CR--Shipments moving under a carnet
GP--U.S. Government shipments
MS--Shipments consigned to the U.S. Armed Forces
GS--Shipments to U.S. Government agencies for their use
UG--Gift parcels under Bureau of Industry and Security License 
Exception GFT
DD--Other exemptions:
    Currency
    Airline tickets
    Bank notes
    Internal revenue stamps
    State liquor stamps
    Advertising literature
    Shipments of temporary imports by foreign entities for their use
IW--International water shipments
CI--Impelled shipments of goods donated for relief or charity
FI--Impelled Foreign Military Sales Program
OI--All other exports (impelled)
(For Manifest Use Only by AES Carriers)
AE Shipment information filed through AES
(See Sec. Sec.  30.50 through 30.58 for information on filing 
exemptions.)

Part III--License Codes

Department of Commerce, Bureau of Industry and Security (BIS), Licenses

C30 Licenses issued by BIS authorizing an export, reexport, or other 
regulated activity.
C31 SCL--Special Comprehensive License
C32 NLR--No License Required (controlled for other than or in 
addition to Anti-Terrorism)
C33 NLR--No License Required (All others, including Anti-Terrorism 
controls ONLY)
C35 LVS--Limited Value Shipments
C36 GBS--Shipments to B Countries
C37 CIV--Civil End Users
C38 TSR--Restricted Technology and Software
C39 CTP--Computers
C40 TMP--Temporary Imports, Exports, and Re-exports
C41 RPL--Servicing and Replacement of Parts and Equipment
C42 GOV--Government and International Organizations
C43 GFT--Gift Parcels and Humanitarian Donations
C44 TSU--Technology and Software--Unrestricted
C45 BAG--Baggage
C46 AVS--Aircraft and Vessels (AES not required)
C49 TAPS --Trans-Alaska Pipeline Authorization Act
C50 ENC--Encryption Commodities and Software
C51 AGR--License Exception Agricultural Commodities
C53 APP--Adjusted Peak Performance (Computers)
C54 SS-WRC--Western Red Cedar
C55 SS-Sample--Crude Oil Samples
C56 SS-SPR--Strategic Petroleum Reserves
C57 VEU--Validated End User Authorization
C58 CCD--Consumer Communication Devices
C59 STA--Strategic Trade Authorization

Department of Energy/National Nuclear Security Administration (DOE/
NNSA) Codes

E01--DOE/NNSA

Nuclear Regulatory Commission (NRC) Codes

N01 NRC Form 250/250A--NRC Form 250/250A
N02 NRC General License--NRC `General' Export License

Department of State, Directorate of Defense Trade Controls (DDTC) Codes

SAG--Agreements
SCA--Canadian ITAR Exemption
S00--License Exemption Citation
S05 DSP-5--Permanent export of unclassified defense articles and 
services
S61 DSP-61--Temporary import of unclassified articles
S73 DSP-73--Temporary export of unclassified articles
S85 DSP-85--Temporary or permanent import or export of classified 
articles
S94 DSP-94--Foreign Military Sales

Department of Treasury, Office of Foreign Assets Control (OFAC) Codes

T10--OFAC Specific License
T11--OFAC General License
T12--Kimberley Process Certificate Number

Other License Types

OPA--Other Partnership Agency License

    For export license exemptions under International Traffic in 
Arms Regulations, refer to 22 CFR 120-130 of the ITAR for the list 
of export license exemptions.


0
33. Revise Appendix C to Part 30 to read as follows:

Appendix C to Part 30--Summary of Exemptions and Exclusions From EEI 
Filing

    A. Except as noted in Sec.  30.2 (a)(1)(iv), filing EEI is not 
required for the following types of shipments:\1\
---------------------------------------------------------------------------

    \1\ Exemption from the requirements for reporting complete 
commodity information is covered in Sec.  30.38; Special exemptions 
for shipments to the U.S. Armed Services are covered in Sec.  30.39; 
and special exemptions for certain shipments to U.S. Government 
agencies and employees are covered in Sec.  30.40.
---------------------------------------------------------------------------

    1. Exemption for shipments destined to Canada (Sec.  30.36).
    2. Valued $2,500 or less per Schedule B/HTSUSA classification 
for commodities shipped from one USPPI to one consignee on a single 
carrier (Sec.  30.37(a)).
    3. Tools of the trade and their containers that are usual and 
reasonable kinds and quantities of commodities and software intended 
for use by individual USPPIs or by employees or representatives of 
the exporting company in furthering the enterprises and undertakings 
of the USPPI abroad (Sec.  30.37(b)).
    4. Shipments from one point in the United States to another 
point in the United States by routes passing through Canada or 
Mexico (Sec.  30.37(c)).
    5. Shipments from one point in Canada or Mexico to another point 
in the same country by routes through the United States (Sec.  
30.37(d)).
    6. Exports of technology and software as defined in 15 CFR part 
772 of the EAR that do not require an export license. However, EEI 
is required for mass-market software (Sec.  30.37(f)).
    7. Shipments of books, maps, charts, pamphlets, and similar 
articles to foreign libraries, government establishments, or similar 
institutions (Sec.  30.37(g)).
    8. Shipments as authorized under License Exception GFT for gift 
parcels and humanitarian donations (15 CFR 740.12(a) and (b)); Sec.  
30.37(h).
    9. Diplomatic pouches and their contents (Sec.  30.37(i)).
    10. Human remains and accompanying appropriate receptacles and 
flowers (Sec.  30.37(j)).
    11. 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

[[Page 16384]]

technical plans, correspondence, etc. that could be licensed (Sec.  
30.37(k)).
    12. Shipments of pets as baggage (Sec.  30.37(l)).
    13. Carrier's stores, not shipped under a bill of lading or an 
air waybill, supplies and equipment, including usual and reasonable 
kinds and quantities of bunker fuel, deck engine and steward 
department stores, provisions and supplies, medicinal and surgical 
supplies, food stores, slop chest articles, and saloon stores or 
supplies for use or consumption on board and not intended for 
unlading in a foreign country (Sec.  30.37(m)).
    14. Dunnage not shipped under a bill of lading or an air 
waybill, of usual and reasonable kinds and quantities not intended 
for unlading in a foreign country (Sec.  30.37(n)).
    15. Shipments of aircraft parts and equipment; food, saloon, 
slop chest, and related stores; and provisions and supplies for use 
on aircraft by a U.S. airline. (EAR license exception (AVS) for 
aircraft and vessels 15 CFR 740.15(c); Sec.  30.37(o)).
    16. Baggage and personal effects, accompanied or unaccompanied, 
of persons leaving the United States including members of crews on 
vessels and aircraft, when they are not shipped as cargo under a 
bill of lading or an air waybill or other commercial loading 
documents and do not require an export license (Sec.  30.37(p)).
    17. Issued banknotes and securities and coins in circulation 
exported as evidence of financial claims. The EEI must be filed for 
unissued bank notes and securities and coins not in circulation 
(such as bank notes printed in the United States and exported in 
fulfillment of the printing contract or as part of collections), 
which should be reported at their commercial or current value (Sec.  
30.37(s)).
    18. Documents used in international transactions, documents 
moving out of the United States to facilitate international 
transactions including airline tickets, internal revenue stamps, 
liquor stamps, and advertising literature. Export of such documents 
in fulfillment of a contract for their production, however, are not 
exempt and must be reported at the transaction value for their 
production (Sec.  30.37(t)).
    19. Exports of technical data and defense service exemptions as 
defined in 22 CFR 123.22(b)(3)(iii) of the ITAR (Sec.  30.37(u)).
    20. Vessels, locomotives, aircraft, rail cars, trucks, other 
vehicles, trailers, pallets, cargo vans, lift vans, or similar 
shipping containers 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 filing 
is not required. (Sec.  30.37(v)).
    21. Shipments to APO/DPO/FPO (Sec.  30.37(w))
    22. Shipments exported under license exception BAG (Sec.  
30.37(x))
    23. Certain shipments destined to Country Group E:1 (Sec.  
30.37(y))
    B. The following types of transactions are outside the scope of 
the FTR and shall be excluded from EEI filing:
    1. Goods shipped under CBP bond through the United States, 
Puerto Rico, or the U.S. Virgin Islands from one foreign country or 
area to another where such goods do not enter the consumption 
channels of the United States.
    2. Except Puerto Rico and U.S. Virgin Islands, goods shipped 
from the U.S. territories, and goods shipped between the United 
States and these territories do not require EEI filing. However, 
goods transiting U.S. territories to foreign destinations require 
EEI filing.
    3. Electronic transmissions and intangible transfers. (See 
Subpart B of this part for export control requirements for these 
types of transactions.)
    4. Goods shipped to Guantanamo Bay Naval Base in Cuba from the 
United States, Puerto Rico, or the U.S. Virgin Islands and from 
Guantanamo Bay Naval Base to the United States, Puerto Rico, or the 
U.S. Virgin Islands. (See Sec.  30.39 for filing requirements for 
shipments exported to the U.S. Armed Services.)
    5. Goods licensed by a U.S. Federal Government agency where the 
country of ultimate destination is the United States or goods 
destined to international waters where the person(s) or entity 
assuming control of the item(s) is a citizen or permanent resident 
alien of the United States or a juridical entity organized under the 
laws of the United States or a jurisdiction within the United 
States.


0
35. Revise Appendix D to Part 30 to read as follows:

Appendix D to Part 30--AES Filing Citation and Exemption Legends

------------------------------------------------------------------------
 
------------------------------------------------------------------------
I. USML Proof of Filing Citation.......  AES ITN; Example: AES
                                          X20100101987654.
II. AES Proof of Filing Citation         AES ITN; Example: AES
 subpart A Sec.   30.7.                   X20100101987654.
III. AES Postdeparture Citation--USPPI;  AESPOST USPPI EIN mm/dd/yyyy;
 USPPI is filing the EEI.                 Example: AESPOST 12345678912
                                          01/01/2010.
IV. Postdeparture Citation--Agent;       AESPOST USPPI EIN--Filer ID mm/
 Agent is filing the EEI.                 dd/yyyy; Example: AESPOST
                                          12345678912--987654321 01/01/
                                          2010.
V. AES Downtime Citation--Use only when  AESDOWN Filer ID mm/dd/yyyy;
 AES or AESDirect is unavailable.         Example: AESDOWN 123456789 01/
                                          01/2010.
VI. Exemption for Shipments to Canada..  NOEEI Sec.   30.36.
VII. Exemption for Low-Value Shipments.  NOEEI Sec.   30.37(a).
VIII. Miscellaneous Exemption            NOEEI Sec.   30.37 (site
 Statements are found in 15 CFR 30        corresponding alphabet).
 Subpart D Sec.   30.37(b) through Sec.
   30.37(y).
IX. Special Exemption for Shipments to   NOEEI Sec.   30.39.
 the U.S. Armed Forces.
X. Special Exemptions for Certain        NOEEI Sec.   30.40 (site
 Shipments to U.S. Government Agencies    corresponding alphabet).
 and Employees (Exemption Statements
 are found in 15 CFR 30 Subpart D Sec.
  30.40(a) through Sec.   30.40(d).
XI. Split Shipments. Split Shipments     AES ITN SS; Example: AES
 should be referenced as such on the      X20100101987654 SS.
 manifest in accordance with provisions
 contained in Sec.   30.28, Split
 Shipments. The notation should be
 easily identifiable on the manifest.
 It is preferable to include a
 reference to a split shipment in the
 exemption statements cited in the
 example, the notation SS should be
 included at the end of the appropriate
 exemption statement.
XII. Proof of filing citations by        NOEEI Sec.   30.8(b).
 pipeline.
------------------------------------------------------------------------


0
36. Revise Appendix E to Part 30 to read as follows:

Appendix E to Part 30--FTSR to FTR Concordance

----------------------------------------------------------------------------------------------------------------
                FTSR                      FTSR Regulatory topic          FTR           FTR Regulatory topic
----------------------------------------------------------------------------------------------------------------
                                     Subpart A--General Requirements--USPPI
----------------------------------------------------------------------------------------------------------------
30.1...............................  General statement of                   30.2  General requirements for
                                      requirement for Shipper's                    filing Electronic Export
                                      Export Declarations (SEDs).                  Information (EEI).
30.1(a)............................  General requirements for        ...........  General requirements for
                                      filing SEDs.                                 filing EEI.

[[Page 16385]]

 
30.1(b)............................  General requirements for        ...........  NA.
                                      reporting regarding method of
                                      transportation.
30.1(c)............................  AES as an alternative to SED    ...........  NA.
                                      reporting.
30.1(d)............................  Electronic transmissions and    30.2 (d)(3)  Exclusions from filing EEI.
                                      intangible transfers.
30.2...............................  Related export control                30.15  Export control and licensing
                                      requirements.                                requirements introduction.
                                                                           30.16  EAR requirements for export
                                                                                   information on shipments from
                                                                                   U.S. Possessions to foreign
                                                                                   destinations or areas.
                                                                           30.17  Customs and Border Protection
                                                                                   Regulations.
30.3...............................  Shipper's Export Declaration    ...........  NA.
                                      forms.
30.4...............................  Preparation and signature of           30.3  Electronic Export Information
                                      Shipper's Export Declarations                filer requirements, parties
                                      (SED).                                       to export transactions,
                                                                                   responsibilities of parties
                                                                                   to export transactions.
30.4(a)............................  General requirements (SED)....      30.3(a)  General Requirements.
                                                                         30.3(b)  Parties to the export
                                                                                   transaction.
30.4(b)............................  Responsibilities of parties in      30.3(c)  General responsibilities of
                                      export transactions.                         parties in export
                                                                                   transactions.
                                                                         30.3(d)  Filer responsibilities.
30.4(c)............................  Responsibilities of parties in      30.3(e)  Responsibilities of parties in
                                      a routed export transactions.                a routed export transaction.
30.4(d)............................  Information on the Shipper's        30.3(a)  General requirements.
                                      Export Declaration (SED) or
                                      Automated Export System (AES)
                                      record.
30.4(e)............................  Authorizing a forwarding or         30.3(f)  Authorizing an agent.
                                      other agent.
30.4(f)............................  Format requirements for SEDs..  ...........  NA.
30.5...............................  Number and copies of Shipper's  ...........  NA.
                                      Export Declaration required.
30.6...............................  Requirements as to separate     ...........  NA.
                                      Shipper's Export Declarations.
30.7...............................  Information required on         ...........  NA.
                                      Shipper's Export Declarations.
30.8...............................  Additional information          ...........  NA.
                                      required on Shipper's Export
                                      Declaration for In-Transit
                                      Goods (ENG Form 7513).
30.9...............................  Requirements for separation     ...........  NA.
                                      and alignment of items on
                                      Shipper's Export Declarations.
30.10..............................  Continuation sheets for         ...........  NA.
                                      Shipper's Export Declaration.
30.11..............................  Authority to require               30.10(b)  Authority to require
                                      production of document.                      production of documents and
                                                                                   retaining electronic data.
30.12..............................  Time and place for presenting          30.4  Electronic export information
                                      the SED, exemption legends or                filing procedures, deadlines,
                                      proof of filing citations.                   and certification statements.
                                                                            30.8  Time and place for presenting
                                                                                   proof of filing citations,
                                                                                   postdeparture filing
                                                                                   citations, AES downtime
                                                                                   citations, and exemption
                                                                                   legends.
30.15..............................  Procedure for presentation of   ...........  NA.
                                      declarations covering
                                      shipments from an interior
                                      point.
30.16..............................  Corrections to Shipper's               30.9  Transmitting and correcting
                                      Export Declarations.                         Electronic Export
                                                                                   Information.
----------------------------------------------------------------------------------------------------------------
                               Subpart B--General Requirements--Exporting Carriers
----------------------------------------------------------------------------------------------------------------
30.20..............................  General statement of                  30.45  General statement of
                                      requirement for the filing of                requirements for the filing
                                      manifests.                                   of carrier manifests with
                                                                                   proof of filing citations.
30.20(a)...........................  Carriers transporting              30.45(a)  Requirements for filing
                                      merchandise from the United                  carrier manifest.
                                      States, Puerto Rico, or U.S.
                                      territories to foreign
                                      countries.
30.20(b)...........................  For carriers transporting          30.45(a)  Requirements for filing
                                      merchandise from the United                  carrier manifest.
                                      States to Puerto Rico.
30.20(c)...........................  Except as otherwise                30.45(a)  Requirements for filing
                                      specifically provided,                       carrier manifest.
                                      declarations should not be
                                      filed at the place where the
                                      shipment originates.
30.20(d)...........................  For purposes of these               30.1(c)  Definition used with EEI.
                                      regulations, the port of
                                      exportation is defined as.
30.21..............................  Requirements for the filing of        30.45  General statement of
                                      Manifests.                                   requirements for the filing
                                                                                   of carrier manifests with
                                                                                   proof of filing citations for
                                                                                   the electronic submission of
                                                                                   export information or
                                                                                   exemption legends when EEI is
                                                                                   not required.
30.21(a)...........................  Vessel........................  30.45(a)(1)  Vessel.
30.21(b)...........................  Aircraft......................  30.45(a)(2)  Aircraft.
30.21(c)...........................  Rail Carrier..................  30.45(a)(3)  Rail Carrier.
30.21(d)...........................  Carriers not required to file   30.45(a)(4)  Carriers not required to file
                                      manifests.                                   manifests.
30.22(a)...........................  Requirements for the filing of         30.8  Time and place for presenting
                                      SEDs or AES exemption legends                proof of filing citation, and
                                      and AES proof of filing                      exemption legends.
                                      citations by departing
                                      carriers.
30.22(b)...........................  The exporting carrier shall be  ...........  NA.
                                      responsible for the accuracy
                                      of the following items of
                                      information.

[[Page 16386]]

 
30.22(c)...........................  Except as provided in           ...........  NA.
                                      paragraph (d) of this
                                      section, when a
                                      transportation company finds,
                                      prior to the filing of
                                      declarations and manifest as
                                      provided in paragraph (a) of
                                      this section, that due to
                                      circumstances beyond the
                                      control of the transportation
                                      company or to inadvertence, a
                                      portion of the merchandise
                                      covered by an individual
                                      Shipper's Export Declaration
                                      has not been exported on the
                                      intended carrier.
30.22(d)...........................  When a shipment by air covered     30.45(c)  Split shipments.
                                      by a single Shipper's Export
                                      Declaration is divided by the
                                      transportation company and
                                      exported in more than one
                                      aircraft of the
                                      transportation.
30.22(e)...........................  Exporting carriers are          ...........  NA.
                                      authorized to amend incorrect
                                      shipping weights reported on
                                      Shipper's Export Declarations.
30.23..............................  Requirements for the filing of        30.46  Requirements for the filing of
                                      Shipper's Export Declarations                export information by
                                      by pipeline carriers..                       pipeline carriers.
30.24..............................  Clearance or departure of             30.47  Clearance or departure of
                                      carriers under bond on                       carriers under bond on
                                      incomplete manifest on                       incomplete manifests.
                                      Shipper's Export Declarations.
----------------------------------------------------------------------------------------------------------------
                     Subpart C--Special Provisions Applicable Under Particular Circumstances
----------------------------------------------------------------------------------------------------------------
30.30..............................  Values for certain types of           30.25  Values for certain types of
                                      transactions.                                transactions.
30.31..............................  Identification of certain             30.29  Reporting of repairs and
                                      nonstatistical and other                     replacements.
                                      unusual transactions.
30.31(a)...........................  Merchandise exported for           30.29(a)  The return of goods previously
                                      repair only, and other                       imported for repair.
                                      temporary exports.
30.31(b)...........................  The return of merchandise          30.29(b)  Goods that are covered under
                                      previously imported for                      warranty and other temporary
                                      repair only.                                 exports.
30.31(c)...........................  Shipments of material in        ...........  NA.
                                      connection with construction,
                                      maintenance, and related work
                                      being done on projects for
                                      the U.S. Armed Forces.
30.33..............................  Vessels, planes, cargo vans,          30.26  Reporting of vessels,
                                      and other carriers and                       aircraft, cargo vans, and
                                      containers sold foreign.                     other carriers and
                                                                                   containers.
30.34..............................  Return of exported cargo to           30.27  Return of exported cargo to
                                      the United States prior to                   the United States prior to
                                      reaching its final                           reaching its final
                                      destination.                                 destination.
30.37..............................  Exceptions from the                   30.38  Exemption from the
                                      requirement for reporting                    requirements for reporting
                                      complete commodity detail on                 complete commodity
                                      the Shipper's Export                         information.
                                      Declaration.
30.37(a)...........................  Where it can be determined            30.39  Special exemptions for
                                      that particular types of U.S.                shipments to the U.S. Armed
                                      Government shipments, or                     Services. (Note, this section
                                      shipments for government                     does not specifically address
                                      projects, are of such nature                 construction materials nor
                                      that they should not be                      related work being done on
                                      included in the export                       projects).
                                      statistics.
30.37(b)...........................  Special exemptions to specific  ...........  NA.
                                      portions of the requirements
                                      of Sec.   30.7 with respect
                                      to the reporting of detailed
                                      information.
30.39..............................  Authorization for reporting     ...........  NA.
                                      statistical information other
                                      than by means of individual
                                      Shipper's Export Declarations
                                      filed for each shipment.
30.40..............................  Single declaration for          ...........  NA.
                                      multiple consignees.
30.41..............................  ``Split shipments'' by air....        30.28  Split shipments.
----------------------------------------------------------------------------------------------------------------
           Subpart D--Exemptions from the requirements for the Filing of Shipper's Export Declarations
----------------------------------------------------------------------------------------------------------------
30.50..............................  Procedure for shipments exempt        30.35  Procedure for shipments exempt
                                      from the requirements for                    from filing requirements.
                                      Shipper's Export Declarations.
30.51..............................  Government shipments not              30.39  Special exemption for
                                      generally exempt.                            shipments to the U.S. Armed
                                                                                   Services.
30.52..............................  Special exemptions for                30.39  Special exemptions for
                                      shipments to the U.S. Armed                  shipments to the U.S. Armed
                                      Services.                                    Services.
30.53..............................  Special exemptions for certain        30.40  Special exemptions for certain
                                      shipments to U.S. Government                 shipments to U.S. Government
                                      agencies and employees.                      agencies and employees.
30.53(e)...........................  All commodities shipped to and  ...........  NA.
                                      for the exclusive use of the
                                      Panama Canal Zone Government
                                      or the Panama Canal Company.
30.55..............................  Miscellaneous exemptions......        30.37  Miscellaneous exemptions.
30.55(a)...........................  Diplomatic pouches and their       30.37(i)  Diplomatic pouches and their
                                      contents.                                    contents.
30.55(b)...........................  Human remains and accompanying     30.37(j)  Human remains and accompanying
                                      appropriate receptacles and                  appropriate receptacles and
                                      flowers.                                     flowers.
30.55(c)...........................  Shipments from one point in        30.37(c)  Shipments from one point in
                                      the United States to another                 the United States to another
                                      thereof by routes passing                    point in the United States by
                                      through Mexico.                              routes passing through Canada
                                                                                   or Mexico.
30.55(d)...........................  Shipments from one point in        30.37(d)  Shipments from one point in
                                      Mexico to another point                      Canada or Mexico to another
                                      thereof by routes through the                point in the same country by
                                      United States.                               routes through the United
                                                                                   States.

[[Page 16387]]

 
30.55(e)...........................  Shipments, other than by         30.2(d)(1)  Shipments, transported in-bond
                                      vessel, or merchandise for                   through the United States,
                                      which no validated export                    and exported from another
                                      licenses are required,                       U.S. port, or transshipped
                                      transported inbond through                   and exported directly from
                                      the United States, and                       the port of arrival.
                                      exported from another U.S.
                                      port, or transshipped and
                                      exported directly from the
                                      port of arrival.
30.55(f)...........................  Shipments to foreign               30.37(g)  Shipments to foreign
                                      libraries, government                        libraries, government
                                      establishments, or similar                   establishments, or similar
                                      institutions, as provided in                 institutions, as provided in
                                      Sec.   30.53(d).                             Sec.   30.40(d).
30.55(g)...........................  Shipments of single gift           30.37(h)  Shipments authorized by
                                      parcels as authorized by the                 License Exception GFT for
                                      Bureau of Industry and                       gift parcels, humanitarian
                                      Security under License                       donations.
                                      Exception GFT, see 15 CFR
                                      740.12 of the EAR.
30.55(h)...........................  Except as noted in paragraph       30.37(a)  Except as noted in Sec.
                                      (h)(2) of this section,                      30.2(a)(1)(iv), exports of
                                      exports of commodities where                 commodities where the value
                                      the value of the commodities                 of the commodities shipped
                                      shipped from one exporter to                 USPPI to one consignee on a
                                      one consignee on a single                    single exporting carrier,
                                      exporting carrier, classified                classified under an
                                      under an individual Schedule                 individual Schedule B or
                                      B number, is $2,500 or less.                 HTSUSA commodity
                                                                                   classification code, is
                                                                                   $2,500 or less.
30.55(i)...........................  Shipments of interplant            30.37(k)  Shipments of interplant
                                      correspondence, executed                     correspondence, executed
                                      invoices, and other documents                invoices, and other documents
                                      and other shipments of                       and other shipments of
                                      company business records from                company business records from
                                      a U.S. firm to its subsidiary                a U.S. firm to its subsidiary
                                      or affiliate.                                or affiliate.
30.55(j)...........................  Shipments of pets as baggage,      30.37(l)  Shipments of pets as baggage,
                                      accompanied or unaccompanied,                accompanied or unaccompanied,
                                      of persons leaving the United                of persons leaving the United
                                      States, including members of                 States, including members of
                                      crews on vessels and aircraft.               crews on vessels and
                                                                                   aircraft.
30.55(k)...........................  Shipments for use in            ...........  NA.
                                      connection with NASA tracking
                                      systems under Office of
                                      Export Administration Project
                                      License DL-5355-S.
30.55(l)...........................  Shipments of aircraft parts     ...........  NA.
                                      and equipment, and food,
                                      saloon, slop chest, and
                                      related stores, provisions,
                                      and supplies for use on
                                      aircraft by a U.S. airline to
                                      its own installations,
                                      aircraft, and agent aboard,
                                      under Department of Commerce,
                                      Office of Export
                                      Administration General
                                      License, RCS.
30.55(m)...........................  Shipments for use in            ...........  NA.
                                      connection with NOAA
                                      operations under the Office
                                      of Export Administration
                                      General License G-NOAA.
30.55(n)...........................  Exports of technology and          30.37(f)  Exports of technology and
                                      software as defined in 15 CFR                software as defined in 15 CFR
                                      772 of the EAR that do not                   772 of the EAR that do not
                                      require an export license.                   require an export license.
30.55(o)...........................  Intangible exports of software   30.2(d)(3)  Intangible exports of software
                                      and technology, such as                      and technology, such as
                                      downloaded software and                      downloaded software and
                                      technical data, including                    technical data, including
                                      technology and software that                 technology and software that
                                      requires an export license                   requires an export license
                                      and mass market software                     and mass market software
                                      exported electronically.                     exported electronically.
30.56..............................  Conditional Exemptions........        30.37  Miscellaneous exemptions.
30.56(a)...........................  Baggage and personal effects..        30.38  Exemption from the
                                                                                   requirements for reporting
                                                                                   complete commodity
                                                                                   information.
30.56(b)...........................  Tools of trade................     30.37(b)  Tools of trade
30.56(c)...........................  Carriers' stores..............     30.37(m)  Carriers' stores
30.56(d)...........................  Dunnage.......................     30.37(n)  Dunnage
30.57..............................  Information on export           ...........  NA.
                                      declarations for shipments of
                                      types of goods covered by
                                      Sec.   30.56 not
                                      conditionally exempt.
30.58..............................  Exemption for shipments from          30.36  Exemption for shipments
                                      the United States to Canada.                 destined to Canada.
----------------------------------------------------------------------------------------------------------------
                     Subpart E--Electronic Filing Requirements--Shipper's Export Information
----------------------------------------------------------------------------------------------------------------
30.60..............................  General requirements for               30.2  General requirements for
                                      filing export and manifest                   filing Electronic Export
                                      data electronically using the                Information.
                                      Automated Export System (AES).
30.60(a)...........................  Participation.................  ...........  NA.
30.60(b)...........................  Letter of Intent..............   30.5(a)(1)  Postdeparture filing
                                                                                   application.
30.60(c)...........................  General filing and                     30.4  NA.
                                      transmission requirements.
30.60(d)...........................  General responsibilities of            30.3  Electronic Export Information
                                      exporters, filing agents, and                filer requirements, parties
                                      sea carriers                                 to export transactions, and
                                                                                   responsibilities of parties
                                                                                   to export transactions.
30.61..............................  Electronic filing options.....         30.4  Electronic Export Information
                                                                                   filing procedure, deadlines,
                                                                                   and certification statement.
30.62..............................  AES Certification,                     30.5  EEI filing application and
                                      qualifications, and standards.               certification processes and
                                                                                   standards.
30.63..............................  Information required to be             30.6  Electronic Export Information
                                      reported electronically                      data elements.
                                      through AES (data elements).
30.64..............................  Transmitting and correcting            30.9  Transmitting and correcting
                                      AES information.                             Electronic Export
                                                                                   Information.

[[Page 16388]]

 
30.65..............................  Annotating the proper                  30.7  Annotating the bill of lading,
                                      exemption legends or proof of                air waybill, and other
                                      filing citations for                         commercial loading documents
                                      shipments transmitted                        with the proper proof of
                                      electronically.                              filing citations, approved
                                                                                   postdeparture filing
                                                                                   citations, downtime filing
                                                                                   citation, or exemption
                                                                                   legends.
30.66..............................  Recordkeeping and requirements      30.5(f)  Support.
30.66..............................  Support, documentation, and           30.10  Retention of export
                                      recordkeeping requirements.                  information and the authority
                                                                                   to require production of
                                                                                   documents.
----------------------------------------------------------------------------------------------------------------
                                   Subpart F--General Requirements--Importers
----------------------------------------------------------------------------------------------------------------
30.70..............................  Statistical information               30.50  General requirements for
                                      required on import entries.                  filing import entries.
                                                                           30.51  Statistical information
                                                                                   required for import entries.
30.80..............................  Imports from Canada...........        30.54  Special provisions for imports
                                                                                   from Canada.
30.81..............................  Imports of merchandise into     ...........  NA.
                                      Guam.
30.82..............................  Identification of U.S.                30.53  Import of goods returned for
                                      merchandise returned for                     repair.
                                      repair and reexport.
30.83..............................  Statistical copy of mail and    ...........  NA.
                                      informal entries.
----------------------------------------------------------------------------------------------------------------
                                  Subpart H--General Administrative Provisions
----------------------------------------------------------------------------------------------------------------
30.90..............................  Confidential information,             30.55  Confidentiality information,
                                      import entries, and                          import entries, and
                                      withdrawals.                                 withdrawals.
30.91..............................  Confidential information,             30.60  Confidentiality of Electronic
                                      Shipper's Export Declarations.               Export Information.
30.92..............................  Statistical classification            30.61  Statistical classification
                                      schedules.                                   schedules.
30.93..............................  Emergency exceptions..........        30.62  Emergency exceptions.
30.94..............................  Instructions to CBP...........  ...........  NA.
30.95..............................  Penalties for violations......  ...........  Subpart H.
30.95(a)...........................  Exports (reexports) of rough          30.70  Violation of the Clean Diamond
                                      diamonds.                                    Trade Act.
30.95(b)...........................  Exports of other than rough           30.71  False or fraudulent reporting.
                                      diamonds.
30.99..............................  OMB control numbers assigned          30.63  Office of Management and
                                      pursuant to the Paperwork                    Budget control numbers
                                      Reduction Act.                               assigned pursuant to the
                                                                                   Paperwork Reduction Act.
----------------------------------------------------------------------------------------------------------------

0
34. Revise Appendix F to Part 30 to read as follows:

Appendix F to Part 30--FTR to FTSR Concordance

----------------------------------------------------------------------------------------------------------------
                FTR                       FTR Regulatory topic           FTSR          FTSR Regulatory topic
----------------------------------------------------------------------------------------------------------------
                                         Subpart A--General Requirements
----------------------------------------------------------------------------------------------------------------
30.1...............................  Purpose and definitions.......           NA  NA.
30.2...............................  General requirements for               30.1  General statement of
                                      filing Electronic Export                     requirement for Shipper's
                                      Information.                                 Export Declarations.
30.2(a)............................  Filing Requirements...........  ...........  Filing Requirements.
30.2(b)............................  General requirements..........  ...........  NA.
30.2(c)............................  Certification and filing        ...........  NA.
                                      requirements.
30.2(d)............................  Exclusions from filing EEI....  ...........  NA.
30.2(e)............................  Penalties.....................  ...........  NA.
30.3...............................  Electronic Export Information          30.4  Preparation and signature of
                                      filer requirements, parties                  Shipper's Export Declaration.
                                      to export transactions, and
                                      responsibilities of parties
                                      to export transactions.
30.4...............................  Electronic Export Information         30.61  Electronic filing options.
                                      filing procedures, deadlines,
                                      and certification statements.
30.4(a)............................  EEI transmitted predeparture..     30.61(a)  EEI transmitted predeparture.
30.4(b)............................  Filing deadlines for EEI        ...........  NA.
                                      transmitted predeparture.
30.4(c)............................  EEI transmitted postdeparture.     30.61(b)  EEI transmitted postdeparture.
30.4(d)............................  Proof of filing citation or        30.12(d)  Exports file via AES.
                                      exemption legend.
30.5...............................  Electronic Export Information         30.62  AES Certification,
                                      filing application and                       qualifications, and
                                      certification processes and                  standards.
                                      standards.
30.5(a)............................  AES application process.......     30.60(b)  AES Participant Application.
30.5(b)............................  Certification process.........        30.66  Record keeping and
                                                                                   requirements.
30.5(c)............................  Postdeparture filing approval   ...........  ..............................
                                      process.
30.5(d)............................  Electronic Export Information   ...........  ..............................
                                      filing standards.
30.5(e)............................  Monitoring the filing of        ...........  ..............................
                                      Electronic Export Information.
30.5(f)............................  Support.......................  ...........  ..............................
30.6...............................  Electronic Export Information         30.63  Information required to be
                                      data elements.                               reported electronically
                                                                                   through AES (data elements).
30.7...............................  Annotating the bill of lading.        30.65  Annotating the proper
                                                                                   exemption legends or proof of
                                                                                   filing citations.
30.8...............................  Time and place for presenting         30.12  Time and place for presenting
                                      proof of filing citations,                   the SED, exemption legends,
                                      postdeparture filing                         or proof of filing citations.
                                      citations, downtime filing
                                      citation, or exemption
                                      legends.
30.9...............................  Transmitting and correcting           30.64  Transmitting and correcting
                                      Electronic Export Information.               AES information.

[[Page 16389]]

 
                                                                           30.16  Corrections to Shipper's
                                                                                   Export Declarations.
30.10(a)...........................  Retention of Export                   30.66  Support, documentation and
                                      information.                                 recordkeeping, and
                                                                                   documentation requirements.
30.10(b)...........................  Authority to require                  30.11  Authority to require
                                      production of documents.                     production of documents.
----------------------------------------------------------------------------------------------------------------
                              Subpart B--Export Control and Licensing Requirements
----------------------------------------------------------------------------------------------------------------
30.15..............................  Introduction..................         30.2  Related export control
                                                                                   requirements.
30.16..............................  Bureau of Industry and                 30.2  Related export control
                                      Security regulations.                        requirements.
30.17..............................  U.S. Customs and Border                30.2  Related export control
                                      Protection regulations.                      requirements.
30.18..............................  Department of State                    30.2  Related export control
                                      regulations.                                 requirements.
30.19..............................  Other Federal agency                   30.2  Related export control
                                      regulations.                                 requirements.
----------------------------------------------------------------------------------------------------------------
                          Subpart C--Special Provisions and Specific-Type Transactions
----------------------------------------------------------------------------------------------------------------
30.25..............................  Values for certain types of           30.30  Values for certain types of
                                      transactions.                                transactions.
30.26..............................  Reporting of vessels,                 30.33  Vessels, planes, cargo vans,
                                      aircraft, cargo vans, and                    and other carriers and
                                      other carriers and containers.               containers sold foreign.
30.27..............................  Return of exported cargo to           30.34  Return of exported cargo to
                                      the United States prior to                   the United States prior to
                                      reaching its final                           reaching its final
                                      destination.                                 destination.
30.28..............................  Split shipments...............        30.41  ``Split shipments'' by air.
30.29..............................  Reporting of repairs and              30.31  Identification of certain
                                      replacements.                                nonstatistical and other
                                                                                   unusual transactions.
----------------------------------------------------------------------------------------------------------------
           Subpart D--Exemptions from the Requirements for the Filing of Electronic Export Information
----------------------------------------------------------------------------------------------------------------
30.35..............................  Procedure for shipments exempt        30.50  Procedure for shipments exempt
                                      from filing requirements.                    from the requirements for
                                                                                   SEDs.
30.36..............................  Exemption for shipments               30.58  Exemption for shipments from
                                      destined to Canada.                          the United States to Canada.
30.37..............................  Miscellaneous exemptions......        30.55  Miscellaneous exemptions.
                                                                           30.55  Conditional exemptions.
30.37(a)...........................  Except as noted in Sec.            30.55(h)  Except as noted in paragraph
                                      30.2(a)(1)(iv), exports of                   h(2) of this section, exports
                                      commodities where the value *                of commodities where the
                                      * * is $2,500 or less.                       value * * * is $2,500 or
                                                                                   less.
30.37(b)...........................  Tools of trade................     30.56(b)  Tools of trade
30.37(c)...........................  Shipments from one point in        30.55(c)  Shipments from one point in
                                      the United States to another                 the United States to another
                                      point in the United States by                thereof by routes passing
                                      routes passing through Canada                through Mexico.
                                      or Mexico.
                                                                        30.58(a)  * * * this exemption also
                                                                                   applies to shipments from one
                                                                                   point in the United States or
                                                                                   Canada to another point
                                                                                   thereof * * *
30.37(d)...........................  Shipments from one point in        30.55(d)  Shipments from one point in
                                      Canada or Mexico to another                  Canada or Mexico to another
                                      point thereof by routes                      point in the same country by
                                      through the United States.                   routes through the United
                                                                                   States.
                                                                        30.58(a)  * * * this exemption also
                                                                                   applies to shipments from one
                                                                                   point in the United States or
                                                                                   Canada to another point
                                                                                   thereof * * *
30.37(e)...........................  Reserved......................  ...........  NA.
30.37(f)...........................  Exports of technology and          30.55(n)  Exports of technology and
                                      software as defined in 15 CFR                software as defined in 15 CFR
                                      of the EAR that do not                       772 of the EAR that do not
                                      require an export license.                   require an export license
30.37(g)...........................  Shipments to foreign               30.55(f)  Shipments to foreign
                                      libraries, government                        libraries, government
                                      establishments, or similar                   establishments, or similar
                                      institutions.                                institutions, as provided in
                                                                                   Sec.   30.53(d).
30.37(h)...........................  Shipments as authorized under      30.55(g)  Shipments of single gift
                                      License Exception GFT for                    parcels as authorized by the
                                      gift parcels and humanitarian                Bureau of Industry and
                                      donations.                                   Security under license
                                                                                   exception GFT.
30.37(i)...........................  Diplomatic pouches and their       30.55(a)  Diplomatic pouches and their
                                      contents.                                    contents.
30.37(j)...........................  Human remains and accompanying     30.55(b)  Human remains and accompanying
                                      appropriate receptacles and                  appropriate receptacles and
                                      flowers.                                     flowers.
30.37(k)...........................  Shipments of interplant            30.55(i)  Shipments of interplant
                                      correspondence, executed                     correspondence, executed
                                      invoices and other documents,                invoices and other documents,
                                      and other shipments of                       and other shipments of
                                      company business records from                company business records from
                                      a U.S. firm to its subsidiary                a U.S. firm to its subsidiary
                                      or affiliate.                                or affiliate.
30.37(l)...........................  Shipments of pets as baggage,      30.55(j)  Shipments of pets as baggage,
                                      accompanied or unaccompanied,                accompanied or unaccompanied,
                                      of persons leaving the United                of persons leaving the United
                                      States, including members of                 States, including members of
                                      crews on vessels and aircraft.               crews on vessels and
                                                                                   aircraft.
30.37(m)...........................  Carriers' stores * * *             30.56(c)  Carriers' stores * * *
30.37(n)...........................  Dunnage * * *                      30.56(d)  Dunnage * * *
30.37(o)...........................  Shipments of aircraft parts        30.55(l)  Shipments of aircraft parts
                                      and equipment; food, saloon,                 and equipment and food,
                                      slop chest, and related                      saloon, slop chest, and
                                      stores, * * *                                related stores, * * *
30.37(p)...........................  Baggage and personal effects       30.56(a)  Baggage and personal effects
                                      not shipped as cargo under a                 not shipped as cargo under a
                                      bill of lading or an air                     bill of lading or an air
                                      waybill and not requiring an                 waybill and not requiring an
                                      export license * * *                         export license * * *

[[Page 16390]]

 
30.37(q)...........................  Reserved......................  ...........  NA.
30.37(r)...........................  Reserved......................  ...........  NA.
30.37(s)...........................  Issued bank notes and           ...........  NA.
                                      securities and coins in
                                      circulation exported as
                                      evidence of financial claims.
30.37(t)...........................  Documents used in               ...........  NA.
                                      international transaction * *
                                      *
30.37(u)...........................  Exports of technical data and   ...........  NA.
                                      defense service exemptions.
30.37(v)...........................  Vessels, aircraft, cargo vans   ...........  NA.
                                      and other carriers and
                                      containers.
30.37(w)...........................  Shipments to Army Post Office,  ...........  NA.
                                      Diplomatic Post Office, Fleet
                                      Post Office.
30.37(x)...........................  Shipments exported under        ...........  NA.
                                      license exception Baggage
                                      (BAG).
30.37(y)(1)........................  Shipments of books, maps,       ...........  NA.
                                      charts, pamphlets, and
                                      similar articles to foreign
                                      libraries, government
                                      establishments, or similar
                                      institutions..
30.37(y)(2)........................  Shipments to U.S. government    ...........  NA.
                                      agencies and employees that
                                      are lawfully exported under
                                      License Exception GOV of the
                                      Export Administration
                                      Regulations (15 CFR Sec.
                                      740.11(b)(2)(i) or (ii))
                                      valued at $2500 or less per
                                      Schedule B Number.
30.37(y)(3)........................  Personal effects as described   ...........  NA.
                                      in 15 CFR Sec.   740.14(b)(1)
                                      being lawfully exported under
                                      License Exception BAG of the
                                      Export Administration
                                      Regulations (15 CFR Sec.
                                      740.14).
30.37(y)(4)........................  Individual gift parcels and     ...........  NA.
                                      humanitarian donations being
                                      lawfully exported under
                                      License Exception GFT of the
                                      Export Administration
                                      Regulations (15 CFR Sec.
                                      740.12(a) and (b)).
30.37(y)(5)........................  Vessels and aircraft lawfully   ...........  NA.
                                      leaving the United States for
                                      temporary sojourn to or in a
                                      Country Group E:1 country.
30.37(y)(6)........................  Tools of trade that will be     ...........  NA.
                                      used by a person traveling to
                                      a Country Group E
                                      destination, that will be
                                      returned to the United States
                                      within one year and that are
                                      lawfully being exported to a
                                      Country Group E:1 destination
                                      under License Exception
                                      BAGGAGE (15 CFR 740.14 or
                                      License Exception TMP (15 CFR
                                      740.9(a))..
30.38..............................  Exemption from the                    30.56  Conditional exemptions.
                                      requirements for reporting
                                      complete commodity
                                      information.
30.38(a)...........................  Usual and reasonable kinds and  30.56(a)(1)  Usual and reasonable kinds and
                                      quantities of wearing                        quantities of wearing
                                      apparel, articles of personal                apparel, articles of personal
                                      adornment, toilet articles,                  adornment, toilet articles,
                                      medicinal supplies, food,                    medicinal supplies, food,
                                      souvenirs, games, and similar                souvenirs, games, and similar
                                      personal effects and their                   personal effects and their
                                      containers.                                  containers.
30.38(b)...........................  Usual and reasonable kinds and  30.56(a)(2)  Usual and reasonable kinds and
                                      quantities of furniture,                     quantities of furniture,
                                      household effects, household                 household effects, household
                                      furnishings, and their                       furnishings, and their
                                      containers.                                  containers.
30.38(c)...........................  Usual and reasonable kinds and  30.56(a)(3)  Usual and reasonable kinds and
                                      quantities of vehicles, such                 quantities of vehicles, such
                                      as passenger cars, station                   as passenger cars, station
                                      wagons, trucks, * * *                        wagons, trucks, * * *
30.39..............................  Special exemptions for                30.52  Special exemptions for
                                      shipments to the U.S. Armed                  shipments to the U.S. Armed
                                      Services.                                    Services.
30.40..............................  Special exemptions for certain        30.53  Special exemptions for certain
                                      shipments to U.S. Government                 shipments to U.S. Government
                                      agencies and employees.                      agencies and employees.
----------------------------------------------------------------------------------------------------------------
                              Subpart E--General Carrier and Manifest Requirements
----------------------------------------------------------------------------------------------------------------
30.45..............................  General statement of                  30.20  General statement of
                                      requirements for the filing                  requirements for the filing
                                      of carrier manifests with                    of manifests * * *
                                      proof of filing citations.
                                                                           30.21  Requirements for the filing of
                                                                                   manifests.
                                                                           30.22  Requirements for filing of
                                                                                   Shipper's Export Declarations
                                                                                   by departing carriers.
30.46..............................  Requirements for the filing of        30.23  Requirement for the filing of
                                      export information by                        Shipper's Export Declarations
                                      pipeline carriers.                           by pipeline carriers.
30.47..............................  Clearance or departure of             30.24  Clearance or departure of
                                      carriers under bond on                       carriers under bond on
                                      incomplete manifest.                         incomplete manifest * * *
----------------------------------------------------------------------------------------------------------------
                                         Subpart F--Import Requirements
----------------------------------------------------------------------------------------------------------------
30.50..............................  General requirements for              30.70  Statistical information
                                      filing import entries.                       required on import entries.
30.51..............................  Statistical information               30.70  Statistical information
                                      required for import entries.                 required for import entries.
30.52..............................  Foreign Trade Zones...........  ...........  NA.
30.53..............................  Import of goods returned for          30.82  Identification of U.S.
                                      repair.                                      merchandise returned for
                                                                                   repair and reexport.
30.54..............................  Special provisions for imports        30.80  Imports from Canada.
                                      from Canada.

[[Page 16391]]

 
30.55..............................  Confidential information,             30.90  Confidential information
                                      import entries, and                          import entries, and
                                      withdrawals.                                 withdrawals.
----------------------------------------------------------------------------------------------------------------
                                  Subpart G--General Administrative Provisions
----------------------------------------------------------------------------------------------------------------
30.60..............................  Confidentiality of Electronic         30.91  Confidential information,
                                      Export Information.                          Shipper's Export Declaration.
30.61..............................  Statistical classification            30.92  Statistical classification
                                      schedules.                                   schedules.
30.62..............................  Emergency exceptions..........        30.93  Emergency exceptions.
30.63..............................  Office of Management and              30.99  OMB control numbers assigned
                                      Budget control numbers                       pursuant to the Paperwork
                                      assigned pursuant to the                     Reduction Act.
                                      Paperwork Reduction Act.
----------------------------------------------------------------------------------------------------------------
                                              Subpart H--Penalties
----------------------------------------------------------------------------------------------------------------
30.70..............................  Violation of the Clean Diamond     30.95(a)  Penalties for violations for
                                      Trade Act.                                   export (reexport) of rough
                                                                                   diamonds.
30.71..............................  False or fraudulent reporting      30.95(b)  Penalties for violations of
                                      on or misuse of the Automated                exports other than diamonds.
                                      Export System.
30.71(a)...........................  Criminal penalties............  ...........  ..............................
30.71(b)...........................  Civil penalties...............  ...........  ..............................
30.72..............................  Civil penalty procedures......  ...........  NA.
30.73..............................  Enforcement...................  ...........  NA.
30.73(a)...........................  Department of Commerce........
30.73(b)...........................  Department of Homeland
                                      Security.
30.74..............................  Voluntary self-disclosure.....  ...........  NA.
30.75-30.99........................  [Reserved]....................
----------------------------------------------------------------------------------------------------------------


    Dated: March 1, 2013.
Thomas L. Mesenbourg Jr.,
Acting Director, Bureau of the Census.
[FR Doc. 2013-05435 Filed 3-13-13; 8:45 am]
BILLING CODE 3510-07-P