PART 30—FOREIGN TRADE 30.36 Exemption for shipments destined to Canada. REGULATIONS 30.37 Miscellaneous exemptions. 30.38 Exemption from the requirements for Subpart A—General Requirements reporting complete commodity informa- tion. Sec. 30.39 Special exemptions for shipments to 30.1 Purpose and definitions. the U.S. Armed Services. 30.2 General requirements for filing Elec- 30.40 Special exemptions for certain ship- tronic Export Information (EEI). ments to U.S. government agencies and 30.3 Electronic Export Information filer re- employees. quirements, parties to export trans- 30.41–30.44 [Reserved] actions, and responsibilities of parties to export transactions. Subpart E—General Carrier and Manifest 30.4 Electronic Export Information filing Requirements procedures, deadlines, and certification statements. 30.45 General statement of requirements for 30.5 Electronic Export Information filing the filing of carrier manifests with proof application and certification processes of filing citations for the electronic sub- and standards. mission of export information or exemp- 30.6 Electronic Export Information data ele- tion legends when Electronic Export In- ments. formation filing is not required. 30.7 Annotating the bill of lading, air way- 30.46 Requirements for the filing of export bill, or other commercial loading docu- information by pipeline carriers. ments with the proof of filing citations, 30.47 Clearance or departure of carriers and exemption legends. under bond on incomplete manifests. 30.8 Time and place for presenting proof of 30.48–30.49 [Reserved] filing citations, and exemption and ex- clusions legends. Subpart F—Import Requirements 30.9 Transmitting and correcting Electronic Export Information. 30.50 General requirements for filing import 30.10 Retention of export information and entries. authority to require production of docu- 30.51 Statistical information required for ments. import entries. 30.11–30.14 [Reserved] 30.52 Foreign Trade Zones. 30.53 Import of goods returned for repair. Subpart B—Export Control and Licensing 30.54 Special provisions for imports from Requirements Canada. 30.55 Confidential information, import en- 30.15 Introduction. tries, and withdrawals. 30.16 Export Administration Regulations. 30.56–30.59 [Reserved] 30.17 Customs and Border Protection regu- lations. Subpart G—General Administrative 30.18 Department of State regulations. Provisions 30.19 Other Federal agency regulations. 30.20–30.24 [Reserved] 30.60 Confidentiality of Electronic Export Information. Subpart C—Special Provisions and 30.61 Statistical classification schedules. Specific-Type Transactions 30.62 Emergency exceptions. 30.63 Office of Management and Budget con- 30.25 Values for certain types of trans- trol numbers assigned pursuant to the actions. Paperwork Reduction Act. 30.26 Reporting of vessels, aircraft, cargo 30.64–30.69 [Reserved] vans, and other carriers and containers. 30.27 Return of exported cargo to the United Subpart H—Penalties States prior to reaching its final destina- tion. 30.70 Violation of the Clean Diamond Trade 30.28 ‘‘Split shipments’’ by air. Act. 30.29 Reporting of repairs and replacements. 30.71 False or fraudulent reporting on or 30.30–30.34 [Reserved] misuse of the Automated Export System. 30.72 Civil penalty procedures. Subpart D—Exemptions From the Require- 30.73 Enforcement. ments for the Filing of Electronic Export 30.74 Voluntary self-disclosure. Information 30.75–30.99 [Reserved] APPENDIX A TO PART 30—SAMPLE FOR POWER 30.35 Procedure for shipments exempt from OF ATTORNEY AND WRITTEN AUTHORIZA- filing requirements. TION

281

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00291 Fmt 8010 Sfmt 8010 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR § 30.1 15 CFR Subtitle B, Ch. I (1–1–13 Edition)

APPENDIX B TO PART 30—AES FILING CODES Bureau for authorization to report ex- APPENDIX C TO PART 30—SUMMARY OF EX- port information electronically to the EMPTIONS AND EXCLUSIONS FROM EEI FIL- AES, or through AESDirect or its re- ING APPENDIX D TO PART 30—AES FILING CITA- lated applications. TION, EXEMPTION AND EXCLUSION LEGENDS AESDirect. A free Internet applica- APPENDIX E TO PART 30—FTSR TO FTR CON- tion supported by the Census Bureau CORDANCE that allows USPPIs, their authorized APPENDIX F TO PART 30—FTR TO FTSR CON- agent, or the authorized agent of the CORDANCE FPPI to transmit EEI through the AES AUTHORITY: 5 U.S.C. 301; 13 U.S.C. 301–307; via the Internet at http:// Reorganization plan No. 5 of 1990 (3 CFR www.aesdirect.gov. 1949–1953 Comp., p.1004); Department of Com- merce Organization Order No. 35–2A, July 22, AES downtime filing citation. A state- 1987, as amended and No. 35–2B, December 20, ment used in place of a proof of filing 1996, as amended; Public Law 107–228, 116 citation when the AES or AESDirect Stat. 1350. computer systems experiences a major SOURCE: 73 FR 31555, June 2, 2008, unless failure. The downtime filing citation otherwise noted. must appear on the bill of lading, air waybill, export shipping instructions, Subpart A—General Requirements or other commercial loading docu- ments. § 30.1 Purpose and definitions. AES participant application (APA). An (a) This part sets forth the Foreign electronic submission of an individual Trade Regulations (FTR) as required or a company’s desire to participate in under the provisions of Title 13, United the AES. It sets forth a commitment to States Code (U.S.C.), Chapter 9, section develop, maintain, and adhere to CBP 301. These regulations are revised pur- and Census Bureau performance re- suant to provisions of the Foreign Re- quirements and operational standards. lations Authorization Act, Public Law Air waybill. The shipping document 107–228 (the Act). This Act authorizes used for the transportation of air the Secretary of Commerce, with the freight includes conditions, limitations concurrence of the Secretary of State of liability, shipping instructions, de- and the Secretary of Homeland Secu- scription of commodity, and applicable rity, to publish regulations mandating transportation charges. It is generally that all persons who are required to similar to a straight non-negotiable file export information under Chapter 9 bill of lading and is used for similar of 13 U.S.C., file such information purposes. through the Automated Export System Annotation. An explanatory note (AES) for all shipments where a Ship- (e.g., proof of filing citation, per’s Export Declaration (SED) was postdeparture filing citation, AES previously required. The law further downtime filing citation, exemption, or authorizes the Secretary of Commerce exclusion legend) placed on the bill of to issue regulations regarding imposi- lading, air waybill, export shipping in- tion of civil and criminal penalties for structions, or other loading document. violations of the provisions of the Act and these regulations. Authorized agent. An individual or (b) Electronic filing through the AES legal entity physically located in or strengthens the U.S. government’s otherwise under the jurisdiction of the ability to prevent the export of certain United States that has obtained power items to unauthorized destinations of attorney or written authorization and/or end users because the AES aids from a USPPI or FPPI to act on its be- in targeting, identifying, and when half, and for purposes of this part, to necessary confiscating suspicious or il- complete and file the EEI. legal shipments prior to exportation. Automated Broker Interface (ABI). A (c) Definitions used in the FTR. As CBP system through which an im- used in this part, the following defini- porter or licensed customs broker can tions apply: electronically file entry and entry AES applicant. The USPPI or author- summary data on goods imported into ized agent who applies to the Census the United States.

282

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00292 Fmt 8010 Sfmt 8010 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR Census Bureau, Commerce § 30.1

Automated Export System (AES). The industry to comply with international system, including AESDirect, for col- arms control agreements. lecting EEI information (or any suc- Buyer. The principal in the export cessor document) from persons export- transaction that purchases the com- ing goods from the United States, modities for delivery to the ultimate Puerto Rico, or the U.S. Virgin Islands; consignee. The buyer and ultimate con- between Puerto Rico and the United signee may be the same. States; and to the U.S. Virgin Islands Cargo. Goods being transported. from the United States or Puerto Rico. Carnet. An international customs Automated Export System Trade Inter- document that allows the carnet holder face Requirements (AESTIR). The docu- to import into the United States or ex- ment that describes the operational re- port to foreign countries certain goods quirements of the AES. The AESTIR on a temporary basis without the pay- presents record formats and other ref- ment of duties. erence information used in the AES. Carrier. An individual or legal entity Automated Foreign Trade Zone Report- in the business of transporting pas- ing Program (AFTZRP). The electronic sengers or goods. Airlines, trucking reporting program used to transmit companies, railroad companies, ship- statistical data on goods admitted into ping lines, pipeline companies, and slot a FTZ directly to the Census Bureau. charterers are all examples of carriers. Civil penalty. A monetary penalty im- Bill of lading (BL). A document that posed on a USPPI, authorized agent, establishes the terms of a contract be- FPPI, carrier, or other party to the tween a shipper and a transportation transaction for violating the FTR, in- company under which freight is to be cluding failing to file export informa- moved between specified points for a tion, filing false or misleading informa- specified charge. Usually prepared by tion, filing information late, and/or the authorized agent on forms issued using the AES to further any illegal by the carrier, it serves as a document activity, and/or violating any other of title, a contract of carriage, and a regulations of this part. receipt for goods. Commerce Control List (CCL). A list of Bond. An instrument used by CBP as items found in Supplement No. 1 to security to ensure the payment of du- Part 774 of the EAR. Supplement No. 2 ties, taxes and fees and/or compliance to Part 774 of the EAR contains the with certain requirements such as the General Technology and Software submission of manifest information. Notes relevant to entries contained in Bonded warehouse. An approved pri- the CCL. vate warehouse used for the storage of Compliance alert. An electronic re- goods until duties or taxes are paid and sponse sent to the filer by the AES the goods are properly released by when the shipment was not reported in CBP. Bonds must be posted by the accordance with this part (e.g., late fil- warehouse proprietor and by the im- ing). The filer is required to review porter to indemnify the government if their filing practices and take steps to the goods are released improperly. conform with export reporting require- Booking. A reservation made with a ments. carrier for a shipment of goods on a Consignee. The person or entity specific voyage, flight, truck or train. named in a freight contract, a contract Bureau of Industry and Security (BIS). of carriage that designates to whom This bureau within the U.S. Depart- goods have been consigned, and that ment of Commerce is concerned with has the legal right to claim the goods the advancement of U.S. national secu- at the destination. rity, foreign policy, and economic in- Consignment. Delivery of goods from a terests. The BIS is responsible for regu- USPPI (the consignor) to an agent lating the export of sensitive goods and (consignee) under agreement that the technologies; enforcing export control, agent sells the goods for the account of antiboycott, and public safety laws; co- the USPPI. operating with and assisting other Container. A uniform, reusable metal countries on export control and stra- ‘‘box’’ in which goods are shipped by tegic trade issues; and assisting U.S. vessel, truck, or rail as defined in the

283

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00293 Fmt 8010 Sfmt 8010 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR § 30.1 15 CFR Subtitle B, Ch. I (1–1–13 Edition)

International Convention for Safe Con- Dun & Bradstreet Number (DUNS). The tainers, as amended (TIAS 9037; 29 DUNS Number is a unique 9-digit iden- U.S.T. 3709). tification sequence that provides iden- Controlling agency. The agency re- tifiers to single business entities while sponsible for the license determination linking corporate family structures to- on specified goods exported from the gether. United States. Dunnage. Materials placed around Cost of goods sold. Cost of goods is the cargo to prevent shifting or damage sum of expenses incurred in the USPPI while in transit. acquisition or production of the goods. Duty. A charge imposed on the im- Country of origin. The country where port of goods. Duties are generally the goods were mined, grown, or manu- based on the value of the goods (ad va- factured or where each foreign mate- lorem duties), some other factor, such rial used or incorporated in a good un- as weight or quantity (specific duties), derwent a change in tariff classifica- or a combination of value and other tion indicating a substantial trans- factors (compound duties). formation under the applicable rule of Electronic export information (EEI). origin for the good. The country of ori- The electronic export data as filed in gin for U.S. imports are reported in the AES. This is the electronic equiva- terms of the International Standards lent of the export data formerly col- Organization (ISO) codes designated in lected as Shipper’s Export Declaration the Schedule C, Classification of Coun- (SED) information and now mandated try and Territory Designations. to be filed through the AES or Country of ultimate destination. The AESDirect. country where the goods are to be con- Employer identification number (EIN). sumed, further processed, stored, or The USPPI’s Internal Revenue Service manufactured, as known to the USPPI (IRS) EIN is the 9-digit numerical code at the time of export. as reported on the Employer’s Quar- Criminal penalty. For the purpose of terly Federal Tax Return, Treasury this part, a penalty imposed for know- Form 941. ingly or willfully violating the FTR, End user. The person abroad that re- including failing to file export informa- ceives and ultimately uses the exported tion, filing false or misleading informa- or reexported items. The end user is tion, filing information late, and/or not an authorized agent or inter- using the AES to further illegal activ- mediary, but may be the FPPI or ulti- ity. The criminal penalty includes mate consignee. fines, imprisonment, and/or forfeiture. Enhancement. A change or modifica- Customs broker. An individual or enti- tion to goods that increases their value ty licensed to enter and clear imported or improves their condition. goods through CBP for another indi- Entry number. Consists of a three-po- vidual or entity. sition entry filer code and a seven-posi- Destination. The foreign location to tion transaction code, plus a check which a shipment is consigned. digit assigned by the entry filer as a Distributor. An agent who sells di- tracking number for goods entered into rectly for a supplier and maintains an the United States. inventory of the supplier’s products. Equipment number. The identification Domestic exports. Goods that are number for shipping equipment, such grown, produced, or manufactured in as container or igloo (Unit Load Device the United States, and commodities of (ULD)) number, truck license number, foreign origin that have been changed or rail car number. in the United States, including changes Exclusions. Transactions outside of made in a U.S. FTZ, from the form in the scope of the FTR that are excluded which they were imported, or that have from the requirement of filing EEI. been enhanced in value or improved in Exemption. A specific reason as cited condition by further processing or within this part that eliminates the re- manufacturing in the United States. quirement for filing EEI. Drayage. The charge made for haul- Exemption legend. A notation placed ing freight, carts, drays, or trucks. on the bill of lading, air waybill, export

284

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00294 Fmt 8010 Sfmt 8010 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR Census Bureau, Commerce § 30.1

shipping instructions, or other com- curred in the USPPI’s acquisition or mercial loading document that de- production of the goods. (See scribes the basis for not filing EEI for § 30.6(a)(17)). an export transaction. The exemption Fatal error message. An electronic re- legend shall reference the number of sponse sent to the filer by the AES the section or provision in the FTR when invalid or missing data has been where the particular exemption is pro- encountered, the EEI has been rejected, vided (See Appendix D to this part). and the information is not on file in Export. To send or transport goods the AES. The filer is required to imme- out of a country. diately correct the problem, correct Export Administration Regulations the data, and retransmit the EEI. (EAR). Regulations administered by Filers. Those USPPIs or authorized the BIS that, among other things, pro- agents (of either the USPPI or the vide specific instructions on the use FPPI) who have been approved to file and types of export licenses required EEI directly in the AES system or for certain commodities, software, and AESDirect Internet application. technology. These regulations are lo- Filing electronic export information. cated in 15 CFR parts 730 through 774. The act of entering the EEI in the Export control. Governmental control AES. of exports for statistical or strategic Foreign entity. A person that tempo- and short supply or national security rarily enters into the United States purposes, and/or for foreign policy pur- and purchases or obtains goods for ex- poses. port. This person does not physically Export Control Classification Number maintain an office or residence in the (ECCN). The number used to identify United States. This is a special class of items on the CCL, Supplement No. 1 to USPPI. Part 774 of the EAR. The ECCN con- Foreign exports. Commodities of for- sists of a set of digits and a letter. eign origin that have entered the Items that are not classified under an United States for consumption, for ECCN are designated ‘‘EAR99.’’ Section entry into a CBP bonded warehouse or 738.2 of the EAR describes the ECCN U.S. FTZ, and which, at the time of ex- format. portation, are in substantially the Export license. A controlling agency’s same condition as when imported. document authorizing export of par- Foreign principal party in interest ticular goods in specific quantities or (FPPI). The party shown on the trans- values to a particular destination. portation document to whom final de- Issuing agencies include, but are not livery or end-use of the goods will be limited to, the U.S. State Department; made. This party may be the ultimate the BIS; the Bureau of Alcohol, To- consignee. bacco, and Firearms; and the Drug En- Foreign Trade Zone (FTZ). Specially forcement Administration permit to licensed commercial and industrial export. areas in or near ports of entry where Export statistics. The measure of foreign and domestic goods, including quantity and value of goods (except for raw materials, components, and fin- shipments to U.S. military forces over- ished goods, may be brought in without seas) moving out of the United States being subject to payment of customs to foreign countries, whether such duties. Goods brought into these zones goods are exported from within the may be stored, sold, exhibited, re- Customs territory of the United States, packed, assembled, sorted, graded, a CBP bonded warehouse, or a U.S. cleaned, or otherwise manipulated Foreign Trade Zone (FTZ). prior to reexport or entry into the Export value. The value of the goods country’s customs territory. at the U.S. port of export. The value Forwarding agent. The person in the shall be the selling price (or the cost if United States who is authorized by the the goods are not sold), including in- principal party in interest to facilitate land or domestic freight, insurance, the movement of the cargo from the and other charges to the U.S. seaport, United States to the foreign destina- airport, or land border port of export. tion and/or prepare and file the re- Cost of goods is the sum of expenses in- quired documentation.

285

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00295 Fmt 8010 Sfmt 8010 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR § 30.1 15 CFR Subtitle B, Ch. I (1–1–13 Edition)

Goods. Merchandise, supplies, raw transaction was accepted and is on file materials, and products or any other in the AES. item identified by a Harmonized Tariff International Standards Organization System (HTS) code. (ISO) Country Codes. The 2-position al- Harmonized system. A method of phabetic ISO code for countries used to classifying goods for international identify countries for which shipments trade developed by the Customs Co- are reportable. operation Council (now the World Cus- International Traffic in Arms Regula- toms Organization). tions (ITAR). Regulations administered Harmonized Tariff Schedule of the by the Directorate of Defense Trade United States (HTSUS). An organized Controls within the U.S. State Depart- listing of goods and their duty rates, developed by the U.S. International ment that provide for the control of Trade Commission, which is used by the export and temporary import of de- CBP as the basis for classifying im- fense articles and defense services. ported products, including establishing These regulations are located in 22 the duty to be charged and providing CFR 120–130. statistical information about imports Interplant correspondence. Records or and exports. documents from a U.S. firm to its sub- Imports. All goods physically brought sidiary or affiliate, whether in the into the United States, including: United States or overseas. (1) Goods of foreign origin, and In-transit. Goods shipped through the (2) Goods of domestic origin returned United States, Puerto Rico, or the U.S. to the United States without substan- Virgin Islands from one foreign coun- tial transformation affecting a change try or area to another foreign country in tariff classification under an appli- or area without entering the consump- cable rule of origin. tion channels of the United States. Inbond. A procedure administered by License applicant. The person who ap- CBP under which goods are transported plies for an export or reexport license. or warehoused under CBP supervision (For example, obtaining a license for until the goods are either formally en- commodities, software, or technology tered into the customs territory of the that are listed on the CCL.) United States and duties are paid, or until they are exported from the License exception. An authorization United States. The procedure is so that allows a USPPI or other appro- named because the cargo moves under priate party to export or reexport a bond (financial liability assured by under stated conditions, items subject the principal on the bond) from the to the EAR that would otherwise re- gateway seaport, airport, or land bor- quire a license under the EAR. The BIS der port and remains ‘‘inbond’’ until License Exceptions are currently con- CBP releases the cargo at the inland tained in Part 740 of the EAR (15 CFR Customs point or at the port of export. part 740). Inland freight. The cost to ship goods Loading document. A document that between points inland and the seaport, establishes the terms of a contract be- airport, or land border port of expor- tween a shipper and a transportation tation, other than baggage, express company under which freight is to be mail, or regular mail. moved between points for a specific Intermediate consignee. The person or charge. It is usually prepared by the entity in the foreign country who acts shipper and actuated by the carrier and as an agent for the principal party in serves as a document of title, a con- interest with the purpose of effecting tract of carriage, and a receipt for delivery of items to the ultimate con- goods. Examples of loading documents signee. The intermediate consignee include the air waybill, inland bill of may be a bank, forwarding agent, or other person who acts as an agent for a lading, ocean bill of lading, and principal party in interest. through bill of lading. Internal Transaction Number (ITN). Manifest. A collection of documents, The AES generated number assigned to including forms, such as the cargo dec- a shipment confirming that an EEI laration and annotated bills of lading,

286

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00296 Fmt 8010 Sfmt 8010 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR Census Bureau, Commerce § 30.1

that lists and describes the cargo con- as well as other information needed for tents of a carrier, container, or ware- transportation purposes. house. Carriers required to file mani- Partnership agencies. U.S. government fests with CBP Port Director must in- agencies that have statistical and ana- clude an AES filing citation, or exemp- lytical reporting and/or monitoring and tion or exclusion legend for all cargo enforcement responsibilities related to being transported. AES postdeparture filing privileges. Merchandise. Goods, wares, and chat- Party ID type. Identifies whether the tels of every description, and includes Party ID is an EIN, DUNS, or Foreign merchandise the exportation of which Entity reported to the AES, for exam- is prohibited, and monetary instru- ple, E=EIN, D=DUNS, T=Foreign Enti- ments as defined in 31 U.S.C. 5312. ty. Method of transportation. The method Person. Any natural person, corpora- by which goods arrive in or are ex- tion partnership or other legal entity ported from the United States by way of any kind, domestic or foreign. of seaports, airports, or land border Port of export. The seaport or airport crossing points. Methods of transpor- where the goods are loaded on the ex- tation include vessel, air, truck, rail, porting carrier that is taking the goods or other. out of the United States, or the port where exports by overland transpor- North American Free Trade Agreement tation cross the U.S. border into a for- (NAFTA). The formal agreement, or eign country. In the case of an export treaty, among Canada, Mexico, and the by mail, use port code 8000. United States to promote trade Postdeparture filing. The privilege amongst the three countries. It in- granted to approved USPPIs for their cludes measures for the elimination of EEI to be filed up to 10 calendar days tariffs and nontariff barriers to trade, after the date of export, i.e., the date as well as numerous specific provisions the goods are scheduled to cross the concerning the conduct of trade and in- U.S. border. vestment. Postdeparture filing citation. A nota- Office of Foreign Assets Control tion placed on the bill of lading, air (OFAC). An agency within the U.S. De- waybill, export shipping instructions, partment of the Treasury that admin- or other commercial loading docu- isters and enforces economic and trade ments that states that the EEI will be sanctions based on U.S. foreign policy filed after departure of the carrier. and national security goals against (See Appendix D of this part.) targeted foreign countries, terrorists, Power of attorney. A legal authoriza- international narcotics traffickers, and tion, in writing, from a USPPI or FPPI those engaged in activities related to stating that the agent has authority to the proliferation of weapons of mass act as the principal party’s true and destruction. The OFAC acts under lawful agent for purposes of preparing Presidential wartime and national and filing the EEI in accordance with emergency powers, as well as authority the laws and regulations of the United granted by specific legislation, to im- States. pose controls on transactions and Primary benefit. Receiving the major- freeze foreign assets under U.S. juris- ity payment or exchange of item of diction. value or other legal consideration re- Order party. The person in the United sulting from an export trade trans- States that conducts the direct nego- action; usually monetary. tiations or correspondence with the Principal parties in interest. Those per- foreign purchaser or ultimate con- sons in a transaction that receive the signee and who, as a result of these ne- primary benefit, monetary or other- gotiations, receives the order from the wise, from the transaction. Generally, FPPI. If a U.S. order party directly ar- the principals in a transaction are the ranges for the sale and export of goods seller and the buyer. In most cases, the to the FPPI, the U.S. order party shall forwarding or other agent is not a prin- be listed as the USPPI in the EEI. cipal party in interest. Packing list. A list showing the num- Proof of filing citation. A notation ber and kinds of items being shipped, placed on the bill of lading, air waybill,

287

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00297 Fmt 8010 Sfmt 8010 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR § 30.1 15 CFR Subtitle B, Ch. I (1–1–13 Edition)

export shipping instructions, or other gin is reported in terms of the Inter- commercial loading document, usually national Standards Organization codes. for carrier use, that provides evidence Schedule D. The Classification of CBP that the EEI has been filed and accept- districts and ports. The Schedule D ed in the AES. provides a list of CBP districts and Reexport. For statistical purposes: ports and the corresponding numeric These are exports of foreign-origin codes used in compiling U.S. foreign goods that have previously entered the trade statistics. United States, Puerto Rico, or the U.S. Schedule K. The Classification of For- Virgin Islands for consumption, entry eign Ports by Geographic Trade Area into a CBP bonded warehouse, or a U.S. and Country. The Schedule K lists the FTZ, and at the time of exportation, major seaports of the world that di- have undergone no change in form or rectly handle waterborne shipments in condition or enhancement in value by the foreign trade of the United States, further manufacturing in the United and includes numeric codes to identify States, Puerto Rico, the U.S. Virgin Is- these ports. This schedule is main- lands, or U.S. FTZs. For the purpose of tained by the U.S. Army Corps of Engi- goods subject to export controls (e.g., neers. U.S. Munitions List (USML) articles) Seller. A principal in the transaction, these are shipments of U.S.-origin usually the manufacturer, producer, products from one foreign destination wholesaler, or distributor of the goods, to another. that receives the monetary benefit or Related party transaction. A trans- other consideration for the exported action involving trade between a goods. USPPI and an ultimate consignee Service center. A company, entity, or where either party owns directly or in- organization which has been certified directly 10 percent or more of the other and approved to only transmit com- party. plete EEI to the AES. Remission. The cancellation or release Shipment. Unless as otherwise pro- from a penalty, including fines, and/or vided, all goods being sent from one forfeiture, under this part. USPPI to one consignee to a single Retention. The necessary act of keep- country of destination on a single con- ing all documentation pertaining to an veyance and on the same day. export transaction for a period of at Shipment reference number. A unique least five years for an EEI filing, or a identification number assigned to the time frame designated by the control- shipment by the filer for reference pur- ling agency for licensed shipments, poses. This number must remain whichever is longer. unique for a period of five years. Routed export transaction. A trans- Shipper’s Export Declaration. The DOC action in which the FPPI authorizes a paper form used under the FTSR to U.S. agent to facilitate export of items collect information from a person ex- from the United States on its behalf porting from the United States. This and prepare and file the EEI. form was used for compiling the offi- Schedule B. The Statistical Classi- cial U.S. export statistics for the fication of Domestic and Foreign Com- United States and for export control modities Exported from the United purposes. States. These 10-digit commodity clas- Shipping weight. The total weight of a sification numbers are administered by shipment in kilograms including goods the Census Bureau and cover every- and packaging. thing from live animals and food prod- Split shipment. A shipment booked for ucts to computers and airplanes. It export on one aircraft, but split by the should also be noted that all import carrier and sent on two or more air- and export codes used by the United crafts of the same carrier. States are based on the Harmonized Subzone. A special purpose foreign Tariff System. trade zone established as part of a for- Schedule C. The Classification of eign trade zone project with a limited Country and Territory Designations. purpose that cannot be accommodated The Schedule C provides a list of coun- within an existing zone. Subzones are try of origin codes. The country of ori- often established to serve the needs of

288

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00298 Fmt 8010 Sfmt 8010 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR Census Bureau, Commerce § 30.2

a specific company and may be located States when purchasing or obtaining within an existing facility of the com- the goods for export. pany. Vehicle Identification Number (VIN). A Tariff schedule. A comprehensive list number issued by the manufacturer or schedule of goods with applicable and used for the identification of a self- duty rates to be paid or charged for propelled vehicle. each listed article as it enters or leaves Verify message. An electronic response a country. sent to the filer by the AES when an Transmitting electronic export informa- unlikely condition is found. tion. The act of sending the completed Violation of the FTR. Failure of the EEI to the AES. USPPI, FPPI, authorized agent of the Transportation reference number. A USPPI, FPPI, carrier, or other party to reservation number assigned by the the transaction to comply with the re- carrier to hold space on the carrier for quirements set forth in 15 CFR 30, for each export shipment. cargo being shipped. It is the booking Warning message. An electronic re- number for vessel shipments and the sponse sent to the filer by the AES master air waybill number for air ship- when certain incomplete and con- ments, the bill of lading number for flicting data reporting conditions are rail shipments, and the freight or pro encountered. bill for truck shipments. Wholesaler/distributor. An agent who Ultimate consignee. The person, party, sells directly for a supplier and main- or designee that is located abroad and tains an inventory of the supplier’s actually receives the export shipment. products. This party may be the end user or the Written authorization. A legal author- FPPI. ization, in writing, by the USPPI or United States Munitions List (USML). FPPI stating that the agent has au- Articles and services designated for de- thority to act as the USPPI’s or FPPI’s fense purposes under the ITAR and true and lawful agent for purposes of specified in 22 CFR 121. preparing and filing the EEI in accord- Unlading. The physical removal of ance with the laws and regulations of cargo from an aircraft, truck, rail, or the United States. vessel. Zone admission number. A unique and U.S. Customs and Border Protection sequential number assigned by a FTZ (CBP). CBP is the unified border agen- operator or user for shipments admit- cy within the DHS charged with the ted to a zone. management, control, and protection [73 FR 31555, June 2, 2008, as amended at 74 of our Nation’s borders at and between FR 38916, Aug. 5, 2009] the official ports of entry to the United States. CBP is charged with keeping § 30.2 General requirements for filing terrorist and terrorist weapons from Electronic Export Information entering the country and enforcing (EEI). customs, immigration, agricultural (a) Filing requirements—(1) The EEI and countless other laws of the United shall be filed through the AES by the States. United States Principal Party In Inter- U.S. Immigration and Customs Enforce- est (USPPI), the USPPI’s authorized ment (ICE). An agency within the DHS agent, or the authorized U.S. agent of that is responsible for enforcing cus- the Foreign Principal Party In Interest toms, immigration and related laws (FPPI) for all exports of physical and investigating violations of laws to goods, including shipments moving secure the Nation’s borders. pursuant to orders received over the U.S. principal party in interest Internet. The Automated Export Sys- (USPPI). The person or legal entity in tem (AES) is the electronic system for the United States that receives the pri- collecting Shipper’s Export Declara- mary benefit, monetary or otherwise, tion (SED) (or any successor document) from the export transaction. Generally, information from persons exporting that person or entity is the U.S. seller, goods from the United States, Puerto manufacturer, or order party, or the Rico, Foreign Trade Zones (FTZs) lo- foreign entity while in the United cated in the United States or Puerto

289

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00299 Fmt 8010 Sfmt 8010 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR § 30.2 15 CFR Subtitle B, Ch. I (1–1–13 Edition)

Rico, the U.S. Virgin Islands, between (B) Requiring a Department of State, Puerto Rico and the United States, and Directorate of Defense Trade Controls to the U.S. Virgin Islands from the (DDTC) license under the International United States or Puerto Rico. Excep- Traffic in Arms Regulations (ITAR) (22 tions, exclusions, and exemptions to CFR Parts 120 through 130). this requirement are provided for in (C) Subject to the ITAR, but exempt paragraph (d) of this section and Sub- from license requirements. part D of this part. References to the (D) Requiring a Department of Jus- AES also shall apply to AESDirect un- tice, Drug Enforcement Administration less otherwise specified. For purposes (DEA) export permit (21 CFR 1312). of the regulations in this part, the SED (E) Destined for a country listed in information shall be referred to as EEI. Country Group E:1 as set forth in Sup- Filing through the AES shall be done plement 1 to 15 CFR 740. in accordance with the definitions, (F) Requiring an export license specifications, and requirements of the issued by any other federal government regulations in this part for all export agency. shipments, except as specifically ex- (G) Classified as rough diamonds cluded in § 30.2(d) or exempted in Sub- under 6-digit HS subheadings 7102.10, part D of this part, when shipped as fol- 7102.21, and 7102.31. lows: (i) To foreign countries or areas, in- (2) Filing methods. The USPPI has cluding free (foreign trade) zones lo- four means for filing EEI: use cated therein (see § 30.36 for exemptions AESDirect; develop AES software using for shipments from the United States the AESTIR (see http://www.cbp.gov/xp/ to Canada) from any of the following: cgov/export/aes/); purchase software de- (A) The United States, including the veloped by certified vendors using the 50 states and the District of Columbia. AESTIR; or use an authorized agent. (B) Puerto Rico. An FPPI can only use an authorized (C) FTZs located in the United States agent in a routed export transaction. or Puerto Rico. (b) General requirements—(1) The EEI (D) The U.S. Virgin Islands. shall be filed prior to exportation (see (ii) Between any of the following non- § 30.4) unless the USPPI has been ap- foreign areas including goods pre- proved to submit export data on a viously admitted to customs ware- postdeparture basis (see § 30.5(c)). Ship- houses or FTZs and moving under a ments requiring a license or license ex- U.S. Customs and Border Protection emption may be filed postdeparture (CBP) bond: only when the appropriate licensing (A) To Puerto Rico from the United agency has granted the USPPI author- States. ization. See Subpart B of this part. (B) To the United States from Puerto (2) Specific data elements required Rico. for EEI filing are contained in § 30.6. (C) To the U.S. Virgin Islands from (3) The AES downtime procedures the United States or Puerto Rico. provide uniform instructions for proc- (iii) The EEI shall be filed for goods essing export transactions when the moving as described in paragraphs AES or AESDirect or the computer sys- (a)(1)(i) and (ii) of this section by any tem of an AES participant is unavail- mode of transportation. (Instructions able for transmission. (See § 30.4(b)(1) for filing EEI for vessels, aircraft, rail- and § 30.4(b)(3).) way cars, and other carriers when sold (4) Instructions for particular types while outside the areas described in of transactions and exemptions from paragraphs (a)(1)(i) and (ii) are covered these requirements are found in Sub- in § 30.26.) parts C and D of this part. (iv) Notwithstanding exemptions in (5) The EEI is required to be filed in Subpart D, EEI shall be filed for the the AES prior to export for shipments following types of export shipments, by vessel going directly to the coun- regardless of value: tries identified in U.S. Customs and (A) Requiring a Department of Com- Border Protection regulations 19 CFR merce, Bureau of Industry and Secu- 4.75(c) and by aircraft going directly or rity (BIS) license (15 CFR 730–774). indirectly to those countries. (See U.S.

290

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00300 Fmt 8010 Sfmt 8010 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR Census Bureau, Commerce § 30.3

Customs and Border Protection regula- penalties provided for in Subpart H of tions 19 CFR 122.74(b)(2).) this part. (c) Certification and filing require- ments. Filers of EEI shall be required to § 30.3 Electronic Export Information meet application, certification, and fil- filer requirements, parties to export transactions, and responsibilities of ing requirements before being approved parties to export transactions. to submit EEI. Steps leading toward approval for the AES or the AESDirect (a) General requirements. The filer of filing include the following processes: EEI for export transactions is either (See § 30.5 for specific application, cer- the USPPI, or the U.S. authorized tification, and filing standards applica- agent. All EEI submitted to the AES ble to AES and AESDirect submis- shall be complete, correct, and based sions.) on personal knowledge of the facts (1) Submission of an electronic AES stated or on information furnished by Participant Application (APA) for AES the parties to the export transaction. filing or submission of an online reg- The filer shall be physically located in the United States at the time of filing, istration for filing through http:// have an EIN or DUNS and be certified www.census.gov/aes. to report in the AES. In the event that (2) Successful completion of certifi- the filer does not have an EIN or cation testing for AES or for AES Direct DUNS, the filer must obtain an EIN filing. from the Internal Revenue Service. The (d) Exclusions from filing EEI. The fol- filer is responsible for the truth, accu- lowing types of transactions are out- racy, and completeness of the EEI, ex- side the scope of this part and shall be cept insofar as that party can dem- excluded from EEI filing: onstrate that it reasonably relied on (1) Goods shipped under CBP bond information furnished by other respon- through the United States, Puerto sible persons participating in the Rico, or the U.S. Virgin Islands from transaction. All parties involved in ex- one foreign country or area to another port transactions, including U.S. au- where such goods do not enter the con- thorized agents, should be aware that sumption channels of the United invoices and other commercial docu- States. ments may not necessarily contain all (2) Goods shipped from the U.S. terri- the information needed to prepare the tories and goods shipped between the EEI. The parties shall ensure that all United States and these territories do information needed for reporting to the not require EEI filing. However, goods AES, including correct export licensing transiting U.S. territories to foreign information, is provided to the U.S. au- destinations require EEI filing. thorized agent for the purpose of cor- (3) Electronic transmissions and in- rectly preparing the EEI. tangible transfers. (See Subpart B of (b) Parties to the export transaction— this part for export control require- (1) Principal parties in interest. Those ments for these types of transactions.) persons in a transaction that receive (4) Goods shipped to Guantanamo the primary benefit, monetary or oth- Bay Naval Base in Cuba from the erwise, are considered principal parties United States, Puerto Rico, or the U.S. to the transaction. Generally, the prin- Virgin Islands and from Guantanamo cipal parties in interest in a trans- Bay Naval Base to the United States, action are the seller and buyer. In most Puerto Rico, or the U.S. Virgin Islands. cases, the forwarding or other agent is (See § 30.39 for filing requirements for not a principal party in interest. shipments exported by the U.S. Armed (2) USPPI. For purposes of filing EEI, Services.) the USPPI is the person or legal entity (e) Penalties. Failure of the USPPI, in the United States that receives the the authorized agent of either the primary benefit, monetary or other- USPPI or the FPPI, the exporting car- wise, from the transaction. Generally, rier, or any other person subject there- that person or entity is the U.S. seller, to to comply with any of the require- manufacturer, order party, or foreign ments of the regulations in this part entity purchasing or obtaining goods renders such persons subject to the for export. The foreign entity shall be

291

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00301 Fmt 8010 Sfmt 8010 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR § 30.3 15 CFR Subtitle B, Ch. I (1–1–13 Edition)

listed as the USPPI if it is in the its behalf. If the USPPI prepares the United States when the items are pur- EEI itself, the USPPI is responsible for chased or obtained for export. The for- the accuracy and timely transmission eign entity shall then follow the provi- of all the export information reported sions for filing the EEI specified in to the AES. § 30.3 and § 30.6 pertaining to the (ii) When the USPPI authorizes an USPPI. agent to file the EEI on its behalf, the (i) If a U.S. manufacturer sells goods USPPI is responsible for: directly to an entity in a foreign area, (A) Providing the authorized agent the U.S. manufacturer shall be listed with accurate and timely export infor- as the USPPI in the EEI. mation necessary to file the EEI. (ii) If a U.S. manufacturer sells (B) Providing the authorized agent goods, as a domestic sale, to a U.S. with a power of attorney or written au- buyer (wholesaler/distributor) and that thorization to file the EEI (see para- U.S. buyer sells the goods for export to graph (f) of this section for written au- a FPPI, the U.S. buyer (wholesaler/dis- thorization requirements for agents). tributor) shall be listed as the USPPI (C) Retaining documentation to sup- in the EEI. port the information provided to the (iii) If a U.S. order party directly ar- authorized agent for filing the EEI, as ranges for the sale and export of goods specified in § 30.10. to a foreign entity, the U.S. order (2) Authorized agent responsibilities. party shall be listed as the USPPI in The agent, when authorized by a the EEI. USPPI to prepare and file the EEI for (iv) If a customs broker is listed as an export transaction, is responsible the importer of record when entering for performing the following activities: goods into the United States for imme- (i) Accurate preparation and timely diate consumption or warehousing filing of the EEI based on information entry, the customs broker may be list- received from the USPPI and other ed as the USPPI in the EEI if the goods parties involved in the transaction. are subsequently exported without (ii) Obtaining a power of attorney or change or enhancement. written authorization to file the EEI. (v) If a foreign person is listed as the (iii) Retaining documentation to sup- importer of record when entering goods port the information reported to the into the United States for immediate AES, as specified in § 30.10. consumption or warehousing entry, the (iv) Upon request, providing the customs broker who entered the goods, USPPI with a copy of the export infor- may be listed as the USPPI in the EEI mation filed in a mutually agreed upon if the goods are subsequently exported format. without change or enhancement. (d) Filer responsibilities. Responsibil- (3) Authorized agent. The agent shall ities of USPPIs and authorized agents be authorized by the USPPI or, in the filing EEI are as follows: case of a routed export transaction, the (1) Filing complete and accurate in- agent shall be authorized by the FPPI formation (see § 30.4 for a delineation of to prepare and file the EEI. In a routed filing responsibilities of USPPIs and export transaction, the authorized authorized agents). agent can be the ‘‘exporter’’ for export (2) Filing information in a timely control purposes as defined in 15 CFR manner in accordance with the provi- 772.1 of the U.S. Department of Com- sions and requirements contained in merce EAR. However, the authorized this part. agent shall not be shown as the USPPI (3) Responding to fatal errors, warn- in the EEI unless the agent acts as a ing, verify and reminder messages, and USPPI in the export transaction as de- compliance alerts generated by the fined in paragraphs (b)(2)(iii), (iv), and AES in accordance with provisions and (v) of this section. requirements contained in this part. (c) General responsibilities of parties in (4) Providing the exporting carrier export transactions—(1) USPPI respon- with the required proof of filing cita- sibilities. (i) The USPPI can prepare and tions or exemption legends in accord- file the EEI itself, or it can authorize ance with provisions contained in this an agent to prepare and file the EEI on part.

292

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00302 Fmt 8010 Sfmt 8010 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR Census Bureau, Commerce § 30.3

(5) Promptly filing corrections or where the Department of State, the De- cancellations to EEI in accordance partment of Commerce, or other U.S. with provisions contained in § 30.9. government agency issues a license for (6) Retaining all necessary and prop- the commodities being exported, or the er documentation related to EEI trans- merchandise is being exported under a actions in accordance with provisions license exemption or license exception. contained in this part (see § 30.10 for (xii) Any information that it knows specific requirements for retaining and will affect the determination of license producing documentation for export authorization (see Subpart B of this shipments). part for additional information on li- (e) Responsibilities of parties in a rout- censing requirements). ed export transaction. The Census Bu- NOTE TO PARAGRAPH (e)(1) OF THIS SECTION: reau recognizes ‘‘routed export trans- For items in paragraph (e) (1) (ix), (x),(xi) actions’’ as a subset of export trans- and (xii) of this section, where the FPPI has actions. A routed export transaction is assumed responsibility for determining and a transaction in which the FPPI au- obtaining license authority see requirements thorizes a U.S. agent to facilitate the set forth in 15 CFR 758.3 of the EAR. export of items from the United States (2) Authorized agent responsibilities. In and to prepare and file EEI. a routed export transaction, if an au- (1) USPPI responsibilities. In a routed thorized agent is preparing and filing export transaction, the FPPI may au- the EEI on behalf of the FPPI, the au- thorize or agree to allow the USPPI to thorized agent must obtain a power of prepare and file the EEI. If the FPPI attorney or written authorization from agrees to allow the USPPI to file the the FPPI and prepare and file the EEI EEI, the FPPI must provide a written based on information obtained from authorization to the USPPI assuming the USPPI or other parties involved in the responsibility for filing. The USPPI the transaction. The authorized agent may authorize an agent to file the EEI shall be responsible for filing the EEI on its behalf. If the USPPI or its agent accurately and timely in accordance prepares and files the EEI, it shall re- with the FTR. Upon request, the au- tain documentation to support the EEI thorized agent will provide the USPPI filed. If the FPPI agrees to allow the with a copy of the power of attorney or USPPI to file EEI, the filing of the ex- written authorization from the FPPI. port transaction shall be treated as a The authorized agent shall also retain routed export transaction. If the FPPI documentation to support the EEI re- authorizes an agent to prepare and file ported through the AES. The agents the EEI, the USPPI shall retain docu- shall upon request, provide the USPPI mentation to support the information with the data elements in paragraphs provided to the agent for preparing the (e)(1)(i) through (xii) of this section as EEI as specified in § 30.10 and provide submitted through the AES. The au- the agent with the following informa- thorized agent shall provide the fol- tion to assist in preparing the EEI: lowing export information through the (i) Name and address of the USPPI. AES: (ii) USPPI’s EIN or DUNS (i) Date of export. (iii) State of origin (State). (ii) Transportation Reference Num- (iv) FTZ if applicable. ber. (v) Commercial description of com- (iii) Ultimate consignee. modities. (iv) Intermediate consignee, if appli- (vi) Origin of goods indicator: Domes- cable. tic (D) or Foreign (F). (v) Authorized agent name and ad- (vii) Schedule B or HTSUSA, Classi- dress. fication Commodity Code. (vi) EIN or DUNS of the authorized (viii) Quantities/units of measure. agent. (ix) Value. (vii) Country of ultimate destination. (x) Export Control Classification (viii) Method of transportation. Number (ECCN) or sufficient technical (ix) Carrier identification and con- information to determine the ECCN. veyance name. (xi) All licensing information nec- (x) Port of export. essary to file the EEI for commodities (xi) Foreign port of unloading.

293

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00303 Fmt 8010 Sfmt 8010 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR § 30.4 15 CFR Subtitle B, Ch. I (1–1–13 Edition)

(xii) Shipping weight. § 30.4 Electronic Export Information (xiii) ECCN. filing procedures, deadlines, and (xiv) License or license exemption in- certification statements. formation. Two electronic filing options (predeparture and postdeparture) for NOTE TO PARAGRAPH (e)(2) OF THIS SECTION: For items in paragraphs (e)(2)(xiii) and (xiv) transmitting EEI are available to the of this section, where the FPPI has assumed USPPI or authorized agent. The elec- responsibility for determining and obtaining tronic postdeparture filing takes into license authority, see requirements set forth account that complete information in 15 CFR 758.3 of the EAR. concerning export shipments may not always be available prior to expor- (f) Authorizing an agent. In a power of tation and accommodates these cir- attorney or other written authoriza- cumstances by providing, when author- tion, authority is conferred upon an ized, for filing of EEI after departure. agent to perform certain specified acts For example, for exports of seasonal or kinds of acts on behalf of a principal and agricultural commodities, only es- (see 15 CFR 758.1(h) of the EAR). In timated quantities, values, and con- cases where an authorized agent is fil- signees may be known prior to expor- ing EEI to the AES, the agent shall ob- tation. The procedures for obtaining tain a power of attorney or written au- certification as an AES filer and for ap- thorization from a principal party in plying for authorization to file on a interest to file the information on its postdeparture basis are described in behalf. A power of attorney or written § 30.5. authorization should specify the re- (a) EEI transmitted predeparture. The sponsibilities of the parties with par- EEI shall always be transmitted prior ticularity and should state that the to departure for the following types of agent has authority to act on behalf of shipments: a principal party in interest as its true (1) Used self-propelled vehicles as de- and lawful agent for purposes of cre- fined in 19 CFR 192.1 of U.S. Customs ating and filing EEI in accordance with and Border Protection regulations. the laws and regulations of the United (2) Essential and precursor chemicals States. In routed export transactions requiring a permit from the DEA; the USPPI is not required to provide (3) Shipments defined as ‘‘sensitive’’ an agent of the FPPI with a power of by Executive Order; attorney or written authorization. (4) Shipments where a U.S. govern- NOTE TO § 30.3: The EAR defines the ‘‘ex- ment agency requires predeparture fil- porter’’ as the person in the United States ing; who has the authority of a principal party in interest to determine and control the send- (5) Shipments defined as ‘‘routed ex- ing of items out of the United States (see 15 port transactions’’ (see § 30.3(e)); CFR 772 of the EAR). For statistical purposes (6) Shipments to countries where ‘‘exporter’’ is not defined in the FTR. In- complete outbound manifests are re- stead, however, the USPPI is defined in the quired prior to clearing vessels or air- FTR. craft for export (see U.S. Customs and For purposes of licensing responsibility Border Protection regulations 19 CFR 4.75(c) and 122.74(b)(2) for a listing of under the EAR, the U.S. agent of the these countries); FPPI may be the ‘‘exporter’’ or appli- (7) Items identified on the USML of cant on the license in certain routed the ITAR (22 CFR 121); export transactions (see 15 CFR 758.3 of (8) Exports that require a license the EAR). Therefore, due to the dif- from the BIS, unless the BIS has ap- ferences in export reporting require- proved postdeparture filing privileges ments among Federal agencies, con- for the USPPI; formity of documentation is not re- (9) Shipments of rough diamonds quired in the FTR. classified under HS subheadings 7102.10, [73 FR 31555, June 2, 2008, as amended at 74 7102.21, and 7102.31 and exported (reex- FR 38916, Aug. 5, 2009] ported) in accordance with the Kim- berley Process; and

294

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00304 Fmt 8010 Sfmt 8010 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR Census Bureau, Commerce § 30.5

(10) Shipments for which the USPPI (See § 30.46 for filing deadlines for ship- has not been approved for ments sent by pipeline.) postdeparture filing. (vi) For all other modes, the USPPI (b) Filing deadlines for EEI transmitted or the authorized agent shall file the predeparture. The USPPI or the author- required EEI no later than two (2) ized agent shall file the required EEI hours prior to exportation. and have received the AES ITN no (3) For non-USML shipments when later than the time period specified as the AES is unavailable, use the fol- follows: lowing instructions: (1) For USML shipments, refer to the (i) If the participant’s AES is un- ITAR (22 CFR 120 through 130) for spe- available, the filer must delay the ex- cific requirements concerning port of the goods or find an alternative predeparture filing time frames. In ad- filing method; dition, if a filer is unable to acquire an (ii) If AES or AESDirect is unavail- ITN because the AES is not operating, able, the goods may be exported and the filer shall not export until the AES the filer must: is operating and an ITN is acquired. (A) Provide the appropriate down- (2) For non-USML shipments, file the time filing citation as described in EEI and provide the ITN as follows: § 30.7(b) and Appendix D; and (B) Report the EEI at the first oppor- (i) For vessel cargo, the USPPI or the tunity AES is available. authorized agent shall file the EEI re- (c) EEI transmitted postdeparture. quired by § 30.6 and provide the filing Postdeparture filing is only available citation or exemption legend to the ex- for approved USPPIs and provides for porting carrier twenty-four hours prior the electronic filing of the data ele- to loading cargo on the vessel at the ments required by § 30.6 no later than U.S. port where the cargo is laden. ten calendar days from the date of ex- (ii) For air cargo, including cargo portation. For USPPIs approved for being transported by Air Express postdeparture filing, all shipments Couriers, the USPPI or the authorized (other than those for which agent shall file the EEI required by predeparture filing is specifically re- § 30.6 and provide the filing citation or quired), by all methods of transpor- exemption legend to the exporting car- tation, may be exported with the filing rier no later than two (2) hours prior to of EEI made postdeparture. Certified the scheduled departure time of the AES authorized agents or service cen- aircraft. ters may transmit information (iii) For truck cargo, including cargo postdeparture on behalf of USPPIs ap- departing by Express Consignment proved for postdeparture filing, or the Couriers, the USPPI or the authorized approved USPPI may transmit the agent shall file the EEI required by data postdeparture itself. However, au- § 30.6 and provide the filing citation or thorized agents or service centers will exemption legend to the exporting car- not be approved for postdeparture fil- rier no later than one (1) hour prior to ing. the arrival of the truck at the United (d) Proof of filing citation and exemp- States border to go foreign. tion and exclusion legends. The USPPI (iv) For rail cargo, the USPPI or the or the authorized agent shall provide authorized agent shall file the EEI re- the exporting carrier with the proof of quired by § 30.6 and provide the filing filing citation and exemption and ex- citation or exemption legend to the ex- clusion legends as described in § 30.7. porting carrier no later than two (2) hours prior to the time the train ar- § 30.5 Electronic Export Information rives at the U.S. border to go foreign. filing application and certification (v) For mail and cargo shipped by processes and standards. other methods, except pipeline, the Prior to filing EEI, the USPPI or the USPPI or the authorized agent shall authorized agent must be certified to file the EEI required by § 30.6 and pro- file through the AES. A service center vide the filing citation or exemption shall be certified to transmit electroni- legend to the exporting carrier no later cally to the AES. The USPPI, author- than two (2) hours prior to exportation. ized agent, or service center may use a

295

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00305 Fmt 8010 Sfmt 8010 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR § 30.5 15 CFR Subtitle B, Ch. I (1–1–13 Edition)

software package designed by a cer- ized agent shall successfully transmit tified vendor to file EEI through the the AES certification test. CBP’s and/ AES. Once an authorized agent has or Census Bureau’s client representa- successfully completed the certifi- tives provide assistance during certifi- cation process, any USPPI using that cation testing. These representatives agent does not have to be certified. The make the sole determination as to certified authorized agent shall have a whether or not the USPPI or author- properly executed power of attorney or ized agent qualifies for certification. written authorization from the USPPI Upon successful completion of certifi- or FPPI, and be physically located in cation testing, the USPPI’s or author- the United States to file EEI through ized agent’s status is moved from test- the AES. The USPPI or authorized ing mode to operational status. The agent that utilizes a certified software AES filers may be required to repeat vendor or service center shall complete the certification testing process at any certification testing. Service centers time. The Census Bureau will provide may only transmit export information; the AES filer with a certification no- they may not prepare and file export tice after the USPPI or authorized information unless they have author- agent has been approved for oper- ization from the USPPI in the form of ational status. The certification notice a power of attorney or written author- will include: ization, thus making them authorized (i) The date that filers may begin agents. The USPPI seeking approval transmitting data; for postdeparture filing privileges shall (ii) Reporting instructions; and be approved before they or their au- (iii) Examples of the required AES thorized agent may file on a proof of filing citations, postdeparture postdeparture basis. filing citations, AES downtime filing (a) AES application process—(1) AES citation, and exemption legends. Participation Application. The USPPI or (2) AESDirect certification process. To authorized agent who chooses to file become certified for AESDirect, filers through the AES and seek approval for shall demonstrate knowledge of this postdeparture filing privileges, must part and the ability to successfully submit a complete on-line LOI at http:// transmit EEI. Upon successful comple- www.census.gov/aes. tion of the certification testing, notifi- (2) AESDirect registration. The USPPI cation by e-mail will be sent to the ac- or authorized agent who chooses to file count administrator when an account through AESDirect shall also complete is fully activated for filing via the online AESDirect registration form AESDirect. Certified filers should print at http://www.aesdirect.gov. After sub- and retain the page congratulating the mitting the registration, an AESDirect filer on passing the test. filing account is created for the filing (c) Postdeparture filing approval proc- company. The person designated as the ess. The USPPI may apply for account administrator is responsible postdeparture filing privileges by sub- for activating the account and com- mitting a postdeparture filing applica- pleting the certification process as dis- tion at http://www.census.gov/aes. An cussed in paragraph (b)(2) of this sec- authorized agent may not apply on be- tion. half of a USPPI. The Census Bureau (b) Certification process—(1) AES cer- will distribute the LOI to CBP and the tification process. The USPPI or author- other federal government partnership ized agent shall perform an initial two- agencies participating in the AES part communication test to ascertain postdeparture filing review process. whether its system is capable of both Failure to meet the standards of the transmitting data to, and receiving Census Bureau, CBP or any of the part- data from, the AES. The USPPI or au- nership agencies is reason for denial of thorized agent shall demonstrate spe- the AES applicant for postdeparture cific system application capabilities. filing privileges. Each partnership The capability to correctly handle agency will develop its own internal these system applications is the pre- postdeparture filing acceptance stand- requisite to certification for participa- ards, and each agency will notify the tion in the AES. The USPPI or author- Census Bureau of the USPPI’s success

296

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00306 Fmt 8010 Sfmt 8010 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR Census Bureau, Commerce § 30.5

or failure to meet that agency’s accept- regarding the specific reason(s) for ance standards. Any partnership agen- nonselection and for their appeal pro- cy may require additional information cedures. A USPPI denied postdeparture from USPPIs that are applying for filing status by the Census Bureau will postdeparture filing. The Census Bu- be provided with a specific reason for reau will notify the USPPI of the deci- nonselection and a Census Bureau sion to either deny or approve their ap- point of contact in an electronic notifi- plication for postdeparture filing privi- cation letter. A USPPI may appeal the leges within thirty (30) calendar days Census Bureau’s nonselection decision of receipt of the postdeparture filing by following the appeal procedure and application by the Census Bureau, or if reapplication procedure provided in a decision cannot be reached at that paragraph (c)(5) of this section. time, the USPPI will be notified of an (3) Revocation of postdeparture filing extension for a final decision as soon as privileges—(i) Revocation by the Census possible after the thirty (30) calendar Bureau. The Census Bureau may revoke days. postdeparture filing privileges of an ap- (1) Grounds for denial of postdeparture proved USPPI for the following rea- filing status. The Census Bureau may sons: deny a USPPI’s application for (A) The USPPI’s volume of EEI re- postdeparture filing privileges for any ported in the AES does not warrant of the following reasons: continued participation in (i) There is no history of filing for postdeparture filing; the USPPI through the AES. (B) The USPPI or its authorized (ii) The USPPI’s volume of EEI re- agent has failed to submit EEI through ported through the AES does not war- the AES in a timely and accurate man- rant participation in postdeparture fil- ner; ing. (C) The USPPI has made or caused to (iii) The USPPI or its authorized be made in the LOI a false or mis- agent has failed to submit EEI through leading statement or omission with re- the AES in a timely and accurate man- spect to material fact; ner. (D) The USPPI submitting the LOI (iv) The USPPI has a history of non- has been indicted, convicted, or is cur- compliance with the Census Bureau ex- rently under investigation for a felony port regulations contained in this part. involving a violation of federal export (v) The USPPI has been indicted, laws or regulations and the Census Bu- convicted, or is currently under inves- reau has evidence of probable cause tigation for a felony involving a viola- supporting such violation, or the AES tion of federal export laws or regula- applicant is in violation of export rules tions and the Census Bureau has evi- and regulations contained in this part; dence of probable cause supporting (E) The USPPI has failed to comply such violation, or the USPPI is in vio- with existing export regulations or has lation of Census Bureau export regula- failed to pay any outstanding penalties tions contained in this part. assessed in connection with such non- (vi) The USPPI has made or caused compliance; or to be made in the LOI a false or mis- (F) The USPPI would pose a signifi- leading statement or omission with re- cant threat to national security inter- spect to any material fact. ests such that its continued participa- (vii) The USPPI would pose a signifi- tion in postdeparture filing should be cant threat to national security inter- terminated. ests such that its participation in (ii) Revocation by other agencies. Any postdeparture filing should be denied. of the other agencies may revoke a (viii) The USPPI has multiple viola- USPPI’s postdeparture filing privileges tions of either the EAR (15 CFR 730 with respect to transactions subject to through 774) or the ITAR (22 CFR 120 the jurisdiction of that agency. When through 130) within the last three (3) doing so, the agency shall notify both years. the Census Bureau and the USPPI (2) Notice of denial. A USPPI denied whose authorization is being revoked. postdeparture filing privileges by other (4) Notice of revocation. Approved agencies shall contact those agencies postdeparture filing USPPIs whose

297

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00307 Fmt 8010 Sfmt 8010 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR § 30.5 15 CFR Subtitle B, Ch. I (1–1–13 Edition)

postdeparture filing privileges have regulations in this part, and renders been revoked by other agencies shall such principal party or the authorized contact those agencies for their spe- agent subject to the penalties provided cific revocation and appeal procedures. for in Subpart H of this part. In the When the Census Bureau makes a de- case of AESDirect, when submitting a termination to revoke an approved registration form to AESDirect, the USPPI’s postdeparture filing privi- registering company is certifying that leges, the USPPI will be notified elec- it will be in compliance with all appli- tronically of the reason(s) for the deci- cable export rules and regulations. sion. In most cases, the revocation This includes complying with the fol- shall become effective when the USPPI lowing security requirements: has either exhausted all appeal proce- (1) AESDirect user names, adminis- dures, or thirty (30) calendar days after trator codes, and passwords are to be receipt of the notice of revocation, if kept secure by the account adminis- no appeal is filed. However, in cases trator and not disclosed to any unau- judged to affect national security, rev- thorized user or any persons outside ocations shall become effective imme- the registered company. diately upon notification. (2) Registered companies are respon- (5) Appeal procedure. Any USPPI sible for those persons having access to whose request for postdeparture filing the user name, administrator code, and privileges has been denied by the Cen- password. If an employee with direct sus Bureau or whose postdeparture fil- access to the user name, administrator ing privileges have been revoked by the code, and password leaves the company Census Bureau may appeal the decision or otherwise is no longer an authorized by filing an appeal within thirty (30) user, the company shall immediately calendar days of receipt of the notice of change the password and administrator decision. Appeals should be addressed code in the system to ensure the integ- to the Chief, Foreign Trade Division, rity and confidentiality of Title 13 U.S. Census Bureau, Washington, DC data. 20233–6700. The Census Bureau will (3) Antivirus software shall be in- issue a written decision to the USPPI stalled and set to run automatically on within thirty (30) calendar days from all computers that access AESDirect. the date of receipt of the appeal by the All AESDirect registered companies Census Bureau. If a written decision is will maintain subscriptions with their not issued within thirty (30) calendar antivirus software vendor to keep days, the Census Bureau will forward antivirus lists current. Registered com- to the USPPI a notice of extension panies are responsible for performing within that time period. The USPPI full scans of these systems on a regular will be provided with the reasons for basis, but not less than every thirty the extension of this time period and (30) days, to ensure the elimination of an expected date of decision. The any virus contamination. If the reg- USPPIs who have had their istered company’s computer system is postdeparture filing status denied or infected with a virus, the company revoked may not reapply for this privi- shall contact the Census Bureau’s For- lege for one year following written no- eign Trade Division Computer Security tification of the denial or revocation. Officer and refrain from using (d) Electronic Export Information filing AESDirect until it is virus free. Failure standards. The data elements required to comply with these requirements will for filing EEI are contained in § 30.6. result in immediate loss of privilege to When filing EEI, the USPPI or author- use AESDirect until the registered com- ized agent shall comply with the data pany can establish to the satisfaction transmission procedures determined by of the Census Bureau’s Foreign Trade CBP and the Census Bureau and shall Division Computer Security Officer agree to stay in complete compliance that the company’s computer systems with all export rules and regulations in accessing AESDirect are virus free. this part. Failure of the USPPI or the (e) Monitoring the filing of EEI. The authorized agent of either the USPPI USPPI’s or the authorized agent’s AES or FPPI to comply with these require- filings will be monitored and reviewed ments constitutes a violation of the for quality, timeliness, and coverage.

298

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00308 Fmt 8010 Sfmt 8010 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR Census Bureau, Commerce § 30.6

The Census Bureau will provide per- loading onto a vessel for export to a formance reports to USPPIs and au- foreign country shall show the address thorized agents who file EEI. The Cen- of the warehouse in Georgia. For ship- sus Bureau will take appropriate ac- ments with multiple origins, report the tion to correct specific situations address from which the commodity where the USPPI or authorized agent with the greatest value begins its ex- fails to maintain acceptable levels of port journey. If such information is not data quality, timeliness, or coverage. known, report the address in state in (f) Support. The Census Bureau pro- which the commodities are consoli- vides online services that allow the dated for export. USPPI and the authorized agent to (iii) USPPI identification number. The seek assistance pertaining to AES and USPPI shall report its own IRS EIN in this part. For AES assistance, filers the USPPI field of the EEI. If the may send an e-mail to USPPI has only one EIN, report that [email protected] and for FTR as- EIN. If the USPPI has more than one sistance, filers may send an e-mail to EIN, report the EIN that the USPPI [email protected]. AESDirect is uses to report employee wages and supported by a help desk available withholdings, and not the EIN that is twelve (12) hours a day from 7 a.m. to used to report only company earnings 7 p.m. EST, seven (7) days a week. Fil- or receipts. If the USPPI does not have ers can obtain contact information an EIN, the USPPI must obtain an EIN from the Web site http:// for reporting to the AES. Use of an- www.aesdirect.gov. other company’s or individual’s EIN or other identification number is prohib- § 30.6 Electronic Export Information ited. The appropriate Party type code data elements. shall be reported through the AES. The information specified in this sec- When a foreign entity is in the United tion is required for shipments trans- States when the items are purchased or mitted to the AES. The data elements obtained for export, the foreign entity identified as ‘‘mandatory’’ shall be re- is the USPPI for filing purposes. In ported for each transaction. The data such situations, the foreign entity elements identified as ‘‘conditional’’ shall report a DUNS, border crossing shall be reported if they are required number, passport number, or any num- for or apply to the specific shipment. ber assigned by CBP. The data elements identified as ‘‘op- (iv) Contact information. Show contact tional’’ may be reported at the discre- name and telephone number. tion of the USPPI or the authorized (2) Date of export. The date of export agent. is the date when goods are scheduled to (a) Mandatory data elements are as leave the port of export on the export- follows: ing carrier that is taking the goods out (1) USPPI and USPPI identification. of the United States. The name, address, identification, and (3) Ultimate consignee. The ultimate contact information of the USPPI shall consignee is the person, party, or des- be reported to the AES as follows: ignee that is located abroad and actu- (i) Name of the USPPI. In all export ally receives the export shipment. The transactions, the name listed in the name and address of the ultimate con- USPPI field in the EEI shall be the signee, whether by sale in the United USPPI in the transaction. (See § 30.1 States or abroad or by consignment, for the definition of the USPPI and shall be reported in the EEI. The ulti- § 30.3 for details on the USPPI’s report- mate consignee as known at the time ing responsibilities.) of export shall be reported. For ship- (ii) Address of the USPPI. In all EEI ments requiring an export license, the filings, the USPPI shall report the ad- ultimate consignee shall be the person dress or location (no post office box so designated on the export license or number) from which the goods actually authorized to be the ultimate con- begin the journey to the port of export. signee under the applicable license ex- For example, the EEI covering goods emption in conformance with the EAR laden aboard a truck at a warehouse in or ITAR, as applicable. For goods sold Georgia for transport to Florida for en route, report the appropriate ‘‘To be

299

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00309 Fmt 8010 Sfmt 8010 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR § 30.6 15 CFR Subtitle B, Ch. I (1–1–13 Edition)

Sold En Route’’ indicator in the EEI, lands, or Singapore, for example, spe- and report corrected information as cial care should be exercised before re- soon as it is known (see § 30.9 for proce- porting these countries as the ultimate dures on correcting AES information). destination, since these are countries (4) U.S. state of origin. The U.S. state through which goods from the United of origin is the 2-character postal code States are frequently transshipped. If for the state in which the goods begin the USPPI does not know the ultimate their journey to the port of export. For destination of the goods, the country of example, a shipment covering goods destination to be shown is the last laden aboard a truck at a warehouse in country, as known to the USPPI at the Georgia for transport to Florida for time of shipment from the United loading onto a vessel for export to a States, to which the goods are to be foreign country shall show Georgia as shipped in their present form. (For in- the state of origin. The U.S. state of structions as to the reporting of coun- origin may be different from the U.S. try of destination for vessels sold or state where the goods were produced, transferred from the United States to mined, or grown. For shipments of foreign ownership, see § 30.26.) multi-state origin, reported as a single (iii) For goods to be sold en route, re- shipment, report the U.S. state of the port the country of the first port of commodity with the greatest value. If call and then report corrected informa- such information is not known, report tion as soon as it is known. the state in which the commodities are (6) Method of transportation. The consolidated for export. method of transportation is the means (5) Country of ultimate destination. The by which the goods are exported from country of ultimate destination is the the United States. country in which the goods are to be (i) Conveyances exported under their consumed or further processed or man- own power. The mode of transportation ufactured. The country of ultimate des- for aircraft, vessels, or locomotives tination is the code issued by the ISO. (railroad stock) transferring ownership (i) Shipments under an export license or or title and moving out of the United license exemption. For shipments under States under its own power is the mode an export license or license exemption of transportation by which the convey- issued by the Department of State, ance moves out of the United States. DDTC, or the Department of Com- (ii) Exports through Canada, Mexico, or merce, BIS, the country of ultimate other foreign countries for transshipment destination shall conform to the coun- to another destination. For trans- try of ultimate destination as shown shipments through Canada, Mexico, or on the license. In the case of a Depart- another foreign country, the mode of ment of State license, the country of transportation is the mode of the car- ultimate destination is the country rier transporting the goods out of the specified with respect to the end user. United States. For goods licensed by other govern- (7) Conveyance name/carrier name. The ment agencies refer to their specific re- conveyance name/carrier name is the quirements concerning providing coun- name of the conveyance/carrier trans- try of destination information. porting the goods out of the United (ii) Shipments not moving under an ex- States as known at the time of expor- port license. The country of ultimate tation. For exports by sea, the convey- destination is the country known to ance name is the vessel name. For ex- the USPPI at the time of exportation. ports by air, rail, or truck, the carrier The country to which the goods are name is that which corresponds to the being shipped is not the country of ul- carrier identification as specified in timate destination if the USPPI has paragraph (a)(8) of this section. Terms, knowledge at the time the goods leave such as airplane, train, rail, truck, ves- the United States that they are in- sel, barge, or international footbridge tended for reexport or transshipment are not acceptable. For shipments by in their present form to another known other methods of transportation, in- country. For goods shipped to Canada, cluding mail, fixed methods (pipeline), Mexico, Panama, Hong Kong, Belgium, the conveyance/carrier name is not re- United Arab Emirates, The Nether- quired.

300

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00310 Fmt 8010 Sfmt 8010 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR Census Bureau, Commerce § 30.6

(8) Carrier identification. The carrier tion where the goods are loaded on the identification specifies the carrier that carrier that is taking the goods out of transports the goods out of the United the United States. States. The carrier transporting the (10) Related party indicator. Used to goods to the port of export and the car- indicate when a transaction involving rier transporting the goods out of the trade between a USPPI and an ulti- United States may be different. For mate consignee where either party transshipments through Canada, Mex- owns directly or indirectly 10 percent ico, or another foreign country, the or more of the other party. carrier identification is that of the car- (11) Domestic or foreign indicator. Indi- rier that transports the goods out of cates if the goods exported are of do- the United States. The carrier identi- mestic or foreign origin. Report foreign fication is the Standard Carrier Alpha goods separately from goods of domes- Code (SCAC) for vessel, rail, and truck tic production even if the commodity shipments or the International Air Transport Association (IATA) code for classification number is the same. air shipments. For other valid method (i) Domestic. Exports of domestic of transportation, including mail, fixed goods include: Those commodities that modes (pipeline), and passenger, hand are grown, produced, or manufactured carried the carrier identification is not (including commodities incorporating required. The National Motor Freight foreign components) in the United Traffic Association (NMFTA) issues States, including goods exported from and maintains the SCAC. (See http:// U.S. FTZs, Puerto Rico, or the U.S. www.nmfta.org.) The IATA issues and Virgin Islands; and those articles of maintains the IATA codes. (See http:// foreign origin that have been enhanced www.census.gov/trade for a list of IATA in value or changed from the form in codes.) which they were originally imported by (9) Port of export. The port of export is further manufacture or processing in the seaport or airport where the goods the United States, including goods ex- are loaded on the exporting carrier ported from U.S. FTZs, Puerto Rico, or that is taking the goods out of the the U.S. Virgin Islands. United States, or the port where ex- (ii) Foreign. Exports of foreign goods ports by overland transportation cross include those commodities that are the U.S. border into a foreign country. grown, produced, or manufactured in The port of export shall be reported in foreign countries that entered the terms of Schedule D, ‘‘Classification of United States including goods admit- CBP Districts and Ports.’’ Use port ted to U.S. FTZs as imports and that, code 8000 for shipments by mail. at the time of exportation, have under- (i) Vessel and air exports involving sev- gone no change in form or condition or eral ports of exportation. For goods load- enhancement in value by further man- ed aboard a carrier in a port of lading, ufacture in the United States, in U.S. where the carrier stops at several ports before clearing to the foreign country, FTZs, in Puerto Rico, or in the U.S. the port of export is the first port Virgin Islands. where the goods were loaded on the ex- (12) Commodity classification number. porting carrier. For goods off-loaded Report the 10-digit commodity classi- from the original conveyance to an- fication number as provided in Sched- other conveyance (even if the aircraft ule B, Statistical Classification of Domes- or vessel belongs to the same carrier) tic and Foreign Commodities Exported at any of the ports, the port where the from the United States in the EEI. The goods were loaded on the last convey- 10-digit commodity classification num- ance before going foreign is the port of ber provided in the Harmonized Tariff export. Schedule of the United States (ii) Exports through Canada, Mexico, or (HTSUSA) may be reported in lieu of other foreign countries for transshipment the Schedule B commodity classifica- to another destination. For trans- tion number except as noted in the shipments through Canada, Mexico, or headnotes of the HTSUSA. The another foreign country to a third HTSUSA is a global classification sys- country, the port of export is the loca- tem used to describe most world trade

301

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00311 Fmt 8010 Sfmt 8010 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR § 30.6 15 CFR Subtitle B, Ch. I (1–1–13 Edition)

in goods. Furnishing the correct Sched- fish or meats. For a few commodities ule B or HTSUSA number does not re- where ‘‘content grams’’ or ‘‘content lieve the USPPI or the authorized kilograms’’ or some similar weight agent of furnishing a complete and ac- unit is specified in Schedule B or curate commodity description. When HTSUSA, the quantity may be less reporting the Schedule B number or than the net weight. The quantity is HTSUSA number, the decimals shall be reported as a whole unit only, without omitted. (See http://www.census.gov/ commas or decimals. If the quantity trade for a list of Schedule B classifica- contains a fraction of a whole unit, tion numbers.) round fractions of one-half unit or (13) Commodity description. Report the more up and fractions of less than one- description of the goods shipped in half unit down to the nearest whole English in sufficient detail to permit unit. (For example, where the unit for verification of the Schedule B or a given commodity is in terms of HTSUSA number. Clearly and fully ‘‘tons,’’ a net quantity of 8.4 tons would state the name of the commodity in be reported as 8 for the quantity. If the terms that can be identified or associ- quantity is less than one unit, the ated with the language used in Sched- quantity is 1.) ule B or HTSUSA (usually the commer- (16) Shipping weight. The shipping cial name of the commodity), and any weight is the weight in kilograms, and all characteristics of the com- which includes the weight of the com- modity that distinguish it from com- modity, as well as the weight of normal modities of the same name covered by packaging, such as boxes, crates, bar- other Schedule B or HTSUSA classi- rels, etc. The shipping weight is re- fications. If the shipment requires a li- quired for exports by air, vessel, rail, cense, the description reported in the and truck, and required for exports of EEI shall conform with that shown on household goods transported by all the license. If the shipment qualifies methods. For exports (except house- for a license exemption, the description hold goods) by mail, fixed transport shall be sufficient to ensure compli- (pipeline), or other valid methods, the ance with that license exemption. How- shipping weight is not required and ever, where the description on the li- shall be reported as zero. For contain- cense does not state all of the charac- erized cargo in lift vans, cargo vans, or teristics of the commodity that are similar substantial outer containers, needed to completely verify the com- the weight of such containers is not in- modity classification number, as de- cluded in the shipping weight. If the scribed in this paragraph, report the shipping weight is not available for missing characteristics, as well as the each Schedule B or HTSUSA item in- description shown on the license, in the cluded in one or more containers, the commodity description field of the approximate shipping weight for each EEI. item is estimated and reported. The (14) Primary unit of measure. The unit total of these estimated weights equals of measure shall correspond to the pri- the actual shipping weight of the en- mary quantity as prescribed in the tire container or containers. Schedule B or HTSUSA. If neither (17) Value. In general, the value to be Schedule B nor HTSUSA specifies a reported in the EEI shall be the value unit of measure for the item, an ‘‘X’’ is of the goods at the U.S. port of export. required in the unit of measure field. The value shall be the selling price as (15) Primary quantity. The quantity is defined in this paragraph (or the cost if the total number of units that cor- the goods are not sold), including in- respond to the first unit of measure land or domestic freight, insurance, specified in the Schedule B or and other charges to the U.S. seaport, HTSUSA. Where the unit of measure is airport, or land border port of export. in terms of weight (grams, kilograms, Cost of goods is the sum of expenses in- metric tons, etc.), the quantity reflects curred in the USPPI acquisition or pro- the net weight, not including the duction of the goods. Report the value weight of barrels, boxes, or other bulky to the nearest dollar; omit cents. Frac- coverings, and not including salt or tions of a dollar less than 50 cents pickle in the case of salted or pickled should be ignored, and fractions of 50

302

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00312 Fmt 8010 Sfmt 8010 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR Census Bureau, Commerce § 30.6

cents or more should be rounded up to to arrive at the value of the goods at the next dollar. the U.S. port of export. (i) Selling price. The selling price for (iii) Exclusions. Exclude the following goods exported pursuant to sale, and from the selling price of goods ex- the value to be reported in the EEI, is ported. the USPPI’s price to the FPPI (the for- (A) Commissions to be paid by the eign buyer). Deduct from the selling USPPI to its agent abroad or commis- price any unconditional discounts, but sions to be deducted from the selling do not deduct discounts that are condi- price by the USPPI’s agent abroad. tional upon a particular act or per- (B) The cost of loading goods on the formance on the part of the foreign exporting carrier at the port of export. buyer. For goods shipped on consign- (C) Freight, insurance, and any other ment without a sale actually having charges or transportation costs beyond been made at the time of export, the the port of export. selling price to be reported in the EEI (D) Any duties, taxes, or other assess- is the market value at the time of ex- ments imposed by foreign countries. port at the U.S. port. (iv) For definitions of the value to be (ii) Adjustments. When necessary, reported in the EEI for special types of make the following adjustments to ob- transactions where goods are not being tain the value. exported pursuant to commercial sales, or where subsidies, government financ- (A) Where goods are sold at a point ing or participation, or other unusual other than the port of export, freight, conditions are involved, see Subpart C insurance, and other charges required of this part. in moving the goods from their U.S. (18) Export information code. A code point of origin to the exporting carrier that identifies the type of export ship- at the port of export or border crossing ment or condition of the exported point shall be added to the selling price items (e.g., goods donated for relief or (as defined in paragraph (a)(17)(i) of charity, impelled shipments, shipments this section) for purposes of reporting under the Foreign Military Sales pro- the value in the EEI. gram, household goods, and all other (B) Where the actual amount of shipments). (For the list of the codes freight, insurance, and other domestic see Appendix B.) costs is not available, an estimate of (19) Shipment reference number. A the domestic costs shall be made and unique identification number assigned added to the cost of the goods or sell- by the filer that allows for the identi- ing price to derive the value to be re- fication of the shipment in the filer’s ported in the EEI. Add the estimated system. The number must be unique domestic costs to the cost or selling for five years. price of the goods to obtain the value (20) Line number. A number that iden- to be reported in the EEI. tifies the specific commodity line item (C) Where goods are sold at a ‘‘deliv- within a shipment. ered’’ price to the foreign destination, (21) Hazardous material indicator. An the cost of loading the goods on the ex- indicator that identifies whether the porting carrier, if any, and freight, in- shipment is hazardous as defined by surance, and other costs beyond the the Department of Transportation. port of export shall be subtracted from (22) Inbond code. The code indicating the selling price for purposes of report- whether the shipment is being trans- ing value in the EEI. If the actual ported under bond. amount of such costs is not available, (23) License code/license exemption code. an estimate of the costs should be sub- The code that identifies the com- tracted from the selling price. modity as having a federal government (D) Costs added to or subtracted from agency requirement for a license, per- the selling price in accordance with the mit, license exception or exemption or instructions in this paragraph that no license is required. (a)(17)(ii) should not be shown sepa- (24) Routed export transaction indi- rately in the EEI, but the value re- cator. An indicator that identifies that ported should be the value after mak- the shipment is a routed export trans- ing such adjustments, where required, action as defined in § 30.3.

303

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00313 Fmt 8010 Sfmt 8010 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR § 30.6 15 CFR Subtitle B, Ch. I (1–1–13 Edition)

(25) Shipment filing action request indi- delivery of the export shipment to the cator. An indicator that allows the filer ultimate consignee. The intermediate to add, change, replace, or cancel an consignee is the person named as such export shipment transaction. on the export license or authorized to (26) Line item filing action request indi- act as such under the applicable gen- cator. An indicator that allows the filer eral license and in conformity with the to add, change, or delete a commodity EAR. line within an export shipment trans- (3) FTZ identifier. If goods are re- action. moved from the FTZ and not entered (27) Filing option indicator. An indi- for consumption, report the FTZ iden- cator of whether the filer is reporting tifier. This is the unique identifier as- export information predeparture or signed by the Foreign Trade Zone postdeparture. See § 30.4 for more infor- Board that identifies the FTZ, subzone mation on EEI filing options. or site from which goods are withdrawn (b) Conditional data elements are as for export. follows: (4) Foreign port of unlading. The for- (1) Authorized agent and authorized eign port of unlading is the foreign agent identification. If an authorized port in the country where the goods agent is used to prepare and file the are removed from the exporting car- EEI, the following information shall be rier. The foreign port does not have to provided to the AES. be located in the country of destina- (i) U.S. Authorized agent’s identifica- tion. For exports by sea to foreign tion number. Report the U.S. authorized countries, not including Puerto Rico, agent’s own EIN or DUNS for the first the foreign port of unlading is the code shipment and for each subsequent ship- in terms of Schedule K, Classification of ment. Use of another company’s or in- Foreign Ports by Geographic Trade Area dividual’s EIN or other identification and Country. For exports by sea or air number is prohibited. The party ID between the United States and Puerto type of agent identification (E=EIN, Rico, the foreign port of unlading is D=DUNS) shall be indicated. the code in terms of Schedule D, Classi- (ii) Name of the authorized agent. Re- fication of CBP Districts and Ports. The port the name of the authorized agent. foreign port of unlading is not required The authorized agent is that person or for exports by other modes of transpor- entity in the United States that is au- tation, including rail, truck, mail, thorized by the USPPI or the FPPI to fixed (pipeline), or air (unless between prepare and file the EEI or the person the U.S. and Puerto Rico). or entity, if any, named on the export (5) Export license number/CFR citation/ license. (See § 30.3 for details on the KPC number. License number, permit specific reporting responsibilities of number, citation, or authorization authorized agents and Subpart B of number assigned by the Department of this part for export control licensing Commerce, BIS; Department of State, requirements for authorized agents.) DDTC; Department of the Treasury, (iii) Address of the authorized agent. OFAC; Department of Justice, DEA; Report the address or location (no post Nuclear Regulatory Commission; or office box number) of the authorized any other federal government agency. agent. The authorized agent’s address (6) Export Control Classification Num- shall be reported with the initial ship- ber (ECCN). The number used to iden- ment. Subsequent shipments may be tify items on the CCL, Supplement No. identified by the agent’s identification 1 to Part 774 of the EAR. The ECCN number. consists of a set of digits and a letter. (iv) Contact information. Report the Items that are not classified under an contact name and telephone number. ECCN are designated ‘‘EAR99’’. (2) Intermediate consignee. The name (7) Secondary unit of measure. The and address of the intermediate con- unit of measure that corresponds to signee (if any) shall be reported. The the secondary quantity as prescribed in intermediate consignee acts in a for- the Schedule B or HTSUSA. If neither eign country as an agent for the prin- Schedule B nor HTSUSA specifies a cipal party in interest or the ultimate secondary unit of measure for the item, consignee for the purpose of effecting the unit of measure is not required.

304

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00314 Fmt 8010 Sfmt 8010 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR Census Bureau, Commerce § 30.6

(8) Secondary quantity. The total ported. The TRN is required for all ves- number of units that correspond to the sel shipments. secondary unit of measure, if any, spec- (ii) Air shipments. Report the master ified in the Schedule B or HTSUSA. air waybill number for air shipments. See the definition of primary quantity The air waybill number is the reserva- for specific instructions on reporting tion number assigned by the carrier to the quantity as a weight and whole hold space on the aircraft for cargo unit, rounding fractions. being exported. The TRN is optional (9) Vehicle Identification Number (VIN)/ for air shipments. Product ID. The identification number (iii) Rail shipments. Report the bill of found on the reported used vehicle. For lading (BL) number for rail shipments. used self-propelled vehicles that do not The BL number is the reservation num- have a VIN, the Product ID is reported. ber assigned by the carrier to hold ‘‘Used’’ vehicle refers to any self-pro- space on the rail car for cargo being ex- pelled vehicle where the equitable or ported. The TRN is optional for rail legal title to which has been trans- shipments. ferred by a manufacturer, distributor, or dealer to an ultimate purchaser. See (iv) Truck shipments. Report the U.S. Customs and Border Protection freight or pro bill number for truck regulations 19 CFR 192.1 for more infor- shipments. The freight or pro bill num- mation on exports of used vehicles. ber is the number assigned by the car- (10) Vehicle ID qualifier. The qualifier rier to hold space on the truck for that identifies the type of used vehicle cargo being exported. The freight or number reported. The valid codes are V pro bill number correlates to a bill of for VIN and P for Product ID. lading number, air waybill number or (11) Vehicle title number. The number trip number for multimodal shipments. issued by the Motor Vehicle Adminis- The TRN is optional for truck ship- tration. ments. (12) Vehicle title state code. The 2-char- (15) Department of State requirements— acter postal code for the state or terri- (i) DDTC registration number. The num- tory that issued the vehicle title. ber assigned by the DDTC to persons (13) Entry number. The entry number who are required to register per Part must be reported for goods that are en- 122 of the ITAR (22 CFR 120 through tered in lieu of being transported under 130), and have an authorization (license bond for which the importer of record or exemption) from DDTC to export the is a foreign entity or, for reexports of article. goods withdrawn from a FTZ for which (ii) DDTC Significant Military Equip- a NAFTA deferred duty claim (entry ment (SME) indicator. A term used to type 08) could have been made, but that designate articles on the USML (22 the importer elected to enter for con- CFR 121) for which special export con- sumption under CBP entry type 06. For trols are warranted because of their ca- goods imported into the United States pacity for substantial military utility for export to a third country of ulti- or capability. See § 120.7 of the ITAR 22 mate destination, where the importer CFR 120 through 130 for a definition of of record on the entry is a foreign enti- SME and § 121.1 for items designated as ty, the USPPI will be the authorized SME articles. agent designated by the foreign im- (iii) DDTC eligible party certification porter for service of process. The indicator. Certification by the U.S. ex- USPPI, in this circumstance, is re- porter that the exporter is an eligible quired to report the import entry num- ber. party to participate in defense trade. See 22 CFR 120.1(c). This certification (14) Transportation reference number (TRN). The TRN is as follows: is required only when an exemption is claimed. (i) Vessel shipments. Report the book- ing number for vessel shipments. The (iv) DDTC USML category code. The booking number is the reservation USML category of the article being ex- number assigned by the carrier to hold ported (22 CFR 121). space on the vessel for cargo being ex-

305

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00315 Fmt 8010 Sfmt 8010 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR § 30.7 15 CFR Subtitle B, Ch. I (1–1–13 Edition)

(v) DDTC Unit of Measure (UOM). transmission is accepted, referred to as This unit of measure is the UOM cov- the ITN. ering the article being shipped as de- (b) For shipments other than USML, scribed on the export authorization or the USPPI or the authorized agent is declared under an ITAR exemption. responsible for annotating the proper (vi) DDTC quantity. This quantity is proof of filing citation or exemption for the article being shipped. The quan- legend on the first page of the bill of tity is the total number of units that lading, air waybill, export shipping in- corresponds to the DDTC UOM code. structions or other commercial loading (vii) DDTC exemption number. The ex- documents. The USPPI or the author- emption number is the specific citation ized agent must provide the proof of fil- from the ITAR (22 CFR 120 through 130) ing citation or exemption legend to the that exempts the shipment from the re- exporting carrier. The carrier must an- quirements for a license or other writ- notate the proof of filing citation, ex- ten authorization from DDTC. emption or exclusion legends on the (viii) DDTC export license line number. carrier’s outbound manifest when re- The line number of the State Depart- quired. The carrier is responsible for ment export license that corresponds presenting the appropriate proof of fil- to the article being exported. ing citation or exemption legend to (16) Kimberley Process Certificate (KPC) CBP Port Director at the port of export number. The unique identifying number as stated in Subpart E of this part. on the KPC issued by the United States Such presentation shall be without ma- KPC authority that must accompany terial change or amendment of the any export shipment of rough dia- proof of filing citation, postdeparture monds. Rough diamonds are classified filing citation, AES downtime filing ci- under 6-digit HS subheadings 7102.10, tation, or exemption legend as provided 7102.21, and 7102.31. Enter the KPC to the carrier by the USPPI or the au- number in the license number field ex- cluding the 2-digit U.S. ISO country thorized agent. The proof of filing cita- code. tion will identify that the export infor- mation has been accepted as trans- (c) Optional data elements: mitted. The postdeparture filing cita- (1) Seal number. The security seal tion, AES downtime filing citation, or number placed on the equipment or container. exemption legend will identify that no filing is required prior to export. The (2) Equipment number. Report the identification number for the shipping proof of filing citations, postdeparture equipment, such as container or igloo filing citations, or exemption legends number (Unit Load Device (ULD)), shall appear on the bill of lading, air truck license number, or rail car num- waybill or other commercial loading ber. documentation and shall be clearly visible. The AES filing citation, ex- [73 FR 31555, June 2, 2008, as amended at 74 emption or exclusion legends are pro- FR 38916, Aug. 5, 2009] vided for in Appendix D. The exporting § 30.7 Annotating the bill of lading, air carrier shall annotate the manifest or waybill, or other commercial load- other carrier documentation with the ing documents with proof of filing AES filing citations, exemption or ex- citations, and exemption legends. clusions legends. (a) Items identified on the USML (c) Exports of rough diamonds classi- shall meet the predeparture reporting fied under HS subheadings 7102.10, requirements identified in the ITAR (22 7102.21, and 7102.31, in accordance with CFR 120 through 130) for the U.S. State the Clean Diamond Trade Act, will re- Department requirements concerning quire the proof of filing citation, as the time and place of filing. For USML stated in paragraph (b) of this section, shipments, the proof of filing citations and report the proof of filing citation shall include the statement in ‘‘AES,’’ on the KPC. followed by the returned confirmation number provided by the AES when the

306

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00316 Fmt 8010 Sfmt 8010 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR Census Bureau, Commerce § 30.10

§ 30.8 Time and place for presenting Corrections, cancellations, or amend- proof of filing citations, and exemp- ments to that information shall be tion and exclusions legends. electronically identified and trans- The following conditions govern the mitted to the AES for all required time and place to present proof of fil- fields as soon as possible. The provi- ing citations, postdeparture filing cita- sions of this paragraph relating to the tions, AES downtime filing citation, reporting of corrections, cancellations, exemption or exclusion legends. The or amendments to EEI, shall not be USPPI or the authorized agent is re- construed as a relaxation of the re- quired to deliver the proof of filing ci- quirements of the rules and regulations tations, postdeparture filing citations, pertaining to the preparation and filing AES downtime filing citation, exemp- of EEI. Failure to correct the EEI is a tion or exclusion legends required in violation of the provisions of this part. § 30.4(e) to the exporting carrier. See (b) For shipments where the USPPI Appendix D of this part for the prop- or the authorized agent has received an erly formatted proof of filing citations, error message from AES, the correc- exemption or exclusion legends. Fail- tions shall take place as required. ure of the USPPI or the authorized Fatal error messages are sent to filers agent of either the USPPI or FPPI to when EEI is not accepted in the AES. comply with these requirements con- These errors must be corrected and EEI stitutes a violation of the regulations resubmitted prior to export for ship- in this part and renders such principal ments filed predeparture and as soon as party or the authorized agent subject possible for shipments filed to the penalties provided for in Subpart postdeparture but not later than ten H of this part. calendar days after departure. Failure (a) Postal exports. The proof of filing to respond to fatal error messages or citations, postdeparture filing cita- otherwise transmit corrections to the tions, AES downtime filing citation, AES constitutes a violation of the reg- and/or exemption and exclusions leg- ulations in this part and renders such ends for items being sent by mail, as required in § 30.2, shall be presented to principal party or authorized agent the postmaster with the packages at subject to the penalties provided for in the time of mailing. The postmaster is Subpart H of this part. For EEI that required to deliver the proof of filing generates a warning message, the cor- citations and/or exemption legends rection shall be made within four (4) prior to export. calendar days of receipt of the original (b) Pipeline exports. The proof of filing transmission. For EEI that generates a citations or exemption and exclusion verify message, the correction, when legends for items being sent by pipeline warranted, shall be made within four shall be presented to the operator of a calendar days of receipt of the mes- pipeline no later than four calendar sage. A compliance alert indicates that days after the close of the month. the shipment was not reported in ac- (c) Exports by other methods of trans- cordance with regulation. The USPPI portation. For exports sent other than or the authorized agent is required to by mail or pipeline, the USPPI or the review filing practices and take what- authorized agent is required to deliver ever corrective actions are required to the proof of filing citations, and/or ex- conform with export reporting require- emption and exclusion legends to the ments. exporting carrier in accord with the time periods set forth in § 30.4(b). § 30.10 Retention of export informa- tion and the authority to require § 30.9 Transmitting and correcting production of documents. Electronic Export Information. (a) Retention of export information. All (a) The USPPI or the authorized fil- parties to the export transaction (own- ing agent is responsible for electroni- ers and operators of export carriers, cally transmitting accurate EEI as USPPIs, FPPIs and/or authorized known at the time of filing in the AES agents) shall retain documents per- and transmitting any changes to that taining to the export shipment for five information as soon as they are known. years from the date of export. If the

307

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00317 Fmt 8010 Sfmt 8010 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR §§ 30.11–30.14 15 CFR Subtitle B, Ch. I (1–1–13 Edition)

Department of State or other regu- §§ 30.11–30.14 [Reserved] latory agency has recordkeeping re- quirements for exports that exceed the Subpart B—Export Control and retention period specified in this part, Licensing Requirements then those requirements prevail. The USPPI or the authorized agent of the § 30.15 Introduction. USPPI or FPPI may request a copy of (a) For export shipments to foreign the electronic record or submission countries, the EEI is used both for sta- from the Census Bureau as provided for tistical and for export control pur- in Subpart G of this part. The Census poses. All parties to an export trans- Bureau’s retention and maintenance of action must comply with all relevant AES records does not relieve filers export control regulations, as well as from requirements in § 30.10. the requirements of the statistical reg- (1) AES filers shall retain a copy of ulations of this part. For convenience, the electronic certification notice from references to provisions of the EAR, the Census Bureau showing the filer’s ITAR, CBP, and OFAC regulations that approved operational status. The elec- affect the statistical reporting require- tronic certification notice shall be re- ments of this part have been incor- tained for as long as the filer submits porated into this part. For regulations EEI through the AES. and information concerning other (2) AESDirect filers shall retain a agencies that exercise export control copy of the electronic certification no- and licensing authority for particular tice obtained during the AESDirect cer- types of commodity shipments, a tification. The electronic certification USPPI, its authorized agent, or other notice shall be retained for as long as party to the transaction shall consult the appropriate agency regulations. the filer submits EEI through (b) In addition to the reporting re- AESDirect. quirements set forth in § 30.6, further (b) Authority to require production of information may be required for export documents. For purposes of verifying control purposes by the regulations of the completeness and accuracy of in- CBP, BIS, State Department, or the formation reported as required under U.S. Postal Service under particular § 30.6, and for other purposes under the circumstances. regulations in this part, all parties to (c) This part requires the retention of the export transaction (owners and op- documents or records pertaining to a erators of the exporting carriers, shipment for five years from the date USPPIs, FPPIs, and/or authorized of export. All records concerning li- agents) shall provide upon request to cense exceptions or license exemptions the Census Bureau, CBP, ICE, BIS and shall be retained in the format (includ- other participating agencies EEI, ship- ing electronic or hard copy) required ping documents, invoices, orders, pack- by the controlling agency’s regula- ing lists, and correspondence as well as tions. For information on record- any other relevant information bearing keeping retention requirements ex- upon a specific export transaction at ceeding the requirements of this part, anytime within the five year time pe- refer to the regulations of the agency riod. exercising export control authority for NOTE TO § 30.10: Section 1252(b)(2) of Public the specific shipment. Law 106–113, Proliferation Prevention En- (d) In accordance with the provisions hancement Act of 1999, required the Depart- of Subpart G of this part, information ment of Commerce to print and maintain on from the EEI is used solely for official file a paper copy or other acceptable back-up purposes, as authorized by the Sec- record of the individual’s submission at a lo- retary of Commerce, and any unau- cation selected by the Secretary of Com- thorized use is not permitted. merce. The Census Bureau will maintain a data base of EEI filed in AES to ensure that § 30.16 Export Administration Regula- requirements of Public Law 106–113 are met tions. and that all filers can obtain a validated The EAR issued by the U.S. Depart- record of their submissions. ment of Commerce, BIS, also contain

308

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00318 Fmt 8010 Sfmt 8010 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR Census Bureau, Commerce § 30.26

some additional reporting require- §§ 30.20–30.24 [Reserved] ments pertaining to EEI (see 15 CFR 730–774). Subpart C—Special Provisions and (a) The EAR requires that export in- Specific-Type Transactions formation be filed for shipments from U.S. Possessions to foreign countries or § 30.25 Values for certain types of areas. (see 15 CFR 758.1(b) and 772.1, transactions. definition of the United States.) Special procedures govern the values (b) Requirements to place certain ex- to be reported for shipments of the fol- port control information in the EEI are lowing unusual types: found in the EAR. (a) Subsidized exports of agricultural products. Where provision is made for § 30.17 Customs and Border Protection the payment to the USPPI for the ex- regulations. portation of agricultural commodities Refer to the DHS’s CBP regulations, under a program of the Department of 19 CFR 192, for information referencing Agriculture, the value required to be the advanced electronic submission of reported for EEI is the selling price cargo information on exports for paid by the foreign buyer minus the screening and targeting purposes pur- subsidy. suant to the Trade Act of 2002. The reg- (b) General Services Administration ulations also prohibit postdeparture (GSA) exports of excess personal property. filing of export information for certain For exports of GSA excess personal shipments, and contain other regu- property, the value to be shown in the latory provisions affecting the report- EEI will be ‘‘fair market value,’’ plus ing of EEI. CBP’s regulations can be charges when applicable, at which the obtained from the U.S. Government property was transferred to GSA by the Printing Office’s Web site at holding agency. These charges include packing, rehabilitation, inland freight, www.gpoaccess.gov. or drayage. The estimated ‘‘fair mar- § 30.18 Department of State regula- ket value’’ may be zero, or it may be a tions. percentage of the original or estimated acquisition costs. (Bill of lading, air (a) The USPPI or the authorized waybill, and other commercial loading agent shall file export information, documents for such shipments will bear when required, for items on the USML the notation ‘‘Excess Personal Prop- of the ITAR (22 CFR 121). Information erty, GSA Regulations 1–III, 303.03.’’) for items identified on the USML, in- cluding those exported under an export § 30.26 Reporting of vessels, aircraft, license exemption, shall be filed prior cargo vans, and other carriers and to export. containers. (b) Refer to the ITAR 22 CFR 120–130 (a) Vessels, locomotives, aircraft, rail for requirements regarding informa- cars, trucks, other vehicles, trailers, tion required for electronically report- pallets, cargo vans, lift vans, or similar ing export information for USML ship- shipping containers are not considered ments and filing time requirements. ‘‘shipped’’ in terms of the regulations (c) Department of State regulations in this part, when they are moving, ei- can be found at http://www.state.gov. ther loaded or empty, without transfer of ownership or title, in their capacity § 30.19 Other Federal agency regula- as carriers of goods or as instruments tions. of such carriers, and EEI is not re- quired. Other Federal agencies have require- (b) However, EEI shall be filed for ments regarding the reporting of cer- such items, when moving as goods pur- tain types of export transactions. The suant to sale or other transfer from USPPIs and/or authorized agents are ownership in the United States to own- responsible for adhering to these re- ership abroad. If a vessel, car, aircraft, quirements. locomotive, rail car, vehicle, or con- tainer, whether in service or newly

309

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00319 Fmt 8010 Sfmt 8010 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR § 30.27 15 CFR Subtitle B, Ch. I (1–1–13 Edition)

built or manufactured, is sold or trans- (b) On each subsequent manifest cov- ferred to foreign ownership while in the ering a flight on which any part of a Customs territory of the United States split shipment is exported, a prominent or at a port in such area, EEI shall be notation ‘‘SPLIT SHIPMENT’’ shall be reported in accordance with the gen- made on the manifest for identifica- eral requirements of the regulations in tion. On the last shipment, the nota- this part, identifying the port through tion shall read ‘‘SPLIT SHIPMENT, or from which the vessel, aircraft, loco- FINAL.’’ Each subsequent manifest motive, rail car, car, vehicle, or con- covering a part of a split shipment tainer first leaves the United States shall also show in the ‘‘number of after sale or transfer. If the vessel, air- packages’’ column only the goods car- craft, locomotive, rail car, car, vehicle, ried on that particular flight and a ref- or shipping container is outside the erence to the total amount originally Customs territory of the United States declared for export (for example, 5 of at the time of sale or transfer to for- 11, or 5/11). Immediately following the eign ownership, EEI shall be reported line showing the portion of the split identifying the last port of clearance or shipment carried on that flight, a nota- departure from the United States prior tion will be made showing the air way- to sale or transfer. The country of des- bill number shown in the original EEI tination to be shown in the EEI for ves- and the portions of the originally de- sels sold foreign is the country of new clared total carried on each previous ownership. The country for which the flight, together with the number and vessel clears, or the country of registry date of each such previous flight (for of the vessel, should not be reported as example, air waybill 123; 1 of 2, flight the country of destination in the EEI 36A, June 6 SPLIT SHIPMENT; 2 of 2, unless such country is the country of flight 40X, June 6 SPLIT SHIPMENT, new ownership. FINAL). (c) Since the complete EEI was filed § 30.27 Return of exported cargo to the for the entire shipment initially, addi- United States prior to reaching its tional electronic reporting will not be final destination. required for these subsequent ship- When goods reported as exported ments. from the United States are not ex- ported or are returned without having § 30.29 Reporting of repairs and re- been entered into a foreign destination, placements. the filer shall cancel the EEI. These guidelines will govern the re- porting of the following: § 30.28 ‘‘Split shipments’’ by air. (a) The return of goods previously When a shipment by air covered by a imported for repair and alteration only single EEI submission is divided by the and other returns to the foreign ship- exporting carrier at the port of export per of temporary imported goods (de- where the manifest is filed, and part of clared as such on importation) shall the shipment is exported on one air- have Schedule B or HTSUSA classifica- craft and part on another aircraft of tion commodity number 9801.10.0000. the same carrier, the following proce- The value reported in the EEI shall in- dures shall apply: clude parts and labor. The value of the (a) The carrier shall deliver the original product shall not be included. manifest to CBP Port Director with (b) Goods that are covered under war- the manifest covering the flight on ranty. (1) Goods that are reexported which the first part of the split ship- after repair under warranty shall fol- ment is exported and shall make no low the procedures in paragraph (a) of changes to the EEI. However, the this section. It is recommended that manifest shall show in the ‘‘number of the bill of lading, air waybill, or other packages’’ column the actual portion loading documents include the state- of the declared total quantity being ment, ‘‘This product was repaired carried and shall carry a notation to under warranty.’’ indicate ‘‘Split Shipment.’’ All mani- (2) Goods that are replaced under fests with the notation ‘‘Split Ship- warranty at no charge to the customer ment’’ will have identical ITNs. shall include the statement, ‘‘Product

310

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00320 Fmt 8010 Sfmt 8010 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR Census Bureau, Commerce § 30.37

replaced under warranty, value for EEI (5) Subject to the ITAR, but exempt purposes’’ on the bill of lading, air from license requirements. waybill, or other commercial-loading (6) Classified as rough diamonds documents. Place the notation below under the 6-digit HS subheadings the proof of filing citation or exemp- (7102.10, 7102.21, or 7102.31). tion legend on the commercial docu- ment. Report the value of the replace- § 30.37 Miscellaneous exemptions. ment parts only. Filing EEI is not required for the fol- §§ 30.30–30.34 [Reserved] lowing kinds of shipments. However, the Census Bureau has the authority to periodically require the reporting of Subpart D—Exemptions From the shipments that are normally exempt Requirements for the Filing of from filing. Electronic Export Information (a) Except as noted in § 30.2(a)(1)(iv), exports of commodities where the § 30.35 Procedure for shipments ex- empt from filing requirements. value of the commodities shipped from one USPPI to one consignee on a single Where an exemption from the filing exporting carrier, classified under an requirement is provided in this subpart individual Schedule B or HTSUSA of this part, a legend describing the commodity classification code, is $2,500 basis for the exemption shall be made or less. This exemption applies to indi- on the first page of the bill of lading, vidual Schedule B or HTSUSA com- air waybill, or other commercial load- modity classification codes regardless ing document for carrier use, or on the of the total shipment value. In in- carrier’s outbound manifest. The ex- emption legend shall reference the stances where a shipment contains a number of the section or provision in mixture of individual Schedule B or this part where the particular exemp- HTSUSA commodity codes valued tion is provided (see Appendix D of this $2,500 or less and individual Schedule B part). or HTSUSA commodity classification codes valued over $2,500, only those § 30.36 Exemption for shipments des- commodity classification codes valued tined to Canada. over $2,500 need to be reported. If the (a) Except as noted in § 30.2(a)(1)(iv), filer reports multiple items of the same and in paragraph (b) of this section, Schedule B or HTSUSA code, this ex- shipments originating in the United emption only applies if the total value States where the country of ultimate of exports for the Schedule B or destination is Canada are exempt from HTSUSA code is $2,500 or less. the EEI reporting requirements of this (b) Tools of trade and their con- part. tainers that are usual and reasonable (b) This exemption does not apply to kinds and quantities of commodities the following types of export ship- and software intended for use by indi- ments: vidual USPPIs or by employees or rep- (1) Sent for storage in Canada, but ul- resentatives of the exporting company timately destined for third countries. in furthering the enterprises and un- (2) Exports moving from the United dertakings of the USPPI abroad. Com- States through Canada to a third des- modities and software eligible for this tination shall be reported in the same exemption are those that do not re- manner as for all other exports. The quire an export license or that are ex- USPPI or authorized agent shall follow ported as tools of the trade under a li- the instructions as contained in this cense exception of the EAR (15 CFR part for preparing and filing the EEI. 740.9), and are subject to the following (3) Requiring a Department of State, provisions: DDTC, export license under the ITAR (1) Are owned by the individual (22 CFR 120–130). USPPI or exporting company. (4) Requiring a Department of Com- (2) Accompany the individual USPPI, merce, BIS, export license under the employee, or representative of the ex- EAR (15 CFR 730–774). porting company.

311

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00321 Fmt 8010 Sfmt 8010 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR § 30.37 15 CFR Subtitle B, Ch. I (1–1–13 Edition)

(3) Are necessary and appropriate and (g) Shipments to foreign libraries, intended for the personal and/or busi- government establishments, or similar ness use of the individual USPPI, em- institutions, as provided in § 30.40(d). ployee, or representative of the com- (h) Shipments as authorized under pany or business. License Exception GFT for gift parcels (4) Are not for sale. and humanitarian donations (see 15 (5) Are returned to the United States CFR 740.12 of the EAR). no later than one (1) year from the date (i) Diplomatic pouches and their con- of export. tents. (6) Are not shipped under a bill of (j) Human remains and accom- lading or an air waybill. panying appropriate receptacles and (c) Shipments from one point in the flowers. United States to another point in the (k) Shipments of interplant cor- United States by routes passing respondence, executed invoices and through Canada or Mexico. other documents, and other shipments (d) Shipments from one point in Can- of company business records from a ada or Mexico to another point in the U.S. firm to its subsidiary or affiliate. same country by routes through the This excludes highly technical plans, United States. correspondence, etc. that could be li- (e) Shipments transported inbond censed. through the United States and ex- (l) Shipments of pets as baggage, ac- ported from another U.S. port or trans- companied or unaccompanied, of per- shipped and exported directly from the sons leaving the United States, includ- ing members of crews on vessels and port of arrival. (When goods are aircraft. shipped through the United States for export to a third country of ultimate (m) Carriers’ stores, not shipped destination, but are first entered for under a bill of lading or an air waybill (including goods carried in ships consumption or for warehousing in the aboard carriers for sale to passengers), United States, the EEI shall be filed supplies, and equipment for departing when the goods are exported from the vessels, planes, or other carriers, in- United States.) Shipments transported cluding usual and reasonable kinds and inbond through the United States by quantities of bunker fuel, deck engine vessel are subject to the filing require- and steward department stores, provi- ments of the U.S. Army Corps of Engi- sions and supplies, medicinal and sur- neers. Shipments transported inbond gical supplies, food stores, slop chest through the United States which re- articles, and saloon stores or supplies quire an export license are subject to for use or consumption on board and the filing requirements of the licensing not intended for unlading in a foreign Federal agency. country, and including usual and rea- (f) Exports of technology and soft- sonable kinds and quantities of equip- ware as defined in 15 CFR 772 of the ment and spare parts for permanent EAR that do not require an export li- use on the carrier when necessary for cense are exempt from filing require- proper operation of such carrier and ments. However, EEI is required for not intended for unlading in a foreign mass-market software. For purposes of country. Hay, straw, feed, and other this part, mass-market software is de- appurtenances necessary to the care fined as software that is generally and feeding of livestock while en route available to the public by being sold at to a foreign destination are considered retail selling points, or directly from part of carriers’ stores of carrying ves- the software developer or supplier, by sels, trains, planes, etc. means of over-the-counter trans- (n) Dunnage, not shipped under a bill actions, mail-order transactions, tele- of lading or an air waybill, of usual and phone transactions, or electronic mail- reasonable kinds and quantities nec- order transactions, and designed for in- essary and appropriate to stow or se- stallation by the user without further cure cargo on the outgoing or any im- substantial technical support by the mediate return voyage of an exporting developer or supplier. carrier, when exported solely for use as

312

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00322 Fmt 8010 Sfmt 8010 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR Census Bureau, Commerce § 30.38

dunnage and not intended for unlading the United States to facilitate inter- in a foreign country. national transactions including airline (o) Shipments of aircraft parts and tickets, internal revenue stamps, liq- equipment; food, saloon, slop chest, uor stamps, and advertising literature. and related stores; and provisions and Exports of such documents in fulfill- supplies for use on aircraft by a U.S. ment of a contract for their produc- airline to its own installations, air- tion, however, are not exempt and craft, and agents abroad, under EAR must be reported at the transaction License Exception AVS for aircraft and value for their production. vessels (see 15 CFR 740.15(c)). (p) Filing EEI is not required for the § 30.38 Exemption from the require- following types of commodities when ments for reporting complete com- they are not shipped as cargo under a modity information. bill of lading or an air waybill and do The following type of shipments will not require an export license, but the require limited reporting of EEI when USPPI shall be prepared to make an oral declaration to CBP Port Director, goods are shipped under a bill of lading when required: baggage and personal or an air waybill. In such cases, Sched- effects, accompanied or unaccom- ule B or HTSUSA commodity classi- panied, of persons leaving the United fication codes and domestic/foreign in- States, including members of crews on dicator shall not be required. vessels and aircraft. (a) Usual and reasonable kinds and (q) Temporary exports, except those quantities of wearing apparel, articles that require licensing, whether shipped of personal adornment, toilet articles, or hand carried, (e.g., carnet) that are medicinal supplies, food, souvenirs, exported from and returned to the games, and similar personal effects and United States in less than one year (12 their containers. months) from the date of export. (b) Usual and reasonable kinds and (r) Goods previously imported under quantities of furniture, household ef- a Temporary Import Bond for return in fects, household furnishings, and their the same condition as when imported containers. including: goods for testing, experi- (c) Usual and reasonable kinds and mentation, or demonstration; goods quantities of vehicles, such as pas- imported for exhibition; samples and senger cars, station wagons, trucks, models imported for review or for tak- trailers, motorcycles, bicycles, tri- ing orders; goods imported for partici- pation in races or contests, and ani- cycles, baby carriages, strollers, and mals imported for breeding or exhi- their containers provided that the bition and goods imported for use by above-indicated baggage, personal ef- representatives of foreign governments fects, and vehicular property: (See U.S. or international organizations or by Customs and Border Protection regula- members of the armed forces of a for- tions 19 CFR 192 for separate CBP re- eign country. Goods that were im- quirements for the exportation of used ported under bond for processing and self-propelled vehicles.) reexportation are not covered by this (1) Shall include only such articles as exemption. are owned by such person or members (s) Issued banknotes and securities, of his/her immediate family; and coins in circulation exported as (2) Shall be in his/her possession at evidence of financial claims. The EEI the time of or prior to his/her depar- must be filed for unissued bank notes ture from the United States for the for- and securities and coins not in circula- eign country; tion (such as banknotes printed in the (3) Are necessary and appropriate for United States and exported in fulfill- the use of such person or his/her imme- ment of the printing contract, or as diate family; parts of collections), which should be (4) Are intended for his/her use or the reported at their commercial or cur- rent value. use of his/her immediate family; and (t) Documents used in international (5) Are not intended for sale. transactions, documents moving out of

313

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00323 Fmt 8010 Sfmt 8010 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR § 30.39 15 CFR Subtitle B, Ch. I (1–1–13 Edition)

§ 30.39 Special exemptions for ship- U.S. Virgin Islands to foreign coun- ments to the U.S. Armed Services. tries; from the United States or Puerto Filing of EEI is not required for any Rico to the U.S. Virgin Islands; or be- and all commodities, whether shipped tween the United States and Puerto commercially or through government Rico; shall not be granted clearance channels, consigned to the U.S. Armed and shall not depart until complete Services for their exclusive use, includ- manifests or other required docu- ing shipments to armed services ex- mentation (for ocean, air, and rail car- change systems. This exemption does riers) have been delivered to CBP Port not apply to articles that are on the Director in accordance with all appli- USML and thus controlled by the ITAR cable requirements under CBP regula- and shipments that are not consigned tions. CBP may require any of the fol- to the U.S. Armed Services, regardless lowing: bill of lading, air waybill, ex- of whether they may be for their ulti- port shipping instructions, manifest, mate and exclusive use. train consist, or other commercial loading document. The required docu- § 30.40 Special exemptions for certain ment shall contain the appropriate shipments to U.S. government agen- cies and employees. AES proof of filing citations, covering all cargo for which the EEI is required, Filing EEI is not required for the fol- or exemption legends, covering cargo lowing types of shipments to U.S. gov- for which EEI need not be filed by the ernment agencies and employees: regulations of this part. Such annota- (a) Office furniture, office equipment, tion shall be without material change and office supplies shipped to and for or amendment of proof of filing cita- the exclusive use of U.S. government tions or exemption and exclusion leg- offices. ends as provided to the carrier by the (b) Household goods and personal USPPI or its authorized agent. property shipped to and for the exclu- sive and personal use of U.S. govern- (1) Vessels. Vessels transporting goods ment employees. as specified (except vessels exempted (c) Food, medicines, and related by paragraph (a)(4) of this section) items and other commissary supplies shall file a complete manifest. Mani- shipped to U.S. government offices or fests may be filed via paper or elec- employees for the exclusive use of such tronically through the AES Vessel employees, or to U.S. government em- Transportation Module as provided in ployee cooperatives or other associa- CBP Regulations, 19 CFR 4.63 and 4.76. tions for subsequent sale or other dis- (i) Bunker fuel. The manifest (includ- tribution to such employees. ing vessels taking bunker fuel to be (d) Books, maps, charts, pamphlets, laden aboard vessels on the high seas) and similar articles shipped by U.S. clearing for foreign countries shall government offices to U.S. or foreign show the quantities and values of libraries, government establishments, bunker fuel taken aboard at that port or similar institutions. for fueling use of the vessel, apart from such quantities as may have been laden §§ 30.41–30.44 [Reserved] on vessels as cargo. (ii) Coal and fuel oil. The quantity of Subpart E—General Carrier and coal shall be reported in metric tons Manifest Requirements (1000 kgs or 2240 pounds), and the quan- tity of fuel oil shall be reported in bar- § 30.45 General statement of require- rels of 158.98 liters (42 gallons). Fuel oil ments for the filing of carrier mani- fests with proof of filing citations shall be described in such manner as to for the electronic submission of ex- identify diesel oil as distinguished port information or exemption leg- from other types of fuel oil. ends when Electronic Export Infor- (2) Aircraft. Aircraft transporting mation filing is not required. goods shall file a complete manifest as (a) Requirement for filing carrier mani- required in CBP Regulations 19 CFR fest. Carriers transporting goods from 122.72–122.76. The manifest shall be filed the United States, Puerto Rico, or the with CBP Port Director at the port

314

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00324 Fmt 8010 Sfmt 8010 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR Census Bureau, Commerce § 30.45

where the goods are laden. For ship- mercial documents. The bills of lading, ments from the United States to Puer- cargo lists, export shipping documents to Rico, the manifests shall be filed or other commercial documents shall with CBP Port Director at the port be securely attached to the manifest in where the goods are unladed in Puerto such a manner as to constitute one Rico. document. The manifest shall reference (3) Rail carriers. Rail carriers trans- the statement ‘‘Cargo as per bills of porting goods shall file a car manifest lading attached’’ or ‘‘Cargo as per com- or train consist with CBP Port Direc- mercial forms attached.’’ Also required tor at the border port of export in ac- on the face of each bill of lading shall cordance with 19 CFR 123. be the information required by the (4) Carriers not required to file mani- manifest for cargo covered by that doc- fests. Carriers exempted from filing ument. manifests under applicable CBP regula- (e) Exempt items. For any item for tions are required, upon request, to which EEI is not required by the regu- present to CBP Port Director, the proof lations in this part, a notation on the of filing citation or exemption and ex- manifest shall be made by the carrier clusion legends for each shipment. as to the basis for the exemption. In (5) Penalties. Failure of the carrier to cases where a manifest is not required file a manifest as required constitutes and EEI is not required, an oral dec- a violation of the regulations in this laration to CBP Port Director shall be part and renders such carrier subject to made as to the basis for the exemption. the penalties provided for in Subpart H (f) Proof of filing citations and exemp- of this part. tion legends. (1) Ocean and air exporting (b) Partially exported shipments. Ex- carriers shall not accept paper SEDs cept as provided in paragraph (c) of under any circumstances nor load this section, when a carrier identifies, cargo that does not have all proof of prior to filing the manifest, that a por- filing citations, exemption or exclusion tion of the goods covered by a single legends as provided for in Appendix D. EEI transaction has not been exported (2) Ocean and air exporting carriers on the intended carrier, it shall be are subject to the penalties provided noted on the manifest submitted to for in Subpart H of this part if the ex- CBP. The carrier shall notify the porting carrier; USPPI or the authorized agent of (i) Accepts paper SEDs for cargo or, changes to the commodity data, and (ii) Loads cargo without all proof of the USPPI or the authorized agent filing citations, exemption or exclusion shall electronically transmit the cor- legends as provided for in Appendix D. rections, cancellations, or amendments (3) Truck exporting carriers shall not as soon as they are known in accord- accept paper SEDs under any cir- ance with § 30.9. Failure by the carrier cumstances nor cross the border into a to correct the manifest constitutes a foreign country without a proof of fil- violation of the provisions of the regu- ing citations, exemption or exclusion lations in this part and renders the car- legends for cargo being exported as pro- rier subject to the penalties provided vided for in Appendix D. Truck export- for in Subpart H of this part. ing carriers accepting paper SEDs for (c) ‘‘Split shipments’’ by air. When a cargo being exported into foreign coun- shipment by air covered by a single tries, or carrying cargo into foreign EEI transmission is exported in more countries without a proof of filing cita- than one aircraft of the carrier, the tion, exemption or exclusion legends in ‘‘split shipment’’ procedure provided in their possession are subject to the pen- § 30.28 shall be followed by the carrier alties provided for in Subpart H of this in delivering manifests with the proof part. of filing citation or exemption legend (4) Rail exporting carriers shall not to CBP Port Director. accept paper SEDs under any cir- (d) Attachment of commercial docu- cumstance nor cross the border into a ments. The manifest shall carry a nota- foreign country without a proof of fil- tion that values stated are as presented ing citations, exemption or exclusion on the bills of lading, cargo lists, ex- legends for cargo being exported as pro- port shipping documents or other com- vided in Appendix D. Rail exporting

315

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00325 Fmt 8010 Sfmt 8010 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR § 30.46 15 CFR Subtitle B, Ch. I (1–1–13 Edition)

carriers accepting paper SEDs for and all required filing citations, exclu- cargo being exported into foreign coun- sion, and/or exemption legends shall be tries, or carrying cargo into foreign completed not later than the tenth countries without required proof of fil- business day after departure from each ing citations, exemption or exclusion port. legends in their possession are subject (2) For rail carriers to Canada, the to the penalties provided for in Subpart conditions of the bond shall be that H of this part. manifest and all filing citations, exclu- sion, and/or exemption legends shall be § 30.46 Requirements for the filing of filed not later than the fifteenth busi- export information by pipeline car- ness day after departure. riers. (3) For carriers under bond on incom- The operator of a pipeline may trans- plete manifest, the carrier must file port goods to a foreign country with- prior to departure a list of filing cita- out the prior filing of the proof of filing tions, exclusion, and/or exemption leg- citations, exemption or exclusion leg- ends for export shipments aboard the ends, on the condition that within four conveyance. The list of filing citations, calendar days following the end of each exclusion and/or exemption legends calendar month the operator will de- shall be presented to a CBP Export liver to CBP Port Director the proof of Control Officer at the port of exit prior filing citations, exemption or exclusion to departure. legends covering all exports through (b) In the event that any required the pipeline to each consignee during manifest and all required filing cita- the month. tions, exclusion and/or exemption leg- ends are not filed by the carrier within § 30.47 Clearance or departure of car- the period provided by the bond, then a riers under bond on incomplete penalty of $1,100 shall be exacted for manifest. each day’s delinquency beyond the pre- (a) For purposes of the regulations in scribed period, but not more than this part, except when carriers are $10,000 per violation. transporting merchandise from the (c) Remission or mitigation of the United States to Puerto Rico, clear- penalties for manifest violations pro- ance (where clearance is required) or vided herein may be granted by CBP as permission to depart (where clearance the Administering Authority. Prior is not required) may be granted to any disclosure of a manifest violation of carrier by CBP Port Director prior to this section shall be made in writing to filing of a complete manifest as re- CBP Port Director in the port of export quired under the regulations of this as the Administering Authority. part or prior to filing by the carrier of all filing U.S. Customs and Border Pro- §§ 30.48–30.49 [Reserved] tection regulations citations, exclu- sion, and/or exemption legends, pro- Subpart F—Import Requirements vided there is a bond as specified in 19 CFR 4.75, 4.76, and 122.74. The condi- § 30.50 General requirements for filing tions of the bond shall be that a com- import entries. plete manifest, where a manifest is re- Electronic entry summary filing quired by the regulations in this part through the ABI, paper import entry and all required filing citations, exclu- summaries (CBP–7501), or paper record sion, and/or exemption legends shall be of vessel foreign repair or equipment filed by the carrier no later than the purchase (CBP–226) shall be completed fourth business day after clearance by the importer or its licensed import (where clearance is required) or depar- broker and filed directly with CBP in ture (where clearance is not required) accordance with 19 CFR. Information of the carrier except as otherwise spe- on all mail and informal entries re- cifically provided in paragraph (a)(1), quired for statistical and CBP purposes (2), and (3) of this section. shall be reported, including value not (1) For manifests submitted elec- subject to duty. Upon request, the im- tronically through AES, the condition porter or import broker shall provide of the bond shall be that the manifest the Census Bureau with information or

316

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00326 Fmt 8010 Sfmt 8010 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR Census Bureau, Commerce § 30.52

documentation necessary to verify the through the ABI in accordance with accuracy of the reported information, CBP regulations. (This section empha- or to resolve problems regarding the sizes the reporting requirements con- reported import transaction received tained in CBP regulations 19 CFR 146, by the Census Bureau. ‘‘Foreign Trade Zones.’’) When foreign (a) Import information for statistical goods are admitted into a FTZ, the purposes shall be filed for goods zone operator is required to file CBP– shipped as follows: 214, ‘‘Application for Foreign Trade (1) Entering the United States from Zone Admission and/or Status Designa- foreign countries. tion.’’ Refer to CBP Web site for in- (2) Admitted to U.S. FTZs. structions on completing CBP–214. Per (3) From the U.S. Virgin Islands. 19 CFR 146.32(a), the applicant for ad- (4) From other nonforeign areas (ex- mission shall present CBP–214 to the cept Puerto Rico). Port Director and shall include the sta- (b) Sources for collecting import sta- tistical (pink) copy, CBP–214(A), for tistics include the following: transmittal to the Census Bureau, un- (1) CBP’s ABI Program (see 19 CFR less the applicant makes arrangements Subpart A, Part 143). for the electronic transmission of sta- (2) CBP–7501 paper entry summaries tistical information to the Census Bu- required for individual transactions reau through the AFTZRP. Companies (see 19 CFR Subpart B, Part 142). operating in FTZs interested in report- (3) CBP–226, Record of Vessel Foreign ing CBP–214 statistical information Repair or Equipment Purchase (see 19 electronically on a monthly basis shall CFR 4.7 and 4.14). apply directly to the Census Bureau. (4) CBP–214, Application for Foreign Monthly electronic reports shall be Trade Zone Admission and/or Status filed with the Census Bureau no later Designation (Statistical copy). than the tenth (10) calendar day of the (5) Automated Foreign Trade Zone month following the report month. Reporting Program (AFTZRP). Participation in the Census Bureau program does not relieve companies of § 30.51 Statistical information re- the responsibility to file CBP–214 with quired for import entries. CBP. The following data items are re- The information required for statis- quired to be filed, in the AFTZRP, for tical purposes is, in most cases, also re- statistical purposes. (Use the instruc- quired by CBP regulations for other tions and definitions provided in 19 purposes. Refer to CBP Web site at CFR 146 for completing these fields.): http://www.cbp.gov to download ‘‘In- (a) HTSUSA Classification Code. structions for Preparation of CBP– (b) Country of Origin. 7501,’’ for completing the paper entry (c) Country Sub-code. summary documentation (CBP–7501). (d) U.S. Port of Entry. Refer to the Customs and Trade Auto- (e) U.S. Port of Unlading. mated Interface Requirements for in- (f) Transaction Type. structions on submitting an ABI elec- (g) Statistical Month. tronic record, or instructions for com- (h) Method of Transportation. pleting CBP–226 for declaring any (i) Company Authorization Symbol. equipment, repair parts, materials pur- (j) Carrier Code. chased, or expense for repairs incurred (k) Foreign Port of Lading. outside of the United States. (l) Date of Exportation. (m) Date of Importation. § 30.52 Foreign Trade Zones. (n) Special Program Indicator Field. Foreign goods admitted into FTZs (o) Unit of Quantity. shall be reported as a general import. (p) CBP (dutiable) Value. When goods are withdrawn from a FTZ (q) Gross (shipping) Weight. for export to a foreign country, the ex- (r) Charges. port shall be reported in accordance (s) U.S. Value. with § 30.2. When goods are withdrawn (t) FTZ/Subzone Number. for domestic consumption or entry into (u) Zone Admission Number. a bonded warehouse, the withdrawal (v) Vessel Name. shall be reported on CBP–7501 or (w) Serial Number.

317

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00327 Fmt 8010 Sfmt 8010 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR § 30.53 15 CFR Subtitle B, Ch. I (1–1–13 Edition)

(x) Trade Identification. lumber products for which the region (y) Admission Date. of origin is Canada. (b) All other imports from Canada, § 30.53 Import of goods returned for including certain softwood lumber repair. products not covered in paragraph (a) Import entries covering U.S. goods of this section, will require the imported temporarily for repair or al- twoletter designation of the Canadian teration and reexport are required to region of origin to be reported on U.S. show the following statement: ‘‘Im- entry summary records. This informa- ported for Repair and Reexport’’ on tion is required only for U.S. imports CBP–7501 or in the ABI entry. When- that under applicable CBP rules of ori- ever goods are returned to the United gin are determined to originate in Can- States after undergoing either repair, ada. For nonmanufactured goods deter- alteration, or assembly under HTS mined to be of Canadian origin, the re- heading 9802, the country of origin gion of origin is defined as the region shall be shown as the country in which where the exported goods were origi- the repair, alteration, or assembly is nally grown, mined, or otherwise pro- performed. When the goods are for re- duced. For goods of Canadian origin export and meet all of the require- that are manufactured or assembled in Canada, with the exception of the cer- ments for filing the EEI, file according tain softwood lumber products de- to the instructions provided in § 30.2, scribed in paragraph (a) of this section, except for the following data items: the region of origin is that in which (a) Value. Report the value of the re- the final manufacture or assembly is pairs, including parts and labor. Do not performed prior to exporting that good report the value of the original prod- to the United States. In cases where uct. If goods are repaired under war- the region in which the goods were ranty, at no charge to the customer, manufactured, assembled, grown, report the cost to repair as if the cus- mined, or otherwise produced is un- tomer were being charged. known, the region in which the Cana- (b) Schedule B Classification Code. Re- dian vendor is located can be reported. port Schedule B commodity classifica- For those reporting on paper forms the tion code 9801.10.0000 for goods reex- region of origin code replaces the re- ported after repair. gion of origin code on the CBP–7501, entry summary form. § 30.54 Special provisions for imports (c) All electronic ABI entry sum- from Canada. maries for imports originating in Can- (a) When certain softwood lumber ada also require the Canadian region of products described under HTSUSA sub- origin code to be transmitted for each headings 4407.1001, 4409.1010, 4409.1090, entry summary line item. and 4409.1020 are imported from Can- (d) The region of origin code replaces ada, import entry records are required the region of origin code only for im- to show a valid Canadian region of ports that have been determined, under manufacture code. The Canadian re- applicable CBP rules, to originate in gion of manufacture is determined on a Canada. Valid Canadian region/terri- first mill basis (the point at which the tory codes are: item was first manufactured into a XA—Alberta covered lumber product). Canadian re- XB—New Brunswick gion of manufacture is the first region XD—British Columbia Coastal where the subject goods underwent a XE—British Columbia Interior change in tariff classification to the XM—Manitoba tariff classes cited in this paragraph. XN—Nova Scotia The Canadian region code should be XO—Ontario transmitted in the electronic ABI sum- XP—Prince Edward Island maries. The Canadian region of manu- XQ—Quebec facture code should replace the region XS—Saskatchewan of origin code on CBP–7501, entry sum- XT—Northwest Territories mary form. These requirements apply XV—Nunavut only for imports of certain softwood XW—Newfoundland

318

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00328 Fmt 8010 Sfmt 8010 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR Census Bureau, Commerce § 30.60

XY—Yukon has been approved by the Office of Management and Budget (OMB). The § 30.55 Confidential information, im- information collected is used by the port entries, and withdrawals. Census Bureau for statistical purposes The contents of the statistical copies only and by the BIS for export control of import entries and withdrawals on purposes. In addition, EEI is used by file with the Census Bureau are treated other federal government agencies, as confidential and will not be released such as the Department of State, CBP, without authorization by CBP, in ac- and ICE for export control and other cordance with 19 CFR 103.5 relating to federal government agencies such as the copies on file in CBP offices. The the Bureau of Economic Analysis, Bu- importer or import broker must pro- reau of Labor Statistics, and Bureau of vide the Census Bureau with informa- Transportation Statistics for statis- tion or documentation necessary to tical purposes. Except as provided for verify the accuracy or resolve problems in paragraph (e) of this section, infor- regarding the reported import trans- mation collected pursuant to this Part action. shall not be disclosed to anyone by any (a) The basic responsibility for ob- officer, employee, contractor, agent of taining and providing the information the federal government or other parties required by the general statistical with access to the EEI other than to headnotes of the HTSUSA rests with the USPPI, or the authorized agent of the person filing the import entry. This the USPPI or the transporting carrier. is provided for in section 484(a) of the Such disclosure shall be limited to that Tariff Act, 19 CFR 141.61(e) of CBP reg- information provided by each party ulations, and § 30.50 of this subpart. pursuant to this Part. CBP Regulations 19 CFR 141.61(a) speci- (b) Supplying EEI for official purposes. fy that the entry summary data clearly (1) The EEI may be supplied to federal set forth all information required. agencies for official purposes, defined (b) 19 CFR 141.61(e) of CBP regula- to include, but not limited to: tions provides that penalty procedures (i) Verification and investigation of relating to erroneous statistical infor- export shipments, including penalty as- mation shall not be invoked against any person who attempts to comply sessments, for export control and com- with the statistical requirements of pliance purposes, the General Statistical Notes of the (ii) Providing proof of export; and HTSUSA. However, in those instances (iii) Statistical purposes; where there is evidence that statistical (iv) Circumstances to be determined suffixes are misstated to avoid quota in the national interest pursuant to 13 action, or a misstatement of facts is U.S.C., § 301(g) and paragraph (e) of this made to avoid import controls or re- section. strictions related to specific commod- (2) The EEI may be supplied to the ities, the importer or its licensed USPPI, or authorized agents of USPPI broker should be aware that the appro- and carriers for compliance and audit priate actions will be taken under 19 purposes. Such disclosure shall be lim- U.S.C. 1592, as amended. ited to that information provided to the AES by each party. §§ 30.56–30.59 [Reserved] (c) Supplying EEI for nonofficial pur- poses. The official report of the EEI Subpart G—General submitted to the United States Gov- Administrative Provisions ernment shall not be disclosed by the USPPI, or the authorized agent, or rep- § 30.60 Confidentiality of Electronic resentative of the USPPI for ‘‘nonoffi- Export Information. cial purposes,’’ either in whole or in (a) Confidential status. The EEI col- part, or in any form including but not lected pursuant to this Part is con- limited to electronic transmission, fidential, to be used solely for official paper printout, or certified reproduc- purposes as authorized by the Sec- tion. ‘‘Nonofficial purposes’’ are de- retary of Commerce. The collection of fined to include but not limited to use EEI by the Department of Commerce of the official EEI:

319

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00329 Fmt 8010 Sfmt 8010 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR § 30.61 15 CFR Subtitle B, Ch. I (1–1–13 Edition)

(1) In support of claims by the USPPI § 30.61 Statistical classification sched- or its authorized agent for exemption ules. from Federal or state taxation; The following statistical classifica- (2) By the U.S. Internal Revenue tion schedules are referenced in this Service for purposes not related to ex- part. These schedules, may be accessed port control or compliance; through the Census Bureau’s Web site (3) By state and local government at http://www.census.gov/trade. agencies, and nongovernmental enti- (a) Schedule B—Statistical Classifica- ties or individuals for any purpose; and tion for Domestic and Foreign Commod- (4) By foreign governments for any ities Exported from the United States, purposes. shows the detailed commodity classi- (d) Copying of information to manifests. fication requirements and 10-digit sta- Because the ocean manifest can be tistical reporting numbers to be used made public under provision of CBP in preparing EEI, as required by these regulations, no information from the regulations. EEI, except the ITN, filing citation, ex- (b) Harmonized Tariff Schedules of the emptions or exclusion legends, shall be United States Annotated for Statistical copied to the outward manifest of Reporting, shows the 10-digit statistical ocean carriers. reporting number to be used in pre- (e) Determination by the Secretary of paring import entries and withdrawal Commerce. Under 13 U.S.C. 301(g), the forms. EEI is exempt from public disclosure (c) Schedule C—Classification of unless the Secretary or delegate deter- Country and Territory Designations for mines that such exemption would be U.S. Foreign Trade Statistics. contrary to the national interest. The (d) Schedule D—Classification of CBP Secretary or his or her delegate may Districts and Ports. make such information available, if he or she determines it is in the national (e) Schedule K—Classification of For- interest, taking such safeguards and eign Ports by Geographic Trade Area precautions to limit dissemination as and Country. deemed appropriate under the cir- (f) International Air Transport Associa- cumstances. In recommendations or tion (IATA)—Code of the carrier for air decisions regarding such actions, it shipments. These are the air carrier shall be presumed to be contrary to the codes to be used in reporting EEI, as national interest to provide EEI for required by the regulations in this purposes set forth in paragraph (c) of part. this section. In determining whether, (g) Standard Carrier Alpha Code under a particular set of cir- (SCAC)—Classification of the carrier cumstances, it is contrary to the na- for vessel, rail and truck shipments, tional interest to apply the exemption, showing the carrier codes necessary to the maintenance of confidentiality and prepare EEI, as required by the regula- national security shall be considered as tions in this part. important elements of national inter- est. The unauthorized disclosure of § 30.62 Emergency exceptions. confidential EEI granted under Na- The Census Bureau and CBP may tional Interest Determination renders jointly authorize the postponement of such persons subject to the civil pen- or exception to the requirements of the alties provided for in Subpart H of this regulations in this Part as warranted part. by the circumstances in individual (f) Penalties. Disclosure of confiden- cases of emergency where strict en- tial EEI by any officer, employee, con- forcement of the regulations would cre- tractor, or agent of the federal govern- ate a hardship. In cases where export ment, except as provided for in para- control requirements also are involved, graphs (a) and (e) of this section ren- the concurrence of the regulatory ders such persons subject to the civil agency and CBP also will be obtained. penalties provided for in Subpart H of this part.

320

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00330 Fmt 8010 Sfmt 8010 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR Census Bureau, Commerce § 30.71

§ 30.63 Office of Management and § 30.71 False or fraudulent reporting Budget control numbers assigned on or misuse of the Automated Ex- pursuant to the Paperwork Reduc- port System. tion Act. (a) Criminal penalties—(1) Failure to (a) Purpose. This subpart will comply file; submission of false or misleading in- with the requirements of the Paper- formation. Any person, including work Reduction Act (PRA), 44 U.S.C. USPPIs, authorized agents or carriers, 3507(f), which requires that agencies who knowingly fails to file or know- display a current control number as- ingly submits, directly or indirectly, to signed by the Director of OMB for each the U.S. Government, false or mis- agency information collection require- leading export information through the ment. AES, shall be subject to a fine not to (b) Display. exceed $10,000 or imprisonment for not 15 CFR section where Current OMB more than five years, or both, for each identified and described control No. violation. §§ 30.1 through 30.99 ...... 0607–0152 (2) Furtherance of illegal activities. Any person, including USPPIs, authorized §§ 30.64–30.69 [Reserved] agents or carriers, who knowingly re- ports, directly or indirectly, to the Subpart H—Penalties U.S. Government any information through or otherwise uses the AES to § 30.70 Violation of the Clean Diamond further any illegal activity shall be Trade Act. subject to a fine not to exceed $10,000 Public Law 108–19, the Clean Dia- or imprisonment for not more than five mond Trade Act (the Act), section 8(c), years, or both, for each violation. authorizes CBP and ICE, as appro- (3) Forfeiture penalties. Any person priate, to enforce the laws and regula- who is convicted under this subpart tions governing exports of rough dia- shall, in addition to any other penalty, monds, including those with respect to be subject to forfeiting to the United the validation of the Kimberley Proc- States: ess Certificate by the exporting author- (i) Any of that person’s interest in, ity. The Treasury Department’s OFAC security of, claim against, or property also has enforcement authority pursu- or contractual rights of any kind in the ant to section 5(a) of the Act, Execu- goods or tangible items that were the tive Order 13312, and Rough Diamonds subject of the violation. Control Regulations (31 CFR 592). CBP, (ii) Any of that person’s interest in, ICE, and the OFAC, pursuant to section security of, claim against, or property 5(a) of the Act, are further authorized or contractual rights of any kind in to enforce provisions of section 8(a) of tangible property that was used in the the Act, that provide for the following export or attempt to export that was civil and criminal penalties: the subject of the violation. (a) Civil penalties. A civil penalty not (iii) Any of that person’s property to exceed $10,000 may be imposed on constituting, or derived from, any pro- any person who violates, or attempts ceeds obtained directly or indirectly as to violate, any order or regulation issued under the Act. a result of this violation. (b) Criminal penalties. For the willful (4) Exemption. The criminal fines pro- violation or attempted violation of any vided for in this subpart are exempt license, order, or regulation issued from the provisions of 18 U.S.C. 3571. under the Act, a fine not to exceed (b) Civil penalties—(1) Failure to file or $50,000, shall be imposed upon convic- delayed filing violations. A civil penalty tion or: not to exceed $1,100 for each day of de- (1) If a natural person, imprisoned for linquency beyond the applicable period not more than ten years, or both; prescribed in § 30.4, but not more than (2) If an officer, director, or agent of $10,000 per violation, may be imposed any corporation, who willfully partici- for failure to file information or re- pates in such violation, imprisoned for ports in connection with the expor- not more than ten years, or both. tation or transportation of cargo.

321

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00331 Fmt 8010 Sfmt 8010 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR § 30.72 15 CFR Subtitle B, Ch. I (1–1–13 Edition)

(2) Filing false/misleading information, (d) Remission and mitigation. Any pen- furtherance of illegal activities and pen- alties imposed under § 30.71(b)(1) and alties for other violations. A civil penalty (b)(2) may be remitted or mitigated, if: not to exceed $10,000 per violation may (1) The penalties were incurred with- be imposed for each violation of provi- out willful negligence or fraud; or sions of this part other than any viola- (2) Other circumstances exist that tion encompassed by paragraph (b)(1) of justify a remission or mitigation. this section. Such penalty may be in (e) Deposit of payments in General addition to any other penalty imposed Fund of the Treasury. Any amount paid by law. in satisfaction of a civil penalty im- (3) Forfeiture penalties. In addition to posed under this subpart shall be de- any other civil penalties specified in posited into the general fund of the this section, any property involved in a Treasury and credited as miscellaneous violation may be subject to forfeiture receipts, other than a payment to under applicable law. remit a forfeiture which shall be depos- ited into the Treasury Forfeiture fund. NOTE TO PARAGRAPH (b): The Civil Mone- tary Penalties; Adjustment for Inflation § 30.73 Enforcement. Final Rule effective December 14, 2004, ad- justed the penalty in Title 13, Chapter 9, Sec- (a) Department of Commerce. The BIS’s tion 304, United States Code from $1,000 to OEE may conduct investigations pur- $10,000 to $1,100 to $10,000. suant to this part. In conducting inves- tigations, BIS may, to the extent nec- § 30.72 Civil penalty procedures. essary or appropriate to the enforce- (a) General. Whenever a civil penalty ment of this part, exercise such au- is sought for a violation of this part, thorities as are conferred upon BIS by the charged party is entitled to receive other laws of the United States, sub- a formal complaint specifying the ject, as appropriate, to policies and charges and, at his or her request, to procedures approved by the Attorney contest the charges in a hearing before General. an administrative law judge. Any such (b) Department of Homeland Security hearing shall be conducted in accord- (DHS). ICE and CBP may enforce the ance with 5 U.S.C. 556 and 557. provisions of this part and ICE, as as- (b) Applicable law for delegated func- sisted by CBP may conduct investiga- tion. If, pursuant to 13 U.S.C. 306, the tions under this part. Secretary delegates functions ad- dressed in this part to another agency, § 30.74 Voluntary self-disclosure. the provisions of law of that agency re- (a) General policy. The Census Bureau lating to penalty assessment, remis- strongly encourages disclosure of any sion or mitigation of such penalties, violation or suspected violation of the collection of such penalties, and limi- FTR. Voluntary self-disclosure is a tations of action and compromise of mitigating factor in determining what claims shall apply. administrative sanctions, if any, will (c) Commencement of civil actions. If be sought. The Secretary of Commerce any person fails to pay a civil penalty has delegated all enforcement author- imposed under this subpart, the Sec- ity under 13 U.S.C. Chapter 9, to the retary may request the Attorney Gen- BIS and the DHS. eral to commence a civil action in an (b) Limitations. (1) The provisions of appropriate district court of the United this section apply only when informa- States to recover the amount imposed tion is provided to the Census Bureau (plus interest at currently prevailing for its review in determining whether rates from the date of the final order). to seek administrative action for viola- No such action may be commenced tions of the FTR. more than five years after the date the (2) The provisions of this section order imposing the civil penalty be- apply only when information is re- comes final. In such action, the valid- ceived by the Census Bureau for review ity, amount, and appropriateness of prior to the time that the Census Bu- such penalty shall not be subject to re- reau, or any other agency of the United view. States Government, has learned the

322

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00332 Fmt 8010 Sfmt 8010 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR Census Bureau, Commerce § 30.74

same or substantially similar informa- ture, circumstances, and extent of the tion from another source and has com- violations. If the person making the menced an investigation or inquiry in disclosure subsequently completes the connection with that information. narrative account required by para- (3) While voluntary self-disclosure is graph (c)(3) of this section, the disclo- a mitigating factor in determining sure will be deemed to have been made what corrective actions will be re- on the date of the initial notification quired by the Census Bureau and/or for purposes of paragraph (b)(2) of this whether the violation will be referred section. to the BIS to determine what adminis- (ii) Disclosure of suspected violations trative sanctions, if any, will be that involve export of items controlled, sought, it is a factor that is considered licensed, or otherwise subject to the ju- together with all other factors in a case. The weight given to voluntary risdiction by a department or agency of self-disclosure is within the discretion the federal government should be made of the Census Bureau and the BIS, and to the appropriate federal department the mitigating effect of voluntary self- or agency. disclosure may be outweighed by ag- (3) Narrative account. After the initial gravating factors. Voluntary self-dis- notification, a thorough review should closure does not prevent transactions be conducted of all export transactions from being referred to the Department where possible violations of the FTR of Justice (DOJ) for criminal prosecu- are suspected. The Census Bureau rec- tion. In such a case, the BIS or the ommends that the review cover a pe- DHS would notify the DOJ of the vol- riod of five years prior to the date of untary self-disclosure, but the consid- the initial notification. If the review eration of that factor is within the dis- goes back less than five years, there is cretion of the DOJ. a risk that violations may not be dis- (4) Any person, including USPPIs, au- covered that later could become the thorized agents, or carriers, will not be subject of an investigation. Any viola- deemed to have made a voluntary self- tions not voluntarily disclosed do not disclosure under this section unless the receive consideration under this sec- individual making the disclosure did so tion. However, the failure to make with the full knowledge and authoriza- such disclosures will not be treated as tion of senior management. a separate violation unless some other (5) The provisions of this section do section of the FTR or other provision not, nor should they be relied on to, create, confer, or grant any rights, ben- of law requires disclosure. Upon com- efits, privileges, or protection enforce- pletion of the review, the Census Bu- able at law or in equity by any person, reau should be furnished with a nar- business, or entity in any civil, crimi- rative account that sufficiently de- nal, administrative, or other matter. scribes the suspected violations so that (c) Information to be provided—(1) Gen- their nature and gravity can be as- eral. Any person disclosing information sessed. The narrative account should that constitutes a voluntary self-dis- also describe the nature of the review closure should, in the manner outlined conducted and measures that may have below, if a violation is suspected or a been taken to minimize the likelihood violation is discovered, conduct a thor- that violations will occur in the future. ough review of all export transactions The narrative account should include: for the past five years where violations (i) The kind of violation involved, for of the FTR are suspected and notify example, failure to file EEI, failure to the Census Bureau as soon as possible. correct fatal errors, failure to file (2) Initial notification. (i) The initial timely corrections; notification must be in writing and be (ii) Describe all data required to be sent to the address in paragraph (c)(5) reported under the FTR that was either of this section. The notification must not reported or reported incorrectly; include the name of the person making the disclosure and a brief description of (iii) An explanation of when and how the suspected violations. The notifica- the violations occurred; tion should describe the general na-

323

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00333 Fmt 8010 Sfmt 8010 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR §§ 30.75–30.99 15 CFR Subtitle B, Ch. I (1–1–13 Edition)

(iv) The complete identities and ad- (d) Action by the Census Bureau. After dresses of all individuals and organiza- the Census Bureau has been provided tions, whether foreign or domestic, in- with the required narrative, it will volved in the activities giving rise to promptly notify CBP, ICE, and the the violations; and OEE of the voluntary disclosure, ac- (v) A description of any mitigating knowledge the disclosure by letter, circumstances. provide the person making the disclo- sure with a point of contact, and take (4) Electronic export information. Re- whatever additional action, including port all data required under the FTR further investigation, it deems appro- that was not reported. Report correc- priate. As quickly as the facts and cir- tions for all data reported incorrectly. cumstances of a given case permit, the All reporting of unreported data or cor- Census Bureau may take any of the fol- rections to previously reported data lowing actions: shall be made through the AES. (1) Inform the person or company (5) Where to make voluntary self-disclo- making the voluntary self-disclosure of sures. With the exception of voluntary the action to be taken. disclosures of manifest violations (2) Issue a warning letter or letter under § 30.47 (c), the information con- setting forth corrective measures re- stituting a voluntary self-disclosure or quired. any other correspondence pertaining to (3) Refer the matter, if necessary, to a voluntary self-disclosure may be sub- the OEE for the appropriate action. mitted to: Chief, Foreign Trade Divi- sion, U.S. Census Bureau, Room 6K032, §§ 30.75–30.99 [Reserved] Washington, DC 20233–6700, by phone 1– APPENDIX A TO PART 30—SAMPLE FOR 800–549–0595, by fax (301) 763–8835, or by POWER OF ATTORNEY AND WRITTEN e-mail [email protected]. AUTHORIZATION

324

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00334 Fmt 8010 Sfmt 8002 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR Census Bureau, Commerce Pt. 30, App. A

325

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00335 Fmt 8010 Sfmt 8006 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR ER02JN08.000 Pt. 30, App. B 15 CFR Subtitle B, Ch. I (1–1–13 Edition)

APPENDIX B TO PART 30—AES FILING IR Shipments of merchandise imported CODES under a Temporary Import Bond for re- pair PART I—METHOD OF TRANSPORTATION CODES CH Shipments of goods donated for charity FS Foreign Military Sales 10 Vessel OS All other exports 11 Vessel Containerized HV Shipments of personally owned vehicles 12 Vessel (Barge) HH Household and personal effects 20 Rail TE Temporary exports to be returned to 21 Rail Containerized the United States 30 Truck TL Merchandise leased for less than a year 31 Truck Containerized IS Shipments of merchandise imported 32 Auto under a Temporary Import Bond for re- 33 Pedestrian turn in the same condition 34 Road, Other CR Shipments moving under a carnet 40 Air GP U.S. Government shipments 41 Air Containerized MS Shipments consigned to the U.S. Armed 50 Mail Forces GS Shipments to U.S. Government agencies 60 Passenger, Hand Carried for their use 70 Fixed Transport (Pipeline and Power- UG Gift parcels under Bureau of Industry house) and Security License Exception GFT DD Other exemptions: PART II—EXPORT INFORMATION CODES Currency TP Temporary exports of domestic mer- Airline tickets chandise Bank notes IP Shipments of merchandise imported Internal revenue stamps under a Temporary Import Bond for fur- State liquor stamps ther manufacturing or processing Advertising literature

326

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00336 Fmt 8010 Sfmt 8002 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR ER02JN08.001 Census Bureau, Commerce Pt. 30, App. C

Shipments of temporary imports by for- NUCLEAR REGULATORY COMMISSION (NRC) eign entities for their use CODES RJ Inadmissible merchandise N01 NRC Form 250/250A—NRC Form 250/250A (For Manifest Use Only by AES Carriers) N02 NRC General License—NRC ‘General’ AE Shipment information filed through AES Export License (See §§ 30.50 through 30.58 for information on filing exemptions.) DEPARTMENT OF STATE, DIRECTORATE OF DEFENSE TRADE CONTROLS (DDTC) CODES PART III—LICENSE CODES SAG—Agreements SCA—Canadian ITAR Exemption DEPARTMENT OF COMMERCE, BUREAU OF S00—License Exemption Citation INDUSTRY AND SECURITY (BIS), LICENSES S05—DSP–5—Permanent export of unclassi- C30 Licenses issued by BIS authorizing an fied defense articles and services export, reexport, or other regulated ac- S61—DSP–61—Temporary import of unclassi- fied articles tivity. S73—DSP–73—Temporary export of unclassi- C31 SCL—Special Comprehensive License fied articles C32 NLR—No License Required (controlled S85—DSP–85—Temporary or permanent im- for other than or in addition to Anti-Ter- port or export of classified articles rorism) S94—DSP–94—Foreign Military Sales C33 NLR—No License Required (All others, including Anti-Terrorism controls DEPARTMENT OF TREASURY, OFFICE OF ONLY) FOREIGN ASSETS CONTROL (OFAC) CODES C35 LVS—Limited Value Shipments T10—OFAC Specific License C36 GBS—Shipments to B Countries T11—OFAC General License C37 CIV—Civil End Users T12—Kimberley Process Certificate Number C38 TSR—Restricted Technology and Soft- OTHER LICENSE TYPES ware C40 TMP—Temporary Imports, Exports, OPA—Other Partnership Agency License and Re-exports For export license exemptions under Inter- C41 RPL—Servicing and Replacement of national Traffic in Arms Regulations, refer Parts and Equipment to 22 CFR 120–130 of the ITAR for the list of C42 GOV—Government and International export license exemptions. Organizations PART IV—IN-BOND CODES C43 GFT—Gift Parcels and Humanitarian Donations 70 Not In Bond 36 Warehouse Withdrawal for Immediate C44 TSU—Technology and Software—Unre- Exportation stricted 37 Warehouse Withdrawal for Transpor- C45 BAG—Baggage tation and Exportation C46 AVS—Aircraft and Vessels (AES not re- 67 Immediate Exportation from a Foreign quired) Trade Zone C47 APR—Additional Permissive Re-exports 68 Transportation and Exportation from a C48 KMI—Key Management Intrastructure Foreign Trade Zone C49 TAPS—Trans-Alaska Pipeline Author- ization Act APPENDIX C TO PART 30—SUMMARY OF C50 ENC—Encryption Commodities and EXEMPTIONS AND EXCLUSIONS FROM Software EEI FILING C51 AGR—License Exception Agricultural A. EEI is not required for the following Commodities types of shipments: 1 C53 APP—Adjusted Peak Performance 1. Exemption for shipments destined to (Computers) Canada (§ 30.36). C54 SS–WRC—Western Red Cedar 2. Valued $2,500 or less per Schedule B/ C55 SS–Sample—Crude Oil Samples HTSUSA classification for commodities C56 SS–SPR—Strategic Petroleum Reserves shipped from one USPPI to one consignee on C57 VEU—Validated End User Authoriza- a single carrier (§ 30.37(a)). tion 1 Exemption from the requirements for re- porting complete commodity information is covered in § 30.38; Special exemptions for shipments to the U.S. Armed Services and covered in § 30.39; and Special exemptions for certain shipments to U.S. Government agen- cies and employees are covered in § 30.40.

327

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00337 Fmt 8010 Sfmt 8002 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR Pt. 30, App. C 15 CFR Subtitle B, Ch. I (1–1–13 Edition)

3. Tools of the trade and their containers 16. Shipments of aircraft parts and equip- that are usual and reasonable kinds and ment; food, saloon, slop chest, and related quantities of commodities and software in- stores; and provisions and supplies for use on tended for use by individual USPPIs or by aircraft by a U.S. airline. (EAR license ex- employees or representatives of the export- ception (AVS) for aircraft and vessels 15 CFR ing company in furthering the enterprises 740.15(c); § 30.37(p)). and undertakings of the USPPI abroad 17. Baggage and personal effects, accom- (§ 30.37(b)). panied or unaccompanied, of persons leaving 4. Shipments from one point in the United the United States including members of States to another point in the United States crews on vessels and aircraft, when they are by routes passing through Canada or Mexico not shipped as cargo under a bill of lading or (§ 30.37(c)). an air waybill and do not require an export 5. Shipments from one point in Canada or license (§ 30.37(q)). Mexico to another point in the same country 18. Temporary exports, whether shipped or by routes through the United States hand carried, (e.g., carnet) that are exported (§ 30.37(d)). from or returned to the United States in less 6. Shipments transported inbond through than one year (12 months) from date of ex- the United States for export to a third coun- port (§ 30.37(r)). try and exported from another U.S. port or 19. Goods previously imported under Tem- transshipped and exported directly from the porary Import Bond for return in the same port of arrival never having made entry into condition as when imported including: goods the United States. If entry for consumption for testing, experimentation, or demonstra- or warehousing in the United States is made, tion; goods imported for exhibition; samples then an EEI is required if the goods are then and models imported for review or for taking exported to a third country from the United orders; goods for imported for participation States (§ 30.37(e)). in races or contests; and animals imported 7. Exports of technology and software as for breeding or exhibition and imported for defined in 15 CFR 772 of the EAR that do not use by representatives of foreign government require an export license. However, EEI is re- or international organizations or by mem- quired for mass-market software (§ 30.37(f)). bers of the armed forces of a foreign country. 8. Shipments to foreign libraries, govern- Goods that were imported under bond for ment establishments, or similar institutions, processing and re-exportation are not cov- as provided in FTR Subpart D § 30.40 (d). ered by this exemption (§ 30.37(s)). (§ 30.37(h)). 20. Issued banknotes and securities and 9. Shipments as authorized under License coins in circulation exported as evidence of Exception GFT for gift parcels and humani- financial claims. The EEI must be filed for tarian donations (EAR 15 CFR 740.12); unissued bank notes and securities and coins § 30.37(i)). not in circulation (such as bank notes print- 10. Diplomatic pouches and their contents ed in the United States and exported in ful- (§ 30.37(j)). fillment of the printing contract or as part 11. Human remains and accompanying ap- of collections), which should be reported at propriate receptacles and flowers (§ 30.37(k)). their commercial or current value (§ 30.37(t)). 12. Shipments of interplant correspond- 21. Documents used in international trans- ence, executed invoices and other docu- actions, documents moving out of the United ments, and other shipments of company States to facilitate international trans- business records from a U.S. firm to its sub- actions including airline tickets, internal sidiary or affiliate. This excludes highly revenue stamps, liquor stamps, and adver- technical plans, correspondence, etc. that tising literature. Export of such documents could be licensed (§ 30.37(l)). in fulfillment of a contract for their produc- 13. Shipments of pets as baggage tion, however, are not exempt and must be (§ 30.37(m)). reported at the transaction value for their 14. Carrier’s stores, not shipped under a bill production (§ 30.37(u)). of lading or an air waybill, supplies and B. The following types of transactions are equipment, including usual and reasonable outside the scope of the FTR and shall be ex- kinds and quantities of bunker fuel, deck en- cluded from EEI filing: gine and steward department stores, provi- 1. Goods shipped under CBP bond through sions and supplies, medicinal and surgical the United States, Puerto Rico, or the U.S. supplies, food stores, slop chest articles, and Virgin Islands from one foreign country or saloon stores or supplies for use or consump- area to another where such goods do not tion on board and not intended for unlading enter the consumption channels of the in a foreign country. (See Table 5 if shipped United States. under a bill of lading or an air waybill 2. Goods shipped from the U.S. territories (§ 30.37(n)). of Guam Island, American Samoa, Wake Is- 15. Dunnage not shipped under a bill of lad- land, Midway Island, and Northern Mariana ing or an air waybill, of usual and reasonable Islands to foreign countries or areas, and kinds and quantities not intended for unlad- goods shipped between the U.S. and these ing in a foreign country (§ 30.37(o)). territories (§ 30.2(d)(2)).

328

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00338 Fmt 8010 Sfmt 8002 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR Census Bureau, Commerce Pt. 30, App. D

3. Electronic transmissions and intangible Rico, or the U.S. Virgin Islands and from transfers. See FTR, Subpart B, for export Guantanamo Bay Naval Base to the United control requirements for these types of States, Puerto Rico, or the U.S. Virgin Is- transactions (§ 30.2(d)(3)). lands. (See FTR Subpart D § 30.39 for filing 4. Goods shipped to Guantanamo Bay Naval requirements for shipments exported by the Base in Cuba from the United States, Puerto U.S. Armed Services.) (§ 30.2(d)(4)).

APPENDIX D TO PART 30—AES FILING CITATION, EXEMPTION AND EXCLUSION LEGENDS

I. USML Proof of Filing Citation ...... AES ITN Example: AES X20060101987654. II. AES Proof of Filing Citation subpart A § 30.7 AES ITN Example: AES X20060101987654. III. AES Postdeparture Citation-USPPIUSPPI is AESPOST USPPI EIN mm/dd/yyyy Example: filing the EEI. AESPOST 12345678912 01/01/2006. IV. Postdeparture Citation-Agent ...... AESPOST USPPI EIN—Filer ID mm/dd/yyyy Example: AESPOST 12345678912— 987654321 01/01/2006. V. AES Downtime Citation-Use only when AES AESDOWN Filer ID mm/dd/yyyy Example: or AESDirect is unavailable. AESDOWN 123456789 01/01/2006. VI. Standard Exclusions are found in 15 CFR 30, Subpart A, § 30.2(d)(1) through § 30.2(d)(4). The following types of transactions shall be ex- cluded from EEI filing: (1) Goods Shipped from U.S. terri- NOEEI § 30.2(d)(site corresponding number). tories. (2) Goods Shipped to or from Guanta- namo Bay Naval Base in Cuba and the United States. (3) Inbond Shipments through the United States, Puerto Rico, and the U.S. Virgin Islands. VII. Exemption for Shipments to Canada ...... NOEEI § 30.36. VIII. Exemption for Low-Value Shipments ...... NOEEI § 30.37(a). IX. Miscellaneous Exemption Statements are NOEEI § 30.37 (site corresponding alphabet). found in 15 CFR 30 Subpart D § 30.37(b) through § 30.37(u). X. Special Exemption for Shipments to the U.S. NOEEI § 30.39 Armed Forces. XI. Special Exemptions for Certain Shipments NOEEI § 30.40 (site corresponding alphabet). to U.S. Government Agencies and Employ- ees (Exemption Statements are found in 15 CFR 30 Subpart D § 30.40(a) through § 30.40(d). XII. Split Shipments by Air ‘‘Split Shipments’’ AES ITN SS Example: AES should be referenced as such on the mani- X20060101987654 SS. fest in accordance with provisions contained in § 30.28, ‘‘Split Shipments by Air.’’ The no- tation 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 in- cluded at the end of the appropriate exemp- tion statement. Proof of filing citations by pipeline ...... NOEEI § 30.8(b).

329

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00339 Fmt 8010 Sfmt 8026 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR Pt. 30, App. E 15 CFR Subtitle B, Ch. I (1–1–13 Edition)

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 requirement for 30.2 ...... General requirements for filing Electronic Shipper’s Export Declarations (SEDs). Export Information (EEI). 30.1(a) ...... General requirements for filing SEDs ...... General require- ments for filing EEI.. 30.1(b) ...... General requirements for reporting regard- NA.. ing method of transportation. 30.1(c) ...... AES as an alternative to SED reporting .... NA.. 30.1(d) ...... Electronic transmissions and intangible 30.2(d)(3) ...... Exclusions from filing EEI. transfers. 30.2 ...... Related export control requirements ...... 30.15 ...... Export control and licensing 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 Regula- tions. 30.3 ...... Shipper’s Export Declaration forms ...... NA.. 30.4 ...... Preparation and signature of Shipper’s 30.3 ...... Electronic Export Information filer require- Export Declarations (SED). ments, parties to export transactions, responsibilities of parties to export transactions. 30.4(a) ...... General requirements (SED) ...... 30.3(a) ...... General Requirements. 30.3(b) ...... Parties to the export transaction. 30.4(b) ...... Responsibilities of parties in export trans- 30.3(c) ...... General responsibilities of parties in ex- actions. port transactions. 30.3(d) ...... Filer responsibilities. 30.4(c) ...... Responsibilities of parties in a routed ex- 30.3(e) ...... Responsibilities of parties in a routed ex- port transactions. port transaction. 30.4(d) ...... Information on the Shipper’s Export Dec- 30.3(a) ...... General requirements. laration (SED) or Automated Export System (AES) record. 30.4(e) ...... Authorizing a forwarding or other agent .... 30.3(f) ...... Authorizing an agent. 30.4(f) ...... Format requirements for SEDs ...... NA.. 30.5 ...... Number and copies of Shipper’s Export NA.. Declaration required. 30.6 ...... Requirements as to separate Shipper’s NA.. Export Declarations. 30.7 ...... Information required on Shipper’s Export NA.. Declarations. 30.8 ...... Additional information required on ship- NA.. per’s Export Declaration for In-Transit Goods (ENG Form 7513). 30.9 ...... Requirements for separation and align- NA.. ment of items on shipper’s Export Dec- larations. 30.10 ...... Continuation sheets for Shipper’s Export NA.. Declaration. 30.11 ...... Authority to require production of docu- 30.10(b) ...... Authority to require production of docu- ment. ments and retaining electronic data. 30.12 ...... Time and place for presenting the SED, 30.4 ...... Electronic export information filing proce- exemption legends or proof of filing cita- dures, deadlines, and certification state- tions. ments. 30.8 ...... Time and place for presenting proof of fil- ing citations, postdeparture filing cita- tions, AES downtime citations, and ex- emption legends. 30.15 ...... Procedure for presentation of declarations NA.. covering shipments from an interior point. 30.16 ...... Corrections to Shipper’s Export Declara- 30.9 ...... Transmitting and correcting Electronic Ex- tions. port Information.

Subpart B—General Requirements—Exporting Carriers

30.20 ...... General statement of requirement for the 30.45 ...... General statement of requirements for the filing of manifests * * *. filing of carrier manifests with proof of filing.

330

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00340 Fmt 8010 Sfmt 8002 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR Census Bureau, Commerce Pt. 30, App. E

FTSR FTSR regulatory topic FTR FTR regulatory topic

30.20(a) ...... Carriers transporting merchandise from 30.45(a) ...... Requirements for filing carrier manifest. the United States, Puerto Rico, or U.S. territories to foreign countries. 30.20(b) ...... For carriers transporting merchandise 30.45(a) ...... Requirements for filing carrier manifest. from the United States to Puerto Rico. 30.20(c) ...... Except as otherwise specifically provided, 30.45(a) ...... Requirements for filing carrier manifest. declarations should not be filed at the place where the shipment originates. 30.20(d) ...... For purposes of these regulations, the 30.1(c) ...... Definition used with EEI. port of exportation is defined as * * *. 30.21 ...... Requirements for the filing of Manifests .... 30.45 ...... General statement of requirements for the filing of carrier manifests with proof of filing citations for the electronic submis- sion 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 manifests ...... 30.45(a)(4) ...... Carriers not required to file manifests. 30.22(a) ...... Requirements for the filing of SEDs or 30.8 ...... Time and place for presenting proof of fil- AES exemption legends and AES proof ing citation, exemption, and exclusion of filing citations by departing carriers. legends. 30.22(b) ...... The exporting carrier shall be responsible NA.. for the accuracy of the following items of information. 30.22(c) ...... Except as provided in paragraph (d) of NA.. this section, when a transportation com- pany finds, prior to the filing of declara- tions and manifest as provided in para- graph (a) of this section, that due to cir- cumstances beyond the control of the transportation company or to inadvert- ence, a portion of the merchandise cov- ered by an individual Shipper’s Export Declaration has not been exported on the intended carrier. 30.22(d) ...... When a shipment by air covered by a sin- 30.45(c) ...... Split shipments by air. gle Shipper’s Export Declaration is di- vided by the transportation company and exported in more than one aircraft of the transportation. 30.22(e) ...... Exporting carriers are authorized to NA.. amend incorrect shipping weights re- ported on Shipper’s Export Declarations. 30.23 ...... Requirements for the filing of Shipper’s 30.46 ...... Requirements for the filing of export infor- Export Declarations by pipeline carriers. mation by pipeline carriers. 30.24 ...... Clearance or departure of carriers under 30.47 ...... Clearance or departure of carriers under bond on incomplete manifest on Ship- bond on incomplete manifests. per’s Export Declarations.

Subpart C—Special Provisions Applicable Under Particular Circumstances

30.30 ...... Values for certain types of transactions .... 30.25 ...... Values for certain types of transactions. 30.31 ...... Identification of certain nonstatistical and 30.29 ...... Reporting of repairs and replacements. other unusual transactions. 30.31(a) ...... Merchandise exported for repair only, and 30.29(a) ...... The return of goods previously imported other temporary exports. for repair * * *. 30.31(b) ...... The return of merchandise previously im- 30.29(b) ...... Goods that are covered under warranty ported for repair only. and other temporary exports. 30.31(c) ...... Shipments of material in connection with NA.. construction, maintenance, and related work being done on projects for the U.S. Armed Forces. 30.33 ...... Vessels, planes, cargo vans, and other 30.26 ...... Reporting of vessels, aircraft, cargo vans, carriers and containers sold foreign. and other carriers and containers. 30.34 ...... Return of exported cargo to the United 30.27 ...... Return of exported cargo to the United States prior to reaching its final destina- States prior to reaching its final destina- tion. tion. 30.37 ...... Exceptions from the requirement for re- 30.38 ...... Exemption from the requirements for re- porting complete commodity detail on porting complete commodity informa- the Shipper’s Export Declaration. tion.

331

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00341 Fmt 8010 Sfmt 8002 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR Pt. 30, App. E 15 CFR Subtitle B, Ch. I (1–1–13 Edition)

FTSR FTSR regulatory topic FTR FTR regulatory topic

30.37(a) ...... Where it can be determined that particular 30.39 ...... Special exemptions for shipments to the types of U.S. Government shipments, or U.S. Armed Services. (Note, this sec- shipments for government projects, are tion does not specifically address con- of such nature that they should not be struction materials nor related work included in the export statistics. being done on projects). 30.37(b) ...... Special exemptions to specific portions of NA.. the requirements of § 30.7 with respect to the reporting of detailed information. 30.39 ...... Authorization for reporting statistical infor- NA.. mation other than by means of indi- vidual Shipper’s Export Declarations filed for each shipment. 30.40 ...... Single declaration for multiple consignees NA.. 30.41 ...... ‘‘Split shipments’’ by air ...... 30.28 ...... ‘‘Split shipments’’ by air.

Subpart D—Exemptions From the Requirements for the Filing of Shipper’s Export Declarations

30.50 ...... Procedure for shipments exempt from the 30.35 ...... Procedure for shipments exempt from fil- requirements for Shipper’s Export Dec- ing requirements. larations. 30.51 ...... Government shipments not generally ex- 30.39 ...... Special exemption for shipments to the empt. U.S. Armed Services. 30.52 ...... Special exemptions for shipments to the 30.39 ...... Special exemptions for shipments to the U.S. Armed Services. U.S. Armed Services. 30.53 ...... Special exemptions for certain shipments 30.40 ...... Special exemptions for certain shipments to U.S. Government agencies and em- to U.S. Government agencies and em- ployees. ployees. 30.53(e) ...... All commodities shipped to and for the ex- NA.. clusive use of the Panama Canal Zone or the Panama Canal Company. 30.55 ...... Miscellaneous exemptions 30.37 ...... Miscellaneous exemptions. 30.55(a) ...... Diplomatic pouches and their contents ..... 30.37(i) ...... Diplomatic pouches and their contents. 30.55(b) ...... Human remains and accompanying ap- 30.37(j) ...... Human remains and accompanying ap- propriate receptacles and flowers. propriate receptacles and flowers. 30.55(c) ...... Shipments from one point in the United 30.37(c) ...... Shipments from one point in the United States to another thereof by routes States to another point in the United passing through Mexico. States by routes passing through Can- ada or Mexico. 30.55(d) ...... Shipments from one point in Mexico to 30.37(d) Shipments from one point in Canada or another point thereof by routes through Mexico to another point in the same the United States. country by routes through the United States. 30.55(e) ...... Shipments, other than by vessel, or mer- 30.37(e) ...... Shipments, transported in-bond through chandise for which no validated export the United States, and exported from licenses are required, transported in- another U.S. port, or transshipped and bond through the United States, and ex- exported directly from the port of arrival. ported from another U.S. port, or trans- shipped and exported directly from the port of arrival. 30.55(f) ...... Shipments to foreign libraries, government 30.37(g) ...... Shipments to foreign libraries, government establishments, or similar institutions, establishments, or similar institutions, as provided in § 30.53(d). as provided in § 30.40(d). 30.55(g) ...... Shipments of single gift parcels as author- 30.37(h) ...... Shipments authorized by License Excep- ized by the Bureau of Industry and Se- tion GFT for gift parcels, humanitarian curity under License Exception GFT, donations. see 15 CFR 740.12 of the EAR. 30.55(h) ...... Except as noted in paragraph (h)(2) of 30.37(a) ...... Except as noted in § 30.2(a)(e)(iv), ex- this section, exports of commodities ports of commodities where the value of where the value of the commodities the commodities shipped USPPI to one shipped from one exporter to one con- consignee on a single exporting carrier, signee on a single exporting carrier, classified under an individual Schedule classified under an individual Schedule B or HTSUSA commodity classification B number, is $2,500 or less. code, is $2,500 or less. 30.55(i) ...... Shipments of interplant correspondence, 30.37(k) ...... Shipments of interplant correspondence, executed invoices, and other docu- executed invoices, and other docu- ments and other shipments of company ments and other shipments of company business records from a U.S. firm to its business records from a U.S. firm to its subsidiary or affiliate. subsidiary or affiliate. 30.55(j) ...... Shipments of pets as baggage, accom- 30.37(l) ...... Shipments of pets as baggage, accom- panied or unaccompanied, of persons panied or unaccompanied, of persons leaving the United States, including leaving the United States, including members of crews on vessels and air- members of crews on vessels and air- craft. craft.

332

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00342 Fmt 8010 Sfmt 8002 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR Census Bureau, Commerce Pt. 30, App. E

FTSR FTSR regulatory topic FTR FTR regulatory topic

30.55(k) ...... Shipments for use in connection with NA.. NASA tracking systems under Office of Export Administration Project License DL–5355–S. 30.55(l) ...... Shipments of aircraft parts and equip- NA.. ment, 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 Com- merce, Office of Export Administration General License, RCS. 30.55(m) ...... Shipments for use in connection with NA.. NOAA operations under the Office of Export Administration General License G–NOAA. 30.55(n) ...... Exports of technology and software as de- 30.37(f) ...... Exports of technology and software as de- fined in 15 CFR 772 of the EAR that do fined in 15 CFR 772 of the EAR that do not require an export license. not require an export license. 30.55(o) ...... Intangible exports of software and tech- 30.2(d)(3) ...... Intangible exports of software and tech- nology, such as downloaded software nology, such as downloaded software and technical data, including technology and technical data, including technology and software that requires an export li- and software that requires an export li- cense and mass market software ex- cense and mass market software ex- ported electronically. ported electronically. 30.56 ...... Conditional Exemptions ...... 30.37 ...... Miscellaneous exemptions. 30.56(a) ...... Baggage and personal effects * * * ...... 30.38 ...... Exemption from the requirements for re- porting complete commodity informa- tion. 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 declarations for NA.. shipments of types of goods covered by § 30.56 not conditionally exempt. 30.58 ...... Exemption for shipments from the United 30.36 ...... Exemption for shipments destined to Can- States to Canada. ada.

Subpart E—Electronic Filing Requirements—Shipper’s Export Information

30.60 ...... General requirements for filing export and 30.2 ...... General requirements for filing Electronic manifest data electronically using the Export 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 transmission require- 30.4 ...... NA. ments. 30.60(d) ...... General responsibilities of exporters, filing 30.3 ...... Electronic Export Information filer require- agents, and sea carriers—. ments, parties to export transactions, and responsibilities of parties to export transactions. 30.61 ...... Electronic filing options ...... 30.4 ...... Electronic Export Information filing proce- dure, deadlines, and certification state- ment. 30.62 ...... AES Certification, qualifications, and 30.5 ...... EEI filing application and certification standards. processes and standards. 30.63 ...... Information required to be reported elec- 30.6 ...... Electronic Export Information data ele- tronically through AES (data elements). ments. 30.64 ...... Transmitting and correcting AES informa- 30.9 ...... Transmitting and correcting Electronic Ex- tion. port Information. 30.65 ...... Annotating the proper exemption legends 30.7 ...... Annotating the bill of lading, air waybill, or proof of filing citations for shipments and other commercial loading docu- transmitted electronically. ments with the proper proof of filing ci- tations, approved postdeparture filing ci- tations, downtime filing citation, or ex- emption legends. 30.66 ...... Recordkeeping and requirements ...... 30.5(f) ...... Support. 30.66 ...... Support, documentation, and record- 30.10 ...... Retention of export information and the keeping requirements. authority to require production of docu- ments.

333

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00343 Fmt 8010 Sfmt 8002 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR Pt. 30, App. F 15 CFR Subtitle B, Ch. I (1–1–13 Edition)

FTSR FTSR regulatory topic FTR FTR regulatory topic

Subpart F—General Requirements—Importers

30.70 ...... Statistical information required on import 30.50 ...... General requirements for filing import en- entries. tries. 30.51 ...... Statistical information required for import entries. 30.80 ...... Imports from Canada ...... 30.54 ...... Special provisions for imports from Can- ada. 30.81 ...... Imports of merchandise into Guam ...... NA.. 30.82 ...... Identification of U.S. merchandise re- 30.53 ...... Import of goods returned for repair. turned for repair and reexport. 30.83 ...... Statistical copy of mail and informal en- NA.. tries.

Subpart H—General Administrative Provisions

30.90 ...... Confidential information, import entries, 30.55 ...... Confidentiality information, import entries, and withdrawals. and withdrawals. 30.91 ...... Confidential information, Shipper’s Export 30.60 ...... Confidentiality of Electronic Export Infor- Declarations. mation. 30.92 ...... Statistical classification schedules ...... 30.61 ...... Statistical classification 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 diamonds ..... 30.70 ...... Violation of the Clean Diamond Trade Act. 30.95(b) ...... Exports of other than rough diamonds ...... 30.71 ...... False or fraudulent reporting. 30.99 ...... OMB control numbers assigned pursuant 30.63 ...... Office of Management and Budget control to the Paperwork Reduction Act. numbers assigned pursuant to the Pa- perwork Reduction Act.

APPENDIX F TO PART 30—FTR TO FTSR CONCORDANCE

FTR FTR regulatory topic FTSR FTSR regulatory topic

Subpart A—General Requirements

30.1 ...... Purpose and definitions ...... NA ...... NA. 30.2 ...... General requirements for filing Electronic 30.1 ...... General statement of requirement for Export Information. Shipper’s Export Declarations. 30.2(a) ...... Filing Requirements ...... Filing Requirements. 30.2(b) ...... General requirements...... NA. 30.2(c) ...... Certification and filing requirements ...... NA. 30.2(d) ...... (d) Exclusions from filing EEI ...... NA. 30.2(e) ...... (e) Penalties ...... NA. 30.3 ...... Electronic Export Information filer require- 30.4 ...... Preparation and signature of Shipper’s ments, parties to export transactionns, Export Declaration. and responsibilities of parties to export transactions. 30.4 ...... Electronic Export Information filing proce- 30.61 ...... Electronic filing options. dures, deadlines, and certification state- ments. 30.4(a) ...... EEI transmitted predeparture ...... 30.61(a) ...... EEI transmitted predeparture. 30.4(b) ...... Filing deadlines for EEI transmitted ...... NA. predeparture. 30.4(c) ...... EEI transmitted postdeparture ...... 30.61(b) ...... EEI transmitted post departure. 30.4(d) ...... Proof of filing citation or exemption legend 30.12(d) ...... Exports file via AES. 30.5 ...... Electronic Export Information filing appli- 30.62 ...... AES Certification, qualifications, and cation and certification processes and standards. standards. 30.5(a) ...... AES application process ...... 30.60(b) ...... AES Participant Application. 30.5(b) ...... Certification process ...... 30.66 ...... Recordkeeping and requirements. 30.5(c) ...... Postdeparture filing approval process. 30.5(d) ...... Electronic Export Information filing stand- ards. 30.5(e) ...... Monitoring the filing of Electronic Export Information 30.5(f) ...... Support. 30.6 ...... Electronic Export Information data ele- 30.63 ...... Information required to be reported elec- ments. tronically through AES (data elements). 30.7 ...... Annotating the bill of lading * * * ...... 30.65 ...... Annotating the proper exemption legends or proof of filing citations * * *.

334

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00344 Fmt 8010 Sfmt 8002 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR Census Bureau, Commerce Pt. 30, App. F

FTR FTR regulatory topic FTSR FTSR regulatory topic

30.8 ...... Time and place for preenting proof of fil- 30.12 ...... Time and place for presenting the SED, ing citations, postdeparture filing cita- exemption legends, or proof of filing ci- tions, downtime filing citation, or exemp- tations. tion legends. 30.9 ...... Transmitting and correcting Electronic Ex- 30.64 ...... Transmitting and correcting AES informa- port Information. tion...... 30.16 ...... Corrections to Shipper’s Export Declara- tions. 30.10(a) ...... Retention of Export information ...... 30.66 ...... Support, documentation and record- keeping, and documentation require- ments. 30.10(b) ...... Authority to require production of docu- 30.11 ...... Authority to require production of docu- ments. ments.

Subpart B—Export Control and Licensing Requirements

30.15 ...... Introduction ...... 30.2 ...... Related export control requirements. 30.16 ...... Export Administration Regulations ...... 30.2 ...... Related export control requirements. 30.17 ...... Customs and Border Protection Regula- 30.2 ...... Related export control requirements. tions. 30.18 ...... Department of State Regulations ...... 30.2 ...... Related export control requirements. 30.19 ...... Other Federal agency regulations ...... 30.2 ...... Related export control requirements.

Subpart C—Special Provisions and Specific-Type Transactions

30.25 ...... Values for certain types of transactions .... 30.30 ...... Values for certain types of transactions. 30.26 ...... Reporting of vessels, aircraft, cargo vans, 30.33 ...... Vessels, planes, cargo vans, and other and other carriers and containers. carriers and containers sold foreign. 30.27 ...... Return of exported cargo to the United 30.34 ...... Return of exported cargo to the United States prior to reaching its final destina- States prior to reaching its final destina- tion. tion. 30.28 ...... ‘‘Split shipments’’ by air ...... 30.41 ...... ‘‘Split shipments’’ by air. 30.29 ...... Reporting of repairs and replacements ..... 30.31 ...... Identification of certain nonstatistical and other unusual transactions.

Subpart D—Exemptions From the Requirements for the Filing of Electronic Export Information

30.35 ...... Procedure for shipments exempt from fil- 30.50 ...... Procedure for shipments exempt from the ing requirements. requirements for SEDs. 30.36 ...... Exemption for shipments destined to Can- 30.58 ...... Exemption for shipments from the United ada. states to Canada. 30.37 ...... Miscellaneous exemptions ...... 30.55 ...... Miscellaneous exemptions. 30.55 ...... Conditional exemptions. 30.37(a) ...... Except as noted in § 30.2(a)(1)(iv), ex- Except as noted in paragraph h(2) of this ports of commodities where the value section, exports of commodities where * * * is $2,500 or less. the value * * * is $2,500 or less. 30.37(b) ...... Tools of trade * * * ...... 30.56(b) ...... Tools of trade * * *. 30.37(c) ...... Shipments from one point in the United 30.55(c) ...... Shipments from one point in the United States to another point in the United States to another thereof by routes States by routes passing through Can- passing through Mexico. ada or Mexico 30.58(a) ...... * * * this exemption also applies to ship- ments from one point in the United States or Canada to another point thereof * * *. 30.37(d) ...... Shipments from one point in Canada or 30.55(d) ...... Shipments from one point in Canada or Mexico to another point thereof by Mexico to another point in the same routes through the United States country by routes through the United States. 30.58(a) ...... * * * this exemption also applies to ship- ments from one point in the United States or Canada to another point thereof * * *. 30.37(e) ...... Shipments transported inbound through 30.55(e) ...... Shipments, other than by vessel, or mer- the United States * * *. chandise for which no validated li- censes required, transported inbound through the United States * * *. 30.37(f) ...... Exports of technology and software as de- 30.55(n) ...... Exports of technology and software as de- fined in 15 CFR of the EAR that do not fined in 15 CFR 772 of the EAR that do require an export license * * *. not require an export license * * *. 30.37(g) ...... Shipments to foreign libraries, government ...... Shipments to foreign libraries, government establishments, or similar institutions, establishments, or similar institutions, as provided in § 30.40(d). as provided in § 30.53(d).

335

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00345 Fmt 8010 Sfmt 8002 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR Pt. 30, App. F 15 CFR Subtitle B, Ch. I (1–1–13 Edition)

FTR FTR regulatory topic FTSR FTSR regulatory topic

30.37(h) ...... Shipments as authorized under License 30.55(g) ...... Shipments of single gift parcels as author- Exception GFT for gift parcels and hu- ized by the Bureau of Industry and Se- manitarian donations. curity under license exception GFT. 30.37(i) ...... Diplomatic pouches and their contents ..... 30.55(a) ...... Diplomatic pouches and their contents. 30.37(j) ...... Human remains and accompanying ap- 30.55(b) ...... Human remains and accompanying ap- propriate receptacles and flowers. propriate receptacles and flowers. 30.37(k) ...... Shipments of interplant correspondence, 30.55(i) ...... Shipments of interplant correspondence, executed invoices and other docu- executed invoices and other docu- ments, and other shipments of company ments, and other shipments of company business records from a U.S. firm to its business records from a U.S. firm to its subsidiary or affiliate. subsidiary or affiliate. 30.37(l) ...... Shipments of pets as baggage, accom- 30.55(j) ...... Shipments of pets as baggage, accom- panied or unaccompanied, of persons panied or unaccompanied, of persons leaving the United States, including leaving the United States, including members of crews on vessels and air- members of crews on vessels and air- craft. craft. 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 and equip- 30.55(l) ...... Shipments of aircraft parts and equip- ment; food, saloon, slop chest, and re- ment; food, saloon, slop chest, and re- lated stores, * * *. lated stores, * * *. 30.37(p) ...... Baggage and personal effects not shipped 30.56(a) ...... Baggage and personal effects not shipped as cargo under a bill of lading or an air as cargo under a bill of lading or an air waybill and not requiring an export li- waybill and not requiring an export li- cense * * *. cense * * *. 30.37(q) ...... Temporary exports, whether shipped or 30.31(a) ...... * * * and other temporary exports. hand carried (e.g., carnet), which are exported from or returned to the United States in less than one year (21 months) from the date of export 30.37(a)(2) ...... Temporary exports by or to U.S. Govern- ment agencies. 30.37(r) ...... Goods previously imported under a Tem- 30.31(b) ...... * * * and other returns to the foreign porary Import Bond for return in the shipper of other temporarily imported same condition as when imported * * *. merchandise. 30.37(s) ...... Issued bank notes and securities and ...... NA. coins in circulation exported as evi- dence of financial claims. 30.37(t) ...... Documents used in international trans- ...... NA. actions * * *. 30.38 ...... Exemption from the requirements for re- 30.56 ...... Conditional exemptions. porting complete commodity information. 30.38(a) ...... Usual and reasonable kinds and quan- 30.56(a)(1) ...... Usual and reasonable kinds and quan- tities of wearing apparel, articles of per- tities of wearing apparel, articles of per- sonal adornment, toilet articles, medic- sonal adornment, toilet articles, medic- inal supplies, food, souvenirs, games, inal supplies, food, souvenirs, games, and similar personal effects and their and similar personal effects and their containers. containers. 30.38(b) ...... Usual and reasonable kinds and quan- 30.56(a)(2) ...... Usual and reasonable kinds and quan- tities of furniture, household effects, tities of furniture, household effects, household furnishings, and their con- household furnishings, and their con- tainers. tainers. 30.38(c) ...... Usual and reasonable kinds and quan- 30.56(a)(3) ...... Usual and reasonable kinds and quan- tities of vehicles, such as passenger tities of vehicles, such as passenger cars, station wagons, trucks, * * *. cars, station wagons, trucks, * * *. 30.39 ...... Special exemptions for certain shipments 30.53 ...... Special exemptions for certain shipments to U.S. Government agencies and em- to U.S. Government agencies and em- ployees. ployees 30.40 ...... Special exemptions for certain shipments 30.53 ...... Special exemptions for certain shipments to U.S. Government agencies and em- to U.S. Government agencies and em- ployees. ployees

Subpart E—General Carrier and Manifest Requirements

30.45 ...... General statement of requirements for the 30.20 ...... General statement of requirements for the filing of carrier manifests with proof of filing of manifests * * *. 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 export infor- 30.23 ...... Requirement for the filing of Shipper’s Ex- mation by pipeline carriers. port declarations by pipeline carriers.

336

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00346 Fmt 8010 Sfmt 8002 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR Census Bureau, Commerce § 40.1

FTR FTR regulatory topic FTSR FTSR regulatory topic

30.47 ...... Clearance or departure of carriers under 30.24 ...... Clearance or departure of carriers under bond on incomplete manifests. bond on incomplete manifest * * *.

Subpart F—Import Requirements

30.50 ...... General requirements for filing import en- 30.70 ...... Statistical information required on import tries. entries. 30.53 ...... Import of goods returned for repair ...... 30.82 ...... Identification of U.S. merchandise re- turned for repair and reexport. 30.54 ...... Special provisions for imports from Can- 30.80 ...... Imports from Canada. ada. 30.55 ...... Confidential information, import entries, 30.90 ...... Confidential information import entries, and withdrawals. and withdrawals.

Subpart G—General Administrative Provisions

30.60 ...... Confidentiality of Electronic Export Infor- 30.91 ...... Confidential information, Shipper’s Export mation. Declaration. 30.61 ...... Statistical classification schedules ...... 30.92 ...... Statistical classification schedules. 30.62 ...... Emergency exceptions ...... 30.93 ...... Emergency exceptions. 30.63 ...... Office of Management and Budget control 30.99 ...... OMB control numbers assigned pursuant numbers assigned pursuant to the Pa- to the Paperwork Reduction Act. perwork Reduction Act.

Subpart H—Penalties

30.70 ...... Violation of the Clean Diamond Trade Act 30.95(a) ...... Penalties for violations for export (reex- port) of rough diamonds. 30.71 ...... False or fraudulent reporting on or misuse 30.95(b) ...... Penalties for violations of exports other of the Automated Export System. than diamonds. 30.71(a) ...... Criminal penalties. 30.71(b) ...... Civil penalties. 30.72 ...... Civil penalty procedures ...... NA. 30.73 ...... Enforcement ...... NA. 30.73(a) ...... Department of Commerce. 30.73(b) ...... Department of Homeland Security. 30.74 ...... Voluntary self-disclosure ...... NA. 30.75–30.99 ...... [Reserved]

PART 40—TRAINING OF FOREIGN lateral technical assistance agency for PARTICIPANTS IN CENSUS PRO- the United States Government, to for- CEDURES AND GENERAL STATIS- eign participants for training, observa- TICS tion, and research in the fields of cen- suses and statistics at the Bureau of Sec. the Census. In compliance with the 40.1 Type of grant. needs of the participants and con- 40.2 Qualifications. sistent with resources of the Bureau, 40.3 Cooperation with bilateral technical as- training programs will be developed sistance programs of the United States. along the lines of a combined interne- 40.4 Administrative provisions on selection of participants and funding of costs. training and/or training-in research 40.5 Other cooperative arrangements. types, and may include any or all of the following: AUTHORITY: 5 U.S.C. 301; 22 U.S.C. 1456; 31 U.S.C. 686. Memorandum of Agreement be- (a) Conference courses designed to tween the Department of Commerce and the provide the trainee with adequate Foreign Operations Administration Con- background information on (1) organi- cerning Foreign Technical Assistance Work, zation and administration of the signed June 10, 1954. United States Bureau of the Census, (2) SOURCE: 28 FR 119, Jan. 4, 1963, unless oth- subject-matter areas for which the Bu- erwise noted. reau of the Census collects and com- § 40.1 Type of grant. piles statistical information, (3) nature and scope of the major statistical pro- Training grants will be awarded by grams maintained by other federal gov- the Agency for International Develop- ernment agencies, (4) techniques and ment (AID), in its capacity as the bi-

337

VerDate Mar<15>2010 08:23 Feb 08, 2013 Jkt 229050 PO 00000 Frm 00347 Fmt 8010 Sfmt 8010 Y:\SGML\229050.XXX 229050 wreier-aviles on DSK5TPTVN1PROD with CFR