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.