Federal Register, Volume 76 Issue 14 (Friday, January 21, 2011)

[Federal Register Volume 76, Number 14 (Friday, January 21, 2011)]
[Proposed Rules]
[Pages 4001-4026]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-165]

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Part III

Department of Commerce

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Census Bureau

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15 CFR Part 30

Foreign Trade Regulations (FTR): Mandatory Automated Export System
Filing for All Shipments Requiring Shipper's Export Declaration
Information: Proposed Substantive Changes and Corrections; Proposed
Rule

Federal Register / Vol. 76 , No. 14 / Friday, January 21, 2011 /
Proposed Rules

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DEPARTMENT OF COMMERCE

Bureau of the Census

15 CFR Part 30

[Docket Number 100318153-0154-01]
RIN Number 0607-AA50

Foreign Trade Regulations (FTR): Mandatory Automated Export
System Filing for All Shipments Requiring Shipper's Export Declaration
Information: Proposed Substantive Changes and Corrections

AGENCY: Bureau of the Census, Commerce Department.

ACTION: Notice of proposed rulemaking.

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SUMMARY: The U.S. Census Bureau (Census Bureau) proposes to amend its
regulations to reflect new export reporting requirements. Specifically,
the Census Bureau is proposing to require mandatory filing of export
information through the Automated Export System (AES) or through
AESDirect for all shipments of used self-propelled vehicles, temporary
exports and household goods. The Census Bureau is also proposing to
modify the postdeparture filing program by changing the filing time
frame from ten (10) calendar days to five (5) calendar days and only
allowing postdeparture reporting for approved commodities. In addition
to the new export reporting requirements and the modifications to the
postdeparture filing program, the proposed rule would make remedial
changes to the FTR to improve clarity and to correct errors. These
changes are discussed in detail in the SUPPLEMENTARY INFORMATION
section.

DATES: Submit written comments on or before March 22, 2011.

ADDRESSES: Please direct all written comments on this proposed rule to
the Associate Director for Economic Programs, U.S. Census Bureau, Room
8H132, Washington, DC 20233. You may also submit comments, identified
by RIN number 0607-AA50, to the Federal e-Rulemaking Portal: http://www.regulations.gov. All comments received are a part of the public
record. No comments will be posted to http://www.regulations.gov for
public viewing until after the comment period has closed. Comment will
generally be posted without change. All Personal Identifying
Information (for example, name, address) voluntarily submitted by the
commenter may be publicly accessible. Do not submit Confidential
Business Information or otherwise sensitive or protected information.
The Census Bureau will accept anonymous comments (enter N/A in the
required fields, if you wish to remain anonymous). You may submit
attachments to electronic comments in Microsoft Word, Excel,
WordPerfect, or Adobe PDF file formats only.

FOR FURTHER INFORMATION CONTACT: William G. Bostic, Jr., Assistant
Director for Economic Programs, U.S. Census Bureau, Room 8K108,
Washington, DC 20233-6010, by phone (301) 763-8842, by fax (301) 763-
4967, or by e-mail FTD.FTR.Comments@census.gov.

SUPPLEMENTARY INFORMATION:

Background

The Census Bureau is responsible for collecting, compiling, and
publishing export trade statistics for the United States under the
provisions of Title 13, United States Code (U.S.C.), Chapter 9, Section
301. The AES is the primary instrument used for collecting export trade
data, which is used by the Census Bureau for statistical purposes only.
Through the AES, the Census Bureau collects Electronic Export
Information (EEI), the electronic equivalent of the export data
formerly collected on the Shipper's Export Declaration, reported
pursuant to Title 15 Code of Federal Regulations (CFR) Part 30. The EEI
consists of data elements set forth at 15 CFR 30.6 for an export
shipment, and includes information such as the exporter's personal
identifying information, which includes name, address and
identification number, and detailed information concerning the exported
product. Other Federal government agencies use the EEI for export
control purposes to detect and prevent the export of certain items by
unauthorized parties or to unauthorized destinations or end users. The
EEI is exempt from public disclosure unless the Secretary of Commerce
determines under the provisions of Title 13, U.S.C., Chapter 9, Section
301(g), that such exemption would be contrary to the national interest.

Program Requirements

To comply with the requirements of the Foreign Relations
Authorization Act, Public Law 107-228, the Census Bureau is amending
relevant sections of the FTR to reflect new export reporting
requirements.
The Census Bureau is proposing to amend the following sections of
the FTR:
Revise the table of contents in Sec. 30.28 by removing
the quotations and the words by air because split shipments applies to
all modes of transportation.
Revise Sec. 30.1(c) to add the terms and definitions for
``Commercial loading document,'' ``Diplomatic pouch,'' ``Electronic CBP
Form 214 Admissions (e214),'' ``Filer ID,'' ``Foreign port of
unlading,'' ``Household goods,'' ``International waters,'' ``Issued
banknote,'' ``Mass-market software,'' ``Non Vessel Operating Common
Carrier (NVOCC),'' ``Shipping documents,'' ``Transshipment,''
``Value,'' and ``Voluntary self-disclosure'' to clarify the use of
these terms in the FTR.
In Sec. 30.1(c), revise the definition for ``AES downtime
filing citation'' to clarify that the downtime citation cannot be used
when the filer's system is down or experiences delays.
In Sec. 30.1(c), revise the definition for ``Annotation''
by removing the reference to an exclusion legend and to add the word
``commercial'' prior to the words ``loading documents.'' This revision
is necessary to clarify that the exclusion legend is no longer required
and to note that the FTR only references commercial loading documents;
therefore, the word ``commercial'' is added before all references to
the words ``loading documents.''
In Sec. 30.1(c), revise the definition for ``Automated
Export System Trade Interface Requirements (AESTIR)'' to clarify that
the document also includes technical requirements.
In Sec. 30.1(c), remove the definition for ``Automated
Foreign Trade Zone Reporting Program (AFTZRP)'' because the program is
no longer in existence. The definition for ``Electronic CBP Form 214
Admissions (e214)'' is added to replace the AFTZRP.
In Sec. 30.1(c), add the term and definition ``Commercial
loading document'' because the FTR only references commercial loading
documents. Therefore, the term and definition for ``Loading document''
is removed from this section
In Sec. 30.1(c), revise the definition for ``Country of
ultimate destination'' to reference Sec. 30.6(a)(5).
In Sec. 30.1(c), revise the definition for ``End user''
to clarify that the end user is the entity abroad, known at the time of
export by the USPPI, who ultimately uses the exported or reexported
items.
In Sec. 30.1(c), remove the term and definition ``Export
value'' because this term is not used in the FTR and cite the term and
definition ``Value''.
In Sec. 30.1(c), revise the definition for ``Filers'' to
remove the word ``system'' after the acronym ``AES.''
In Sec. 30.1(c), revise the definition for ``Foreign
principal party in interest (FPPI)'' to clarify that the FPPI is the
party that purchases the goods for export.

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In Sec. 30.1(c), revise the term and definition for
``Harmonized Tariff Schedule of the United States (HTSUS)'' to include
the correct title and abbreviation and remove references to CBP since
it is not the only agency that uses the HTSUSA.
In Sec. 30.1(c), revise the definition for ``Manifest''
by removing the reference to an exclusion legend. The USPPIs and
authorized agents are no longer required to place an exclusion legend
on the bill of lading, air waybill, export shipping instructions, or
other commercial loading documents.
In Sec. 30.1(c), revise the definition for ``Port of
export'' to clarify the port for transshipments through Canada or
Mexico.
In Sec. 30.1(c), revise the definition for
``Postdeparture filing'' to clarify that only approved commodities
exported by approved USPPIs can be filed postdeparture. In addition,
the Postdeparture filing time frame is changed from ten (10) calendar
days to five (5) calendar days for export control and enforcement
purposes.
In Sec. 30.1(c), revise the definition for ``Power of
attorney'' to include a reference to Appendix A.
In Sec. 30.1(c), revise the definition for ``Shipment''
to clarify that except as noted in Sec. 30.2(a)(1)(iv), the EEI shall
be filed when the value of the goods is over $2,500 per Schedule B
number.
In Sec. 30.1(c), revise the definition for ``Shipment
reference number'' to clarify that the reuse of the shipment reference
number is prohibited.
In Sec. 30.1(c), revise the definition for ``Shipper's
Export Declaration (SED)'' to clarify the date the paper SED became
obsolete.
In Sec. 30.1(c), revise the definition for ``Split
shipment'' to clarify that split shipments apply to all modes of
transportation and that the goods must leave on the same day.
In Sec. 30.1(c), revise the definition for ``U.S. Customs
and Border Protection'' to correct errors in grammar.
In Sec. 30.1(c), revise the definition for ``Written
Authorization'' to include reference to Appendix A.
In Sec. 30.2(a)(1)(iv), add paragraphs (H) and (I) to
include the new filing requirements for reporting used self-propelled
vehicles and household goods. These types of shipments will be required
to be filed in the AES regardless of value or country of destination.
However, shipments of household goods consigned to U.S. government
agencies and employees for their exclusive use are exempt from this
requirement.
In Sec. 30.2(a)(1)(iv), revise paragraph (E) to include
the exemptions for shipments to Country Group E:1 based on 15 CFR 734
and 740.
In Sec. 30.2(a), revise paragraph (2) to reflect the
correct Web site for the Automated Export System Trade Interface
Requirements document.
Revise Sec. 30.2(b)(3) to reflect that the AES downtime
procedures cannot be used when the computer system of an AES
participant is unavailable for transmission.
In Sec. 30.2(d), revise the introductory text to clarify
that an exclusion legend is not required on the bill of lading, air
waybill, export shipping instructions, or other commercial loading
documents.
Revise Sec. 30.2(d)(2) to clarify that Puerto Rico and
the U.S. Virgin Islands are not excluded from filing the EEI.
Revise the parenthetical phrase in Sec. 30.2(d)(4), by
removing the word ``by'' and adding in its place the word ``to.''
In Sec. 30.2(d), add a new paragraph (5) to include the
new exclusion for goods licensed by a U.S. federal government agency
where the country of ultimate destination is the United States or goods
destined to international waters where the person(s) or entity assuming
control of the item(s) is a citizen or permanent resident alien of the
United States or a juridical entity organized under the laws of the
United States or a jurisdiction within the United States
Revise Sec. 30.3(b)(2) to clarify that a foreign entity
must be in the United States at the time goods are purchased or
obtained for export in order to be listed as a USPPI.
Revise Sec. 30.3(b)(2)(iii) by removing the word
``foreign entity'' and adding in its place the word ``FPPI.'' This
revision clarifies that the U.S. order party directly arranges for the
sale and export of goods for the foreign party located abroad.
In Sec. 30.3(b), add paragraph (4) to include carriers as
a party to the export transaction.
Revise Sec. 30.3(c)(1)(ii)(A) to include the required
information to be provided to the authorized agent in an export
transaction. This language is consistent with the requirements for
providing information in a routed export transaction.
Revise Sec. 30.3(c)(2)(ii) to clarify that the power of
attorney or written authorization comes from the USPPI in a standard
transaction.
In Sec. 30.3(c), add paragraph (3) to clarify carrier
responsibilities as it pertains to the FTR.
Revise Sec. 30.3(e)(1) to include the requirement for the
USPPI to provide the ultimate consignee type, if known, in a routed
export transaction to the authorized agent.
Revise Sec. 30.3(e)(2) to include the requirement that an
authorized agent must provide the USPPI with the Internal Transaction
Number and Date of export when the agent files the EEI in a routed
transaction. In addition, if known, the agent shall provide the
ultimate consignee type in the AES.
Revise Sec. 30.4(a)(6) to clarify that shipments where
complete outbound manifests are required prior to clearing vessels
going directly to the countries identified in U.S. Customs and Border
Protection regulations 19 CFR 4.75(c) and aircraft going directly or
indirectly to those countries must be filed predeparture.
Revise Sec. 30.4(b)(1) to provide the correct citation in
the International Traffic in Arms Regulations for filing timeframes for
United States Munitions List shipments.
In Sec. 30.4(b), add paragraph (3) and redesignate
paragraph (3) and paragraph (4) to clarify that the filing timeframes
for shipments between the United States and Puerto Rico do not apply.
Shipments between the United States and Puerto Rico must file the
export information and have the proof of filing citation, postdeparture
filing citation, or exemption citation by the time the shipment arrives
at the port of unloading.
Revise Sec. 30.4(b) to add paragraph (4) to include the
new filing timeframe requirement for used self-propelled vehicles as
defined in 19 CFR 192.1 of U.S. Customs and Border Protection
regulations.
Revise Sec. 30.4(c) and Sec. 30.5(c) to clarify that
only approved commodities exported by approved USPPIs can be filed
postdeparture. In addition, the postdeparture filing time frame has
changed from ten (10) calendar days to five (5) calendar days.
Revise Sec. 30.4(d) to remove the reference to an
exclusion legend. The USPPIs and authorized agents are no longer
required to place an exclusion legend on the bill of lading, air
waybill, export shipping instructions, or other commercial loading
documents.
Revise Sec. 30.5 to clarify the postdeparture approval
procedures. Certification and approval requirements were strengthened
to address U.S. national security concerns and interest. Under the
proposed postdeparture filing requirements, postdeparture reporting
will only be permitted for commodities on the approved list for
postdeparture filing. This list can be found at http://www.census.gov/aes. Any commodities not included on the approved list must be reported
prior to exportation and all current USPPI's previously approved for
postdeparture filing must reapply. The

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USPPI may apply for postdeparture filing privileges by submitting a
postdeparture filing application at http://www.census.gov/aes.
In Sec. 30.5(c)(1), add paragraph (ix) to include that
the USPPI will be denied postdeparture filing status if unable to meet
the AES predeparture filing requirements.
In Sec. 30.5(c)(3), add paragraph (G) to clarify that the
Census Bureau will revoke postdeparture privileges of an approved USPPI
if it exports commodities not on the approved list.
In Sec. 30.5(d)(1) and (d)(2), remove the administrator
code option for accessing account features in the AESDirect.
Revise Sec. 30.5(d)(2) to clarify that companies must
immediately deactivate the username, in the AESDirect, of employee who
leaves the company or is no longer an authorized user.
Revise Sec. 30.6(a)(1)(ii) to clarify that the USPPI does
not need to own/lease the facility where the goods actually begin the
journey to the port of export.
Revise Sec. 30.6(a)(3) to clarify that for licensed
shipments to international waters, the person designated on the export
license must be reported as the ultimate consignee.
Revise Sec. 30.6(a)(5)(i) to clarify that BIS license
exceptions and non licensed shipments to international waters the filer
must report the nationality of the person(s) or entity assuming control
of the item(s) subject to the EAR.
Revise Sec. 30.6(a)(8) to clarify the carrier
identification code that must be reported in the AES for vessel
shipments.
In Sec. 30.6(a)(9), revise text to clarify that the port
of export for shipments by overland transportation is where the goods
cross the U.S. border into Canada or Mexico, including transshipments
through Canada or Mexico. In addition, language was added to address
shipment by vessel and air involving several ports of exportation.
In Sec. 30.6(a)(9), remove paragraphs (i) and (ii)
because the content is included in the text of Sec. 30.6(a)(9).
In Sec. 30.6(a)(17), revise the introductory text to
clarify that the value reported in the AES must be in U.S. dollars.
Revise Sec. 30.6(a)(19) to clarify that the reuse of the
shipment reference number is prohibited.
Revise Sec. 30.6(a)(23) by adding a comma and the word
``authorization'' after the word ``permit.'' This revision is to
clarify that authorizations, such as validated end-users, are to be
reported in the license code/license exemption code field.
In Sec. 30.6(b), redesignate paragraphs (1) through (3)
as paragraphs (4) through (6) and add new paragraphs (1) through (3) to
include the new conditional filing requirement for reporting the
address of the license applicant and name and address of the end-user.
In Sec. 30.6(b), redesignate paragraphs (4) through (14)
as paragraphs (8) through (18) and add new paragraph (7) to include the
new conditional filing requirement for reporting the country of origin
for goods of foreign origin.
Revise Sec. 30.6(b)(14)(ii) to require the transportation
reference number for air shipments.
In Sec. 30.6(b), redesignate paragraphs (15) and (16) as
paragraphs (20) and (21) and add paragraph (19) to include the new
conditional filing requirement for reporting the license value.
Redesignate Sec. Sec. 30.6(c)(1) and (c)(2) as Sec. Sec.
30.6(b)(22) and (23). This revision will designate the optional data
elements, equipment and seal number, as conditional data elements. The
revision also clarifies that the equipment number is required for
containerized vessel cargo.
In Sec. 30.6(b) add paragraphs (24), and (24)(i) through
(24)(iii) to include a new conditional filing requirement for ultimate
consignee type. The three ultimate consignee types are: Reseller,
Government Reseller and Government Consumer. If applicable, the
ultimate consignee shall be identified according to one of the types
listed above that best describes its function. If at the time of
filing, the USPPI or authorized agent knows the ultimate consignee
type, that information must be reported in the AES. If more than one
type applies to the ultimate consignee, report the type that applies
most often.
Revise Sec. 30.7(b) to remove the reference to an
exclusion legend. The USPPIs and authorized agents are no longer
required to place an exclusion legend on the bill of lading, air
waybill, export shipping instructions, or other commercial loading
documents.
In Sec. 30.8, remove the citation ``Sec. 30.4(e)'' and
add in its place ``Sec. 30.7'', which references the requirement to
annotate the commercial loading documents with the proof of filing
citation and exemption legend, because the incorrect citation is cited.
Section 30.7 provides requirements for annotating the bill of lading,
air waybill, or other commercial loading documents with the proof of
filing citations, and exemption legends.
In Sec. 30.8(a), remove the citation ``Sec. 30.2'' and
add in its place ``Sec. 30.4(b)'' because the incorrect citation is
cited in the current FTR.
In Sec. 30.8(b), add language to reference Sec. 30.46
which states the requirements for filing export information by pipeline
carriers.
In Sec. 30.8(c), remove the reference to an exclusion
legend. The USPPIs and authorized agents are no longer required to
place an exclusion legend on the bill of lading, air waybill, export
shipping instructions, or other commercial loading documents.
Revise Sec. 30.9(b) to clarify that failure to respond to
fatal error messages prior to export of the cargo subjects the USPPI or
authorized agent to penalties. The postdeparture filing time frame has
also changed from ten (10) calendar days to five (5) calendar days.
Also, remove the word ``regulation'' and add in its place ``the FTR''
in the second to last sentence.
In Sec. 30.16, revise the introductory text to spell out
the acronym ``EAR'' and remove the word ``also.''
In Sec. 30.16, revise paragraph (b) to include reference
to 15 CFR 758.1(g), which references requirements in the EAR, and add
paragraph (c) to include the requirement for placing certain export
information on export control documents for shipments that are exempt
from filing in the AES.
Revise Sec. 30.18(a) to spell out the acronym ``ITAR''
and to clarify that shipments licensed by the State Department that are
ultimately destined to a location in the United States are not required
to be filed in the AES.
In Sec. 30.25, add paragraph (c) to include the new
filing requirements for goods rejected after entry into the United
States. Those goods must be filed in the AES and the value to be
reported is the declared import value.
Redesignate Sec. 30.26(a) as Sec. 30.37(e) to include
the exemption for reporting vessels, aircraft, cargo vans, and other
carriers and containers when shipping as tools of international trade.
The exemption for in-transit shipments is removed.
Redesignate Sec. 30.26(b) to Sec. 30.26 and revise to
correct errors in grammar.
In Sec. 30.28, revise the title to remove the quotation
marks and the words ``by air.'' This section now includes all modes of
transportation.
In Sec. 30.28, revise the introductory text to remove the
words ``by air,'' and the word ``aircraft'' and adding in place of the
latter the word ``conveyance,'' and to clarify that a split shipment
must occur on the same day for all modes of transportation.
In Sec. 30.28(a) and (b), remove all references to the
word ``flight'' and add in its place ``conveyance.'' This revision is
to clarify that split shipments apply to all modes of transportation.

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Revise Sec. 30.29(a) to clarify that the return of goods
previously imported only for repair and alteration to the foreign
shipper are required to be reported in the AES.
Revise Sec. 30.29(b)(2) to clarify the requirement to
report the Schedule B number or HTSUSA classification commodity number
for replacement products and remove the word ``only'' in the last
sentence. This revision is to clarify that the value should include
inland or domestic freight, insurance, and other charges to the U.S.
seaport, airport, or land border port of export.
Revise Sec. 30.35 to clarify that exemptions from filing
in the AES does not apply when a shipment falls under Sec.
30.2(a)(1)(iv), which references the types of export shipments that
must be filed, regardless of value.
In Sec. 30.36(b), add paragraphs (7) and (8) to include
the requirement for reporting used self-propelled vehicles and
household goods destined to Canada.
In Sec. 30.36(b), revise the introductory text to clarify
that shipments destined to Canada must be filed in the same manner as
all other exports when they fall under Sec. Sec. 30.36(b)(1) through
(7). Therefore, removing the language from paragraph (b)(2).
In Sec. 30.37, remove paragraphs (q) and (r). This
revision removes the exemption for temporary exports. Temporary
shipments of goods valued over $2,500 per Schedule B or that require a
license must be filed in the AES. When reporting temporary exports
report the appropriate export information code for temporary goods,
such as ``TE and TP''.
Revise Sec. 30.37 introductory text to clarify that
exemptions from filing EEI do not apply if the shipment falls under
Sec. 30.2(a)(1)(iv), which references the types of export shipments
that must be filed, regardless of value.
Revise Sec. 30.37(a) by removing the words ``Except as
noted in Sec. 30.2(a)(1)(iv)'' and clarify that goods that are of
domestic and foreign origins with the same Schedule B number must be
reported separately. In addition the reference to Sec. 30.38 for the
reporting of household goods was added.
Revise Sec. 30.37(g) to clarify the types of articles
that are exempt when shipping to foreign libraries, government
establishments, and other similar institutions.
Redesignate Sec. Sec. 30.37(s) and (t) as Sec. Sec.
30.37(q) and (r).
Revise Sec. 30.37 by adding paragraph(s) to clarify that
exports of technical data and defense service exemptions defined in 22
CFR 123.22(b)(3)(iii) are exempt from the EEI filing requirements.
Revise Sec. 30.38 to clarify that, regardless of value,
limited reporting is required for household goods when the goods are
for use by the USPPI or the USPPI's immediate family, not for sale, and
shipped under a bill of lading or an air waybill. In addition, the
revision removed the exemption for limited reporting of vehicles
because full reporting is required for used self-propelled vehicles.
In Sec. 30.39 and Sec. 30.40, revise the introductory
text to clarify that the exemptions for the U.S. Armed Services and
U.S. government agencies and employees does not apply if the shipment
falls under Sec. 30.2(a)(1)(iv), which references the types of export
shipments that must be filed, regardless of value.
In Sec. 30.40, remove paragraph (d) because Sec.
30.37(g) now incorporates the exemption described in this paragraph.
In Sec. 30.45(a), revise the introductory text by
removing the word ``shall'' from the first sentence and adding in its
place the word ``may'' and removing references to the exclusion legend.
This revision is necessary to clarify that the exclusion legend is no
longer required to be noted on the commercial loading documents.
In Sec. 30.45(a)(2), remove the word ``unladed'' and
adding in its place ``unladen.'' This section is also revised to
require the manifest to be filed with the CBP Port Director at the port
of exit rather than the port where the goods are laden.
In Sec. 30.45(a)(4), remove reference to the exclusion
legend because USPPIs and authorized agents are no longer required to
place this citation on the bill of lading, air waybill, export shipping
instructions, or other commercial loading documents.
In Sec. 30.45(c), revise the title to remove the
quotation marks and the words ``by air'' since this requirement now
pertains to all modes of transportation. This section is also revised
to clarify that a split shipment must be divided by the carrier.
In Sec. 30.45(d), remove the words ``bill of lading'' in
the last sentence and add in its place the words ``commercial loading
document.''
Revise Sec. 30.45(f)(1) by adding the words ``Except as
noted in Sec. 30.4(b)(2)'' to clarify that proof of filing citations
and exemption legends are required for shipments between the United
States and Puerto Rico when the carrier reaches the port of unloading.
Revise Sec. 30.45(f)(1) by removing the references to the
SED and the exclusion legend. The SED has been replaced by the EEI, and
the exclusion legend is no longer required to be placed on the bill of
lading, air waybill, export shipping instructions, or other commercial
loading documents.
In Sec. 30.45(f), remove paragraphs (3) and (4) because
requirements for truck and rail shipments will be added to Sec. Sec.
30.45(f)(1) and (2).
In Sec. 30.46 and Sec. 30.47, remove all references to
the exclusion legend because the USPPIs or authorized agents are no
longer required to place the exclusion legend on the bill of lading,
air waybill, export shipping instructions, or other commercial loading
documents.
In Sec. 30.47(a), remove the word ``business'' and add in
its place the word ``calendar.'' This is to clarify that the carrier
has up to four calendar days after clearance or departure of the
carrier to file manifest and all required filing citations and/or
exemption legends.
In Sec. 30.47(a)(2), remove the words ``fifteenth
business'' and add in its place the word ``fourth calendar.'' This is
to clarify that the filing citations and/or exemption legends shall be
filed with CBP no later than the fourth calendar day after departure.
Revise Sec. 30.47(a)(3) to clarify that a list of filing
citations and/or exemption legends must be presented for carriers under
bond on an incomplete manifest upon request by CBP.
In Sec. 30.50(b)(5), remove the words ``Automated Foreign
Trade Zone Reporting Program (AFTZRP)'' and add in their place
``Electronic CBP Form 214 Admissions (e214)'' since the AFTZRP was
eliminated March 1, 2009.
Revise Sec. 30.52 to clarify the statistical filing
requirements for Foreign Trade Zone shipments via the e214 or paper
214A.
In Sec. 30.54(b), remove the second instance of the word
``region'' and add in its place the word ``country'' in the last
sentence. This is to clarify that the region of origin code replaces
the country of origin code on the CBP Form 7501.C
In Sec. 30.60(c)(4), add the words ``and foreign
companies'' after the word ``governments'' to clarify that neither
foreign governments nor entities may have access to the EEI.
Revise Sec. 30.60(c)(4)(d) to remove the reference to an
exclusion legend. The USPPIs and authorized agents are no longer
required to place an exclusion legend on the bill of lading, air
waybill, export shipping instructions, or other commercial loading
documents.
In Sec. 30.71(b), revise paragraph (1), redesignate paragraphs (2)
and (3) as paragraphs (3) and (4) and add a new paragraph (2). This
revision is to clarify

[[Page 4006]]

that the civil penalties imposed for delayed filings and failures to
file are different. For delayed filings, the penalty will not exceed
$1,100 per day of delinquency, and no more than $10,000 per violation;
whereas, failures to file, the penalty will not exceed $10,000 per
violation.
In Sec. 30.74(c)(3)(iv), remove the punctuation and the
word ``and'' at the end of the sentence because an additional paragraph
is added.
In Sec. 30.74(c)(3)(vi), add punctuation and the word
``and'' at the end of the sentence to clarify that when submitting a
voluntary self-disclosure, all items listed in Sec. 30.74(c)(3) must
be included in the letter submitted to the Census Bureau.
In Sec. 30.74(c)(3), add paragraphs (vi) and (vii) to
clarify that, when submitting a voluntary self-disclosure, the person
must indicate the corrective measures taken to avoid the violation in
the future and the ITNs of the missed and/or corrected shipments.
Revise Sec. 30.74(c)(5) to include the Foreign Trade
Division Web site regarding further instructions for submitting
voluntary self-disclosures to the Census Bureau.
Revise Appendices B through F to reflect all proposed
changes to the FTR discussed in this part.

Rulemaking Requirements

Regulatory Flexibility Act

The Chief Counsel for Regulation of the Department of Commerce
certified to the Chief Counsel for Advocacy of the Small Business
Administration (SBA) that this rule will not have a significant impact
on a substantial number of small entities. This action requires that
USPPIs or authorized agents in the United States file export
information to the AES for all shipments where an EEI record is
required under the FTR.
The SBA's table of size standards indicates that businesses that
are the USPPI or authorized agent and file export information are
considered small businesses if they employ less than 500 people. Based
on year 2008 Profile of U.S. Exporting Companies, the Census Bureau
estimates that there are 281,000 USPPIs that are considered small
entities under the Small Business Act definition. Over 90 percent of
USPPIs use an authorized agent to file export documentation. An
estimate of the number of authorized agents is not known.
The Census Bureau anticipates that the new requirement would not
significantly affect the small businesses that file through the AES.
The new reporting requirements would not affect a substantial number of
small entities because more than 90 percent of USPPIs that are
considered small entities use an authorized agent to file export
documentation. Also, while this regulation would likely affect a
substantial number of agents that are small entities it is not likely
that the effect will be significant. The majority of agents require use
of a computer to perform routine tasks, such as filing the AES. These
agents are unlikely to be significantly affected by these new
requirements, as they currently possess the technology and equipment to
submit the information through the AES. The Census Bureau has provided
a free Internet-based system, AESDirect, especially for small
businesses to submit their export information electronically. It would
not be necessary for small businesses to purchase software for this
task. For these reasons, if this proposed rule is adopted, this rule
would not have a significant economic impact on a substantial number of
small entities.

Executive Orders

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

Paperwork Reduction Act

Notwithstanding any other provision of law, no person is required
to respond to, nor shall a person be subject to a penalty for failure
to comply with, a collection of information subject to the requirements
of the Paperwork Reduction Act (PRA), unless that collection of
information displays a current, valid Office of Management and Budget
(OMB) control number. This rule contains a collection-of-information
subject to the requirements of the PRA (44 U.S.C. 3501 et seq.) and
that has been approved under OMB control number 0607-0152.

List of Subjects in 15 CFR Part 30

Economic statistics, Exports, Foreign trade, Reporting and
recordkeeping requirements.

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

PART 30--FOREIGN TRADE REGULATIONS

Subpart A--General Requirements

1. The authority citation for Part 30 continues to read as follows:

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

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

Sec. 30.1 Purpose and Definitions.

* * * * *
(c) * * *
AES downtime filing citation. A statement used in place of a proof
of filing citation when the AES or AESDirect computer systems
experience a major failure. The citation must appear on the bill of
lading, air waybill, export shipping instructions, or other commercial
loading documents. The downtime filing citation is not to be used when
the filer's system is down or experiencing delays.
* * * * *
Annotation. An explanatory note (e.g., proof of filing citation,
postdeparture filing citation, AES downtime filing citation, or
exemption legend) placed on the bill of lading, air waybill, export
shipping instructions, or other commercial loading document.
* * * * *

[[Page 4007]]

Automated Export System Trade Interface Requirements (AESTIR). The
document that describes the technical and operational requirements of
the AES. The AESTIR presents record formats and other reference
information used in the AES.
* * * * *
Commercial loading document. A document that establishes the terms
of a contract between a shipper and a transportation company under
which freight is to be moved between points for a specific charge. It
is usually prepared by the shipper or the shipper's agent and actuated
by the carrier and serves as a document of title, a contract of
carriage, and a receipt for goods. Examples of commercial loading
documents include the air waybill, inland bill of lading, ocean bill of
lading, and through bill of lading.
* * * * *
Country of ultimate destination. The country where the goods are to
be consumed, further processed, stored, or manufactured, as known to
the USPPI at the time of export. (See Sec. 30.6(a)(5)).
* * * * *
Diplomatic pouch. Any properly identified and sealed pouch,
package, envelope, bag, or other container that is used to transport
official correspondence, documents, and articles intended for official
use, between Embassies, legations, or consulates, and the foreign
office of any government.
* * * * *
Electronic CBP Form 214 Admissions (e214). A web-based system that
allows importers, brokers and zone operators to report import data
electronically via CBP's Automated Broker Interface system for
merchandise being admitted into a Foreign Trade Zone. The e214 is the
electronic system that replaced the Census Bureau's Automated Foreign
Trade Zone Reporting Program.
* * * * *
End user. The entity abroad, known at the time of export by the
USPPI, which ultimately uses the exported or reexported items. The end
user is not an authorized agent or intermediary, but may be the FPPI or
ultimate consignee.
* * * * *
Filers. Those USPPIs or authorized agents (of either the USPPI or
the FPPI) who have been approved to file EEI directly in the AES or
AESDirect Internet application.
Filer ID. The Employer Identification Number or Dun & Bradstreet
Number of the company or individual filing the export information in
the Automated Export System.
* * * * *
Foreign port of unlading. The port in the foreign country where the
goods are removed from the exporting carrier. The foreign port does not
have to be located in the country of destination. The foreign port of
unlading shall be reported in terms of Schedule K, ``Classification of
CBP Foreign Ports by Geographic Trade Area and Country.''
Foreign Principal Party in Interest (FPPI). The party abroad who
purchases the goods for export. This party may be the Ultimate
Consignee.
* * * * *
Harmonized Tariff Schedule of the United States Annotated (HTSUSA).
An organized listing of goods and their duty rates, developed by the
U.S. International Trade Commission, as the basis for classifying
imported and exported products, and also providing statistical
information about imports and exports.
Household goods. Usual and reasonable kinds and quantities of
furniture, clothing and personal adornments necessary and appropriate
for use by the USPPI or the USPPIs immediate family.
* * * * *
International waters. Waters located outside the U.S. territorial
sea, which extends 12 nautical miles measured from the baselines of the
United States, and outside the territory of any foreign country,
including the territorial waters thereof. Note that vessels, platforms,
buoys, undersea systems, and other similar structures that are located
in international waters, but are attached permanently or temporarily to
a country's continental shelf, are considered to be within the
territory of that country.
* * * * *
Issued banknote. A promissory note intended to circulate as money,
usually printed on paper or plastic, issued by a bank with a specific
denomination, payable to an individual, entity or the bearer.
* * * * *
Manifest. A collection of documents, including forms, such as the
cargo declaration and annotated bills of lading, that lists and
describes the cargo contents of a carrier, container, or warehouse.
Carriers required to file manifests with CBP Port Director must include
an AES filing citation, or exemption legend for all cargo being
transported.
* * * * *
Mass-market software. Software that is produced in large numbers
and made available to the public. It does not include software that is
customized for a specific user.
* * * * *
Method of transportation. The method by which goods arrive in or
are exported from the United States by way of seaports, airports, or
land border crossing points. Methods of transportation include vessel,
air, truck, rail, mail or other.
* * * * *
Non Vessel Operating Common Carrier (NVOCC). An individual or
entity who does not own or operate the carrying ship, but who contracts
with a shipping line for the carriage of the goods to the ultimate
consignee.
* * * * *
Port of export. The port of export is the U.S. Customs and Border
Protection seaport or airport where the goods are loaded on the carrier
that is taking the goods out of the United States, or the CBP port
where exports by overland transportation cross the U.S. border into
Canada or Mexico. For goods loaded aboard a carrier (aircraft or
vessel) where the conveyance stops at several ports before clearing to
the foreign country, the port of export is the first port where the
goods were loaded on the original conveyance. For goods off-loaded from
the original conveyance to another conveyance (even if the aircraft or
vessel belongs to the same carrier) at any of the ports, the port where
the goods were loaded on the last conveyance before going foreign is
the port of export. The port of export shall be reported in terms of
Schedule D, ``Classification of CBP Districts and Ports.'' Use port
code 8000 for shipments by mail.
* * * * *
Postdeparture filing. The privilege granted to approved USPPIs for
their EEI to be filed up to five calendar days from the date of export.
Postdeparture filing can only be used for an approved list of
commodities. This list can be found at http://www.census.gov/aes.
* * * * *
Power of attorney. A legal authorization, in writing, from a USPPI
or FPPI stating that the agent has authority to act as the principal
party's true and lawful agent for purposes of preparing and filing the
EEI in accordance with the laws and regulations of the United States.
(See Appendix A of this part.)
* * * * *
Shipment. All goods being sent from one USPPI to one consignee
located in a single country of destination on a single conveyance and
on the same day. Except as noted in Sec. 30.2(a)(1)(iv), the

[[Page 4008]]

EEI shall be filed when the value of the goods is over $2,500 per
Schedule B number or HTSUSA commodity classification code.
Shipment reference number. A unique identification number assigned
to the shipment by the filer for reference purposes. The reuse of the
shipment reference number is prohibited.
Shipper's Export Declaration (SED). The Department of Commerce
paper form used under the Foreign Trade Statistics Regulations to
collect information from an entity exporting from the United States.
This form was used for compiling the official U.S. export statistics
for the United States and for export control purposes. The SED became
obsolete on October 1, 2008, with the implementation of the Foreign
Trade Regulations (FTR) and has been superseded by the EEI filed to the
AES or through the AESDirect.
Shipping documents. Documents that include but are not limited to
commercial invoices, export shipping instructions, packing lists, bill
of ladings and air waybills.
* * * * *
Split shipment. A shipment covered by a single EEI transmission
booked for export on one conveyance, but divided by the exporting
carrier and sent on two or more conveyances of the same carrier on the
same day.
* * * * *
Transshipment. The transfer of merchandise from the country or
countries of origin through an intermediary country or countries to the
country of ultimate destination.
* * * * *
U.S. Customs and Border Protection (CBP). The unified border agency
within the Department of Homeland Security (DHS) charged with the
management, control, and protection of our Nation's borders at and
between the official ports of entry to the United States. CBP is
charged with keeping terrorist and terrorist weapons from entering the
country and enforcing customs, immigration, agricultural and countless
other laws of the United States.
* * * * *
Value. The selling price (or the cost if the goods are not sold) in
US dollars, plus inland or domestic freight, insurance, and other
charges to the U.S. seaport, airport, or land border port of export.
Cost of goods is the sum of expenses incurred in the USPPI's
acquisition or production of the goods. (See Sec. 30.6(a)(17)).
* * * * *
Voluntary Self-Disclosure (VSD). A narrative account with
supporting documentation that sufficiently describes suspected
violations of the FTR. A VSD reflects due diligence in detecting, and
correcting potential violation(s) when required information was not
reported or when incorrect information was provided that violates the
FTR.
* * * * *
Written authorization. A legal authorization, in writing, by the
USPPI or FPPI stating that the agent has authority to act as the
USPPI's or FPPI's true and lawful agent for purposes of preparing and
filing the EEI in accordance with the laws and regulations of the
United States. (See Appendix A of this part.)
3. Amend Sec. 30.2 by revising paragraphs (a)(1)(iv)(E), (a)(2),
(b)(3), paragraph (d) introductory text, paragraphs (d)(2) and (d)(4);
and adding paragraphs (a)(1)(iv)(H), (a)(1)(iv)(I) and (d)(5) to read
as follows:

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

(a) * * *
(1) * * *
(iv) * * *
(E) Destined for a country listed in Country Group E:1 as set forth
in Supplement 1 of 15 CFR 740, unless the shipment is exempt from
filing requirements by 15 CFR 734 or 740.
* * * * *
(H) Used self-propelled vehicles as defined in 19 CFR 192.1 of U.S.
Customs and Border Protection regulations.
(I) Household goods, unless the shipment is consigned to U.S.
government agencies and employees for their exclusive use.
(2) Filing methods. The USPPI has four means for filing EEI: use
AESDirect; develop AES software using the AESTIR (see http://www.customs.gov/xp/cgov/trade/automated/aes/tech_docs/); purchase
software developed by certified vendors using the AESTIR; or use an
authorized agent. An FPPI can only use an authorized agent in a routed
export transaction.
(b) * * *
(3) The AES downtime procedures provide uniform instructions for
processing export transactions when the government's AES or AESDirect
is unavailable for transmission. (See Sec. 30.4(b)(1) and Sec.
30.4(b)(3).)
* * * * *
(d) Exclusions from filing EEI. The following types of transactions
are outside the scope of this part and shall be excluded from EEI
filing. Notation on the bill of lading, air waybill, export shipping
instructions or other commercial loading documents is not required.
* * * * *
(2) Except Puerto Rico and the U.S. Virgin Islands, goods shipped
from the U.S. territories and goods shipped between the United States
and these territories do not require EEI filing. However, goods
transiting U.S. territories to foreign destinations require EEI filing.
* * * * *
(4) Goods shipped to Guantanamo Bay Naval Base in Cuba from the
United States, Puerto Rico, or the U.S. Virgin Islands and from
Guantanamo Bay Naval Base to the United States, Puerto Rico, or the
U.S. Virgin Islands. (See Sec. 30.39 for filing requirements for
shipments exported to the U.S. Armed Services.)
(5) Goods licensed by a U.S. federal government agency where the
country of ultimate destination is the United States or goods destined
to international waters where the person(s) or entity assuming control
of the item(s) is a citizen or permanent resident alien of the United
States or a juridical entity organized under the laws of the United
States or a jurisdiction within the United States.
* * * * *
4. Amend Sec. 30.3 by revising paragraphs (b)(2), (b)(2)(iii),
(c)(1)(ii)(A), (c)(2)(ii), (e)(1)(xii) and (e)(2); and adding
paragraphs (b)(4) and (c)(3) to read as follows: Sec. 30.3 Electronic
Export Information filer requirements, parties to export transactions,
and responsibilities of parties to export transactions.
* * * * *
(b) * * *
(2) USPPI. For purposes of filing EEI, the USPPI is the person or
legal entity in the United States that receives the primary benefit,
monetary or otherwise, from the transaction. Generally, that person or
entity is the U.S. seller, manufacturer, order party, or foreign entity
if in the United States at the time goods are purchased or obtained for
export. The foreign entity shall be listed as the USPPI if it is in the
United States when the items are purchased or obtained for export. The
foreign entity shall then follow the provisions for filing the EEI
specified in Sec. 30.3 and Sec. 30.6 pertaining to the USPPI.
* * * * *
(iii) If a U.S. order party directly arranges for the sale and
export of goods to the FPPI, the U.S. order party shall be listed as
the USPPI in the EEI.
* * * * *
(4) Carrier. A carrier is an individual or legal entity in the
business of

[[Page 4009]]

transporting passengers or goods. Airlines, trucking companies,
railroad companies, shipping lines, pipeline companies, and slot
charterers are all examples of carriers.
(c) * * *
(1) * * *
(ii) * * *
(A) Providing the authorized agent with the following information
to assist in preparing the EEI:
(1) Name and address of the USPPI.
(2) USPPI's EIN.
(3) State of origin (State).
(4) FTZ if applicable.
(5) Commercial description of commodities.
(6) Origin of goods indicator: Domestic (D) or Foreign (F).
(7) Schedule B number or HTSUSA, Classification Commodity Code.
(8) Quantities/units of measure.
(9) Value.
(10) Export Control Classification Number (ECCN) or sufficient
technical information to determine the ECCN if 15 CFR 758.1(g) requires
that an ECCN be entered.
(11) All licensing information necessary to file the EEI for
commodities where the Department of State, the Department of Commerce,
or other U.S. government agency issues a license for the commodities
being exported, or the merchandise is being exported under a license
exemption or exception.
(12) Ultimate consignee type, if known.
* * * * *
(2) * * *
(ii) Obtaining a power of attorney or written authorization from
the USPPI to file the EEI.
* * * * *
(3) Carrier responsibilities.
(i) The carrier must not load or move cargo unless the required
documentation, from the USPPI or authorized agent, contains the
required AES proof of filing, postdeparture, downtime, or exemption
citations. This information must be cited on the first page of the bill
of lading, air waybill, or other commercial loading documents.
(ii) The carrier must annotate the required AES proof of filing,
postdeparture, downtime, or exemption citations on the carrier's
outbound manifest when required.
(iii) The carrier is responsible for presenting the required AES
proof of filing, postdeparture, downtime, or exemption citations to CBP
Port Director at the port of export as stated in Subpart E of this
part. Such presentation shall be without material change or amendment
of the proof of filing citation, exemption legend or postdeparture
filing citation.
(iv) Except as provided in Sec. 30.28, when a carrier identifies
that a portion of the goods covered by a single EEI transaction has not
been exported on the intended conveyance, the carrier shall notify the
U.S. Customs and Border Protection Port Director at the Port of exit
immediately and amend the manifest. The carrier shall notify the USPPI
or the authorized agent of changes to the commodity data, and the USPPI
or the authorized agent shall electronically transmit the corrections,
cancellations, or amendments as soon as the corrections are known in
accordance with Sec. 30.9.
(v) Retain documents pertaining to the export shipment as specified
in Sec. 30.10.
* * * * *
(e) * * *
(1) * * *
(xii) Ultimate consignee type, if known.
* * * * *
(2) Authorized agent responsibilities. In a routed export
transaction, if an authorized agent is preparing and filing the EEI on
behalf of the FPPI, the authorized agent must obtain a power of
attorney or written authorization from the FPPI and prepare and file
the EEI based on information obtained from the USPPI or other parties
involved in the transaction. The authorized agent shall be responsible
for filing the EEI accurately and timely in accordance with the FTR.
Upon request, the authorized agent will provide the USPPI with a copy
of the power of attorney or written authorization from the FPPI. The
authorized agent shall also retain documentation to support the EEI
reported to the AES. The agent shall upon request, provide the USPPI
with the Internal Transaction Number, date of export, and the data
elements in paragraphs (e)(1)(i) through (xii) of this section as
submitted to the AES. The authorized agent shall provide the following
export information to the AES:
(i) Date of export.
(ii) Transportation Reference Number.
(iii) Ultimate consignee.
(iv) Intermediate consignee, if applicable.
(v) Authorized agent name and address.
(vi) EIN, or DUNS number of the authorized agent.
(vii) Country of ultimate destination.
(viii) Method of transportation.
(ix) Carrier identification and conveyance name.
(x) Port of export.
(xi) Foreign port of unloading.
(xii) Shipping weight.
(xiii) ECCN if 15 CFR 758.1(g) requires that an ECCN be entered.
(xiv) License information.
(xv) Ultimate consignee type, if known.

Note to Paragraph (e)(2) of this section: For items in
paragraphs (e)(2)(xiii) and (xiv) of this section, where the FPPI
has assumed responsibility for determining and obtaining license
authority, see requirements set forth in 15 CFR 758.3 of the EAR.

* * * * *
5. Amend Sec. 30.4 by revising paragraphs (a)(6), (b)(1), (b)(2)
introductory text, (c), and (d), redesignating paragraph (b)(3) as
(b)(4) and adding paragraphs (b)(3) and (b)(5) to read as follows:

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

* * * * *
(a) * * *
(6) Shipments where complete outbound manifests are required prior
to clearing vessels going directly to the countries identified in U.S.
Customs and Border Protection regulations 19 CFR 4.75(c) and aircraft
going directly or indirectly to those countries. (See U.S. Customs and
Border Protection regulation 19 CFR 122.74(b)(2));
(b) * * *
(1) For USML shipments, refer to the ITAR (22 CFR 123.22(b)(1)) for
specific requirements concerning predeparture filing timeframes. In
addition, if a filer is unable to acquire an ITN because the AES is not
operating, the filer shall not export until the AES is operating and an
ITN is acquired.
(2) For non-USML shipments, except shipments between the United
States and Puerto Rico, file the EEI and provide the ITN as follows
(See Sec. 30.4(b)(3), filing timeframes for shipments between the
United States and Puerto Rico):
* * * * *
(3) For shipments between the United States and Puerto Rico, the
AES proof of filing citation, postdeparture filing citation, or
exemption citation must be presented to the carrier by the time the
shipment arrives at the port of unloading.
* * * * *
(5) For used self-propelled vehicles as defined in 19 CFR 192.1 of
U.S. Customs and Border Protection regulations, the USPPI or the
authorized agent shall file the EEI as required by Sec. 30.6 and
provide the filing citation to the exporting carrier at least 72 hours
prior to export.
(c) EEI transmitted postdeparture. Postdeparture filing is only
available for approved USPPIs and provides for the electronic filing of
the data elements

[[Page 4010]]

required by Sec. 30.6 no later than five (5) calendar days from the
date of exportation. Postdeparture filing can only be used for an
approved list of commodities. This list can be found at http://www.census.gov/aes. For U.S. principal parties in interest approved for
postdeparture filing, all shipments containing only approved
commodities (other than those for which predeparture filing is
specifically required), by all methods of transportation, may be
exported with the appropriate postdeparture filing citation and the EEI
must be filed within five (5) calendar days from the date of export.
Certified AES authorized agents or service centers may transmit
information postdeparture on behalf of USPPIs approved for
postdeparture filing, or the approved USPPI may transmit the data
postdeparture itself.
(d) Proof of filing citation and exemption legend. The USPPI or the
authorized agent shall provide the exporting carrier with the proof of
filing citation and exemption legends as described in Sec. 30.7.
6. Amend Sec. 30.5 by revising paragraph (c) introductory text,
paragraph (d)(1) and (d)(2); and adding paragraphs (c)(1)(ix) and
(c)(3)(G) to read as follows:

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

* * * * *
(c) Postdeparture filing approval process. Postdeparture filing is
a privilege granted to approved USPPIs for their EEI to be filed up to
five (5) calendar days from the date of export. Postdeparture filing
can only be used for an approved list of commodities. This list can be
found at http://www.census.gov/aes. The USPPI or its authorized agent
may not transmit EEI postdeparture for commodities not found on the
approved list of commodities. The USPPI may apply for postdeparture
filing privileges by submitting a postdeparture filing application at
http://www.census.gov/aes. An authorized agent may not apply on behalf
of a USPPI. The Census Bureau will distribute the application to CBP
and the other federal government partnership agencies participating in
the AES postdeparture filing review process. Failure to meet the
standards of the Census Bureau, CBP or any of the partnership agencies
is reason for denial of the AES applicant for postdeparture filing
privileges. Each partnership agency will develop its own internal
postdeparture filing acceptance standards, and each agency will notify
the Census Bureau of the USPPI's success or failure to meet that
agency's acceptance standards. Any partnership agency may require
additional information from USPPIs that are applying for postdeparture
filing. The Census Bureau will notify the USPPI of the decision to
either deny or approve its application for postdeparture filing
privileges within thirty (30) calendar days of receipt of the
postdeparture filing application by the Census Bureau, or if a decision
cannot be reached at that time, the USPPI will be notified of an
extension for a final decision as soon as possible after the thirty
(30) calendar days.
(1) * * *
(ix) The USPPI fails to demonstrate the ability to meet the AES
predeparture filing requirements.
* * * * *
(3) * * *
(G) The USPPI or its authorized agent files postdeparture for
commodities that are not on the approved list. See http://www.census.gov/aes for the list of approved commodities.
* * * * *
(d) * * *
(1) AESDirect user names and passwords are to be kept secure by the
account administrator and not disclosed to any unauthorized user or any
persons outside the registered company.
(2) Registered companies are responsible for those persons having
user name and password. If an employee with a user name and password
leaves the company or otherwise is no longer an authorized user, the
company shall immediately deactivate that username in the system to
ensure the integrity and confidentiality of Title 13 data.
* * * * *
7. Amend Sec. 30.6 as follows:
a. Revise paragraphs (a)(1)(ii), (a)(3), (a)(5)(i), (a)(8), (a)(9),
(a)(17) introductory text, (a)(19), and (a)(23);
b. Revise paragraph (b);
c. Add paragraphs (b)(1), (b)(2), (b)(3), (b)(7), (b)(19), (b)(22),
(b)(23), and (b)(24); and
d. Remove paragraphs (c)(1) and (c)(2):

Sec. 30.6 Electronic Export Information data elements.

* * * * *
(a) * * *
(1) * * *
(ii) Address of the USPPI. In all EEI filings, the USPPI shall
report the address or location (no post office box number) from which
the goods actually begin the journey to the port of export even if the
USPPI does not own/lease the facility. For example, the EEI covering
goods laden aboard a truck at a warehouse in Georgia for transport to
Florida for loading onto a vessel for export to a foreign country shall
show the address of the warehouse in Georgia. For shipments with
multiple origins, report the address from which the commodity with the
greatest value begins its export journey. If such information is not
known, report the address in the state where the commodities are
consolidated for export.
* * * * *
(3) Ultimate consignee. The ultimate consignee is the person,
party, or designee that is located abroad and actually receives the
export shipment. The name and address of the ultimate consignee,
whether by sale in the United States or abroad or by consignment, shall
be reported in the EEI. The ultimate consignee as known at the time of
export shall be reported. For shipments requiring an export license
including shipments to international waters, the ultimate consignee
reported in the AES shall be the person so designated on the export
license or authorized to be the ultimate consignee under the applicable
license exemption or exception in conformance with the EAR or ITAR, as
applicable. For goods sold en route, report the appropriate ``To be
Sold En Route'' indicator in the EEI, and report corrected information
as soon as it is known (see Sec. 30.9 for procedures on correcting AES
information).
* * * * *
(5) * * *
(i) Shipments under an export license, license exception or license
exemption. For shipments, including those to international waters,
under an export license or license exemption issued by the Department
of State, DDTC or export license or license exception issued by the
Department of Commerce, BIS, the country of ultimate destination shall
conform to the country of ultimate destination as shown on the license.
In the case of a Department of State license, the country of ultimate
destination is the country specified with respect to the end user. For
goods licensed by other government agencies refer to their specific
requirements concerning providing country of destination information.
* * * * *
(8) Carrier identification. The carrier identification is the
Standard Carrier Alpha Code (SCAC) for vessel, rail, and truck
shipments or the International Air Transport Association (IATA) code
for air shipments. The carrier identification specifies the carrier
that transports the goods out of the United States. The

[[Page 4011]]

carrier transporting the goods to the port of export and the carrier
transporting the goods out of the United States may be different. For
vessel shipments, report the carrier identification code of the party
whose booking number was reported in the AES. For transshipments
through Canada, Mexico, or another foreign country, the carrier
identification is that of the carrier that transports the goods out of
the United States. For other valid methods of transportation, including
mail, fixed modes (pipeline), passenger, and hand carried, the carrier
identification is not required. The National Motor Freight Traffic
Association (NMFTA) issues and maintains the SCAC. (See http://www.nmfta.org.) The IATA issues and maintains the IATA codes. (See
http://www.census.gov/trade for a list of IATA codes.)
(9) Port of export. The port of export is the U.S. Customs and
Border Protection seaport or airport where the goods are loaded on the
carrier that is taking the goods out of the United States, or the CBP
port where exports by overland transportation cross the U.S. border
into Canada or Mexico. For goods loaded aboard a carrier (aircraft or
vessel) where the conveyance stops at several ports before clearing to
the foreign country, the port of export is the first port where the
goods were loaded on the original conveyance. For goods off-loaded from
the original conveyance to another conveyance (even if the aircraft or
vessel belongs to the same carrier) at any of the ports, the port where
the goods were loaded on the last conveyance before going foreign is
the port of export. The port of export shall be reported in terms of
Schedule D, ``Classification of CBP Districts and Ports.'' Use port
code 8000 for shipments by mail.
* * * * *
(17) Value. In general, the value to be reported in the EEI shall
be the value of the goods at the U.S. port of export in U.S. dollars.
The value shall be the selling price (or the cost, if the goods are not
sold), plus inland or domestic freight, insurance, and other charges to
the U.S. seaport, airport, or land border port of export. Cost of goods
is the sum of expenses incurred in the USPPI's acquisition or
production of the goods. Report the value to the nearest dollar, omit
cents. Fractions of a dollar less than 50 cents should be ignored, and
fractions of 50 cents or more should be rounded up to the next dollar.
* * * * *
(19) Shipment reference number. A unique identification number
assigned by the filer that allows for the identification of the
shipment in the filer's system. The reuse of the shipment reference
number is prohibited.
* * * * *
(23) License code/license exemption code. The code that identifies
the commodity as having a federal government agency requirement for a
license, permit, authorization, license exception or exemption or that
no license is required.
(b) Conditional data elements are as follows: (1) Address of
license applicant. Report the address of the applicant shown on the
export license, if different from the USPPI.
(2) Name of the end user. Report the name of the end user, if
known.
(3) Address of the end user. Report the address or location (no
post office box number) of the reported end user.
(4) Authorized agent and authorized agent identification. If an
authorized agent is used to prepare and file the EEI, the following
information shall be provided to the AES:
(i) Authorized agent's identification number. Report the authorized
agent's own EIN, or DUNS in the EEI for the first shipment and for each
subsequent shipment. Use of another company's or individual's EIN or
other identification number is prohibited. The party ID type (E = EIN,
D = DUNS, etc.) shall be identified.
(ii) Name of the authorized agent. Report the name of the
authorized agent. The authorized agent is that person or entity in the
United States that is authorized by the USPPI or the FPPI to prepare
and file the EEI or the person or entity, if any, named on the export
license. (See Sec. 30.3 for details on the specific reporting
responsibilities of authorized agents and Subpart B of this part for
export control licensing requirements for authorized agents.)
(iii) Address of the authorized agent. Report the address or
location (no post office box number) of the authorized agent. The
authorized agent's address shall be reported with the initial shipment.
Subsequent shipments may be identified by the agent's identification
number.
(iv) Contact information. Report the contact name and telephone
number.
(5) Intermediate consignee. Report the name and address of the
intermediate consignee (if any). The intermediate consignee acts in a
foreign country as an agent for the principal party in interest or the
ultimate consignee for the purpose of effecting delivery of the export
shipment to the ultimate consignee. The intermediate consignee is the
person named as such on the export license or authorized to act as such
under the applicable general license and in conformity with the EAR.
(6) FTZ identifier. If goods are removed from a FTZ and not entered
for consumption, report the FTZ identifier. This is the unique
identifier assigned by the Foreign Trade Zone Board that identifies the
FTZ, subzone or site from which goods are withdrawn for export.
(7) Country of origin. If the goods exported are of foreign origin
and have undergone no change in form or condition or enhancement in
value by further manufacture in the United States, U.S. FTZs, Puerto
Rico, or the U.S. Virgin Islands, report the foreign country in which
the commodities were grown, produced, manufactured, or substantially
transformed. For commodities with multiple origins, report the foreign
country of the commodity with the greatest value. If the USPPI does not
know the foreign country where the goods originated from, the country
of origin to be shown is the last foreign country, as known to the
USPPI at the time of shipment from the United States, from which the
goods were shipped in their present form. Report the country of origin
using the code issued by the International Standards Organization.
(8) Foreign port of unlading. The foreign port of unlading is the
foreign port in the country where the goods are removed from the
exporting carrier. The foreign port does not have to be located in the
country of destination. For exports by sea to foreign countries, not
including Puerto Rico, the foreign port of unlading is the code in
terms of Schedule K, Classification of Foreign Ports by Geographic
Trade Area and Country. For exports by sea or air between the United
States and Puerto Rico, the foreign port of unlading is the code in
terms of Schedule D, Classification of CBP Districts and Ports. The
foreign port of unlading is not required for exports by other modes of
transportation, including rail, truck, mail, fixed (pipeline), or air
(unless between the U.S. and Puerto Rico).
(9) Export license number/CFR citation/KPC number. License number,
permit number, citation, or authorization number assigned by the
Department of Commerce, BIS; Department of State, DDTC; Department of
the Treasury, OFAC; Department of Justice, DEA; Nuclear Regulatory
Commission; or any other federal government agency.
(10) Export Control Classification Number (ECCN). The number used
to identify items on the CCL, Supplement No. 1 to Part 774 of the EAR.
The ECCN consists of a set of digits and a letter.

[[Page 4012]]

Items that are not classified under an ECCN are designated ``EAR99''.
(11) Secondary unit of measure. The unit of measure that
corresponds to the secondary quantity as prescribed in the Schedule B
or HTSUSA. If neither Schedule B nor HTSUSA specifies a secondary unit
of measure for the item, the unit of measure is not required.
(12) Secondary quantity. The total number of units that correspond
to the secondary unit of measure, if any, specified in the Schedule B
or HTSUSA. Where the unit of measure is in terms of weight (grams,
kilograms, metric tons, etc.), the quantity reflects the net weight,
not including the weight of barrels, boxes, or other bulky coverings,
and not including salt or pickle in the case of salted or pickled fish
or meats. For a few commodities where ``content grams'' or ``content
kilograms'' or some similar weight unit is specified in Schedule B or
HTSUSA, the quantity may be less than the net weight. The quantity is
reported as a whole unit only, without commas or decimals. If the
quantity contains a fraction of a whole unit, round fractions of one-
half unit or more up and fractions of less than one-half unit down to
the nearest whole unit. (For example, where the unit for a given
commodity is in terms of ``tons,'' a net quantity of 8.4 tons would be
reported as 8 for the quantity. If the quantity is less than one unit,
the quantity is 1.)
(13) Vehicle Identification Number (VIN)/Product ID. The
identification number found on the exported used vehicle. For used
self-propelled vehicles that do not have a VIN, the Product ID is
reported. ``Used'' vehicle refers to any self-propelled vehicle where
the equitable or legal title to which has been transferred by a
manufacturer, distributor, or dealer to an ultimate purchaser. See U.S.
Customs and Border Protection regulation 19 CFR 192.1 for more
information on exports of used vehicles.
(14) Vehicle ID qualifier. The qualifier that identifies the type
of used vehicle number reported. The valid codes are V for VIN and P
for Product ID.
(15) Vehicle title number. The number issued by the Motor Vehicle
Administration.
(16) Vehicle title state code. The 2-character postal code for the
state or territory that issued the vehicle title.
(17) Entry number. The entry number must be reported for goods that
are entered in lieu of being transported under bond for which the
importer of record is a foreign entity, or for reexports of goods
withdrawn from a FTZ for which a NAFTA-deferred duty claim (entry type
08) could have been made, but that the importer elected to enter for
consumption under CBP entry type 06. For goods imported into the United
States for export to a third country of ultimate destination, where the
importer of record on the entry is a foreign entity, the USPPI will be
the authorized agent designated by the foreign importer for service of
process. The USPPI, in this circumstance, is required to report the
import entry number.
(18) Transportation Reference Number (TRN). The TRN is as follows:
(i) Vessel shipments. Report the booking number for vessel
shipments. The booking number is the reservation number assigned by the
carrier to hold space on the vessel for cargo being exported. The TRN
is required for all vessel shipments.
(ii) Air shipments. Report the master air waybill number for air
shipments. The air waybill number is the reservation number assigned by
the carrier to hold space on the aircraft for cargo being exported. The
TRN is required for air shipments.
(iii) Rail shipments. Report the bill of lading (BL) number for
rail shipments. The BL number is the reservation number assigned by the
carrier to hold space on the rail car for cargo being exported. The TRN
is optional for rail shipments.
(iv) Truck shipments. Report the freight or pro bill number for
truck shipments. The freight or pro bill number is the number assigned
by the carrier to hold space on the truck for cargo being exported. The
freight or pro bill number correlates to a bill of lading number, air
waybill number or trip number for multimodal shipments. The TRN is
optional for truck shipments.
(19) License value. For shipments requiring an export license,
report the value designated on the export license that corresponds to
the commodity being exported.
(20) Department of State Requirements.
(i) Directorate of Defense Trade Controls (DDTC) registration
number. The number assigned by the DDTC to persons who are required to
register per Part 122 of the ITAR (22 CFR parts 120 through 130), and
have an authorization (license or exemption) from DDTC to export the
article.
(ii) DDTC Significant Military Equipment (SME) indicator. A term
used to designate articles on the USML (22 CFR 121) for which special
export controls are warranted because of their capacity for substantial
military utility or capability. See Sec. 120.7 of the ITAR 22 CFR 120
through 130 for a definition of SME and Sec. 121.1 for items
designated as SME articles.
(iii) DDTC eligible party certification indicator. Certification by
the U.S. exporter that the exporter is an eligible party to participate
in defense trade. See 22 CFR 120.1(c). This certification is required
only when an exemption is claimed.
(iv) DDTC United States Munitions List (USML) category code. The
USML category of the article being exported (22 CFR 121).
(v) DDTC Unit of Measure (UOM). This unit of measure is the UOM
covering the article being shipped as described on the export
authorization or declared under an ITAR exemption.
(vi) DDTC quantity. This quantity is the number of articles being
shipped. The quantity is the total number of units that corresponds to
the DDTC UOM code.
(vii) DDTC exemption number. The exemption number is the specific
citation from the ITAR (22 CFR 120 through 130) that exempts the
shipment from the requirements for a license or other written
authorization from DDTC.
(viii) DDTC export license line number. The line number of the
State Department export license that corresponds to the article being
exported.
(21) Kimberley Process Certificate (KPC) number. The unique
identifying number on the KPC issued by the United States KPC authority
that must accompany all export shipments of rough diamonds. Rough
diamonds are classified under 6-digit HS subheadings 7102.10, 7102.21,
and 7102.31. Enter the KPC number in the license number field excluding
the 2-digit ISO country code for the United States.
(22) Equipment number. Report the identification number for the
shipping equipment, such as container or igloo number (Unit Load Device
(ULD)), truck license number, or rail car number. For containerized
vessel cargo, the USPPI must report the container number.
(23) Seal number. The security seal number placed on the equipment
or container.
(24) Ultimate consignee type. If at the time of filing, the USPPI
or the authorized agent knows the ultimate consignee is a reseller,
government reseller or government consumer, the appropriate type must
be indicated in the AES. If more than one type applies, provide the
type that most often applies. For purposes of this paragraph, reseller,
government reseller and government consumer are defined as follows:
(i) Reseller--a retailer, wholesaler, distributor, and/or trading
company of the exported good to third parties,

[[Page 4013]]

whether or not the third parties are known.
(ii) Government Reseller--a government-owned or government-
controlled agency, institution, enterprise, or company that acts as
retailer, wholesaler, distributor, or trading company of the exported
good to third parties, whether or not the third parties are known.
(iii) Government Consumer--a government-owned or government-
controlled agency, institution, enterprise, or company that consumes or
uses the exported good as a consumable, for its own internal processes,
as an input to the production of another good, as machinery or
equipment that is part of a manufacturing process or a provision of
services. The good is not resold or distributed without a substantial
transformation of the good.
8. Amend Sec. 30.7 by revising paragraph (b) to read as follows:

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

(b) For shipments other than USML, the USPPI or the authorized
agent is responsible for annotating the proper proof of filing citation
or exemption legend on the first page of the bill of lading, air
waybill, export shipping instructions or other commercial loading
documents. The USPPI or the authorized agent must provide the proof of
filing citation or exemption legend to the exporting carrier. The
carrier must annotate the proof of filing citations and/or exemption
legends on the carrier's outbound manifest when required. The carrier
is responsible for presenting the appropriate proof of filing citation
or exemption legend to CBP Port Director at the port of export as
stated in Subpart E of this part. Such presentation shall be without
material change or amendment of the proof of filing citation,
postdeparture filing citation, AES downtime filing citation, or
exemption legend as provided to the carrier by the USPPI or the
authorized agent. The proof of filing citation will identify that the
export information has been accepted as transmitted. The postdeparture
filing citation, AES downtime filing citation, or exemption legends
will identify that no filing is required prior to export. The proof of
filing citations, postdeparture filing citations, or exemption legend
shall appear on the bill of lading, air waybill or other commercial
loading documentation and shall be clearly visible. The AES filing
citations and/or exemption legends are provided for in Appendix D. The
exporting carrier shall annotate the manifest or other carrier
documentation with the AES filing citations or exemption legend.
* * * * *
9. Revise Sec. 30.8 to read as follows:

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

The following conditions govern the time and place to present proof
of filing citations, postdeparture filing citations, AES downtime
filing citation, and exemption legends. The USPPI or the authorized
agent is required to deliver the proof of filing citations,
postdeparture filing citations, AES downtime filing citations or
exemption legends required in Sec. 30.7 to the exporting carrier. See
Appendix D of this part for the properly formatted proof of filing
citations or exemption legends. Failure of the USPPI or the authorized
agent of either the USPPI or FPPI to comply with these requirements
constitutes a violation of the regulations in this part and renders
such principal party or the authorized agent subject to the penalties
provided for in Subpart H of this part.
(a) Postal exports. The proof of filing citations, postdeparture
filing citations, AES downtime filing citation, and/or exemption
legends for items being sent by mail, as required in Sec. 30.4(b),
shall be presented to the postmaster with the packages at the time of
mailing. The postmaster is required to deliver the proof of filing
citations or exemption legends prior to export.
(b) Pipeline exports. The proof of filing citations or exemption
legends for items being sent by pipeline shall be presented to the
operator of a pipeline no later than four calendar days after the close
of the month. See Sec. 30.46 for requirements for the filing of export
information by pipeline carriers.
(c) Exports by other methods of transportation. For exports sent
other than by mail or pipeline, the USPPI or the authorized agent is
required to deliver the proof of filing citations and/or exemption
legends to the exporting carrier in accord with the time periods set
forth in Sec. 30.4(b).
10. Amend Sec. 30.9 by revising paragraph (b) to read as follows:

Sec. 30.9 Transmitting and correcting Electronic Export Information.

* * * * *
(b) For shipments where the USPPI or the authorized agent has
received an error message from AES, the corrections shall take place as
required. Fatal error messages are sent to filers when EEI is not
accepted in the AES. These errors must be corrected and EEI resubmitted
prior to export for shipments filed predeparture and as soon as
possible for shipments filed postdeparture but not later than five (5)
calendar days from the date of export. Failure to respond to fatal
error messages prior to export of the cargo subjects the principal
party or authorized agent to penalties provided for in Subpart H of
this part. Failing to transmit corrections to the AES constitutes a
violation of the regulations in this part and renders such principal
party or authorized agent subject to the penalties provided for in
Subpart H of this part. For EEI that generates a warning message, the
correction shall be made within four (4) calendar days of receipt of
the original transmission. For EEI that generates a verify message, the
correction, when warranted, shall be made within four (4) calendar days
of receipt of the message. A compliance alert indicates that the
shipment was not reported in accordance with the FTR. The USPPI or the
authorized agent is required to review filing practices and take
whatever corrective actions are required to conform with export
reporting requirements.
11. Amend Sec. 30.16 by revising the introductory text and
paragraph (b) and adding paragraph (c) to read as follows:

Sec. 30.16 Export Administration Regulations.

The Export Administration Regulations (EAR) issued by the U.S.
Department of Commerce, BIS, contains additional reporting requirements
pertaining to EEI (see 15 CFR 730-774).
* * * * *
(b) Requirements to place certain export control information in the
EEI are found in the EAR. (See 15 CFR 758.1(g)).
(c) Requirements to place certain export control information on
export control documents for shipments exempt from AES filing
requirements. (See 15 CFR 758.1(d).
12. Amend Sec. 30.18 by revising paragraph (a) to read as follows:

Sec. 30.18 Department of State regulations.

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

[[Page 4014]]

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

Sec. 30.25 Values for certain types of transactions.

* * * * *
(c) Goods rejected after entry. For imported goods that are cleared
by CBP but subsequently rejected, an EEI must be filed to export the
goods. The value to be reported in AES is the declared import value of
the goods.
14. A Revise Sec. 30.26 to read as follows:

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

Export information shall be filed in the AES for all vessels,
locomotives, aircraft, rail cars, trucks, other vehicles, trailers,
pallets, cargo vans, lift vans, or similar shipping containers when
these items are moving as goods pursuant to sale or other transfer from
ownership in the United States to ownership abroad. The exports of used
self-propelled vehicles as defined in 19 CFR 192.1 of U.S. Customs and
Border Protection regulations must be filed in the AES regardless of
value or country of destination. If a vessel, car, aircraft,
locomotive, rail car, vehicle, or container, whether in service or
newly built or manufactured, is sold or transferred to foreign
ownership while in Customs territory of the United States or at a port
in such area, EEI shall be reported in accordance with the general
requirements of the regulations in this part, identifying the port
through or from which the vessel, aircraft, locomotive, rail car, car,
vehicle, or container first leaves the United States after sale or
transfer. If the vessel, car, aircraft, locomotive, rail car, vehicle,
or shipping container is outside Customs territory of the United States
at the time of sale or transfer to foreign ownership, EEI shall be
reported identifying the last port of clearance or departure from the
United States prior to sale or transfer. The country of destination to
be shown in the EEI for vessels sold foreign is the country of new
ownership. The country for which the vessel clears, or the country of
registry of the vessel, should not be reported as the country of
destination in the EEI unless such country is the country of new
ownership.
15. Amend Sec. 30.28 by revising the section heading, introductory
text and paragraphs (a) and (b) to read as follows:

Sec. 30.28 Split shipments.

A shipment covered by a single EEI transmission booked for export
on one conveyance, but divided by the exporting carrier at the port of
export where the manifest is filed and sent on two or more conveyances
of the same carrier on the same day. For a shipment that does not
transport on the same day, a new EEI must be filed. The following
procedures apply for split shipments:
(a) The carrier shall deliver the manifest to CBP Port Director
with the manifest covering the conveyance on which the first part of
the split shipment is exported and shall make no changes to the EEI.
However, the manifest shall show in the ``number of packages'' column
the actual portion of the declared total quantity being carried and
shall carry a notation to indicate ``Split Shipment.'' All manifests
with the notation ``Split Shipment'' will have identical ITNs.
(b) On each subsequent manifest covering a conveyance on which any
part of a split shipment is exported, a prominent notation ``SPLIT
SHIPMENT'' shall be made on the manifest for identification. On the
last shipment, the notation shall read ``SPLIT SHIPMENT, FINAL.'' Each
subsequent manifest covering a part of a split shipment shall also show
in the ``number of packages'' column only the goods carried on that
particular conveyance and a reference to the total amount originally
declared for export (for example, 5 of 11, or 5/11). Immediately
following the line showing the portion of the split shipment carried on
that conveyance, a notation will be made showing the bill of lading
number, air waybill number, or other commercial loading documents shown
in the original EEI and the portions of the originally declared total
carried on each previous conveyance, together with the number and date
of each such previous conveyance (for example, air waybill 123; 1 of 2,
flight 36A, June 6 SPLIT SHIPMENT; 2 of 2, flight 40X, June 6 SPLIT
SHIPMENT, FINAL).
* * * * *
16. Amend Sec. 30.29 by revising paragraphs (a) and (b)(2) to read
as follows:

Sec. 30.29 Reporting of repairs and replacements.

* * * * *
(a) The return of goods previously imported only for repair and
alteration to the foreign shipper of temporarily imported goods
(declared as such on importation) shall have Schedule B number
9801.10.0000. The value reported shall only include parts and labor. If
the value of the parts and labor is over $2,500 per Schedule B number,
or a license or DDTC license exemption statement is required, then EEI
must be filed. The value of the original product shall not be included.
(b) * * *
(2) Goods that are replaced under warranty at no charge to the
customer shall include the statement, ``Product replaced under
warranty, value for EEI purposes'' on the bill of lading, air waybill,
or other commercial loading documents. Place the notation below the
proof of filing citation or exemption legend on the commercial
document. Report the Schedule B number or HTSUSA classification
commodity number of the replacement parts. Report the value of the
replacement parts in accordance with 30.6(a)(17).
17. Revise Sec. 30.35 to read as follows:

Sec. 30.35 Procedure for shipments exempt from filing requirements.

Except as noted in Sec. 30.2(a)(1)(iv), where an exemption from
the filing requirement is provided in this subpart of this part, a
legend describing the basis for the exemption shall be made on the
first page of the bill of lading, air waybill, or other commercial
loading document for carrier use, or on the carrier's outbound
manifest. The exemption legend shall reference the number of the
section or provision in this part where the particular exemption is
provided (see Appendix D of this part).
18. Amend Sec. 30.36 by revising paragraph (b) introductory text
and paragraph (b)(2); and adding paragraphs (b)(7) and (b)(8) to read
as follows:

Sec. 30.36 Exemption for shipments destined to Canada.

* * * * *
(b) This exemption does not apply to the following types of export
shipments (These shipments shall be reported in the same manner as for
all other exports, except household goods which require limited
reporting):
* * * * *
(2) Exports moving from the United States through Canada to a third
destination.
* * * * *
(7) Used self-propelled vehicles as defined in 19 CFR 192.1 of U.S.
Customs and Border Protection regulations, regardless of value or
country of destination.
(8) Household goods, regardless of value or country of destination.
(See Sec. 30.38 of this part for filing instructions.)
19. Amend Sec. 30.37 by revising the introductory text and
paragraphs (a), (e), and (g); removing paragraphs (q) and (r);
redesignating paragraphs (s) and (t) as paragraphs (q) and (r); and
adding a new paragraph (s) to read as follows:

[[Page 4015]]

Sec. 30.37 Miscellaneous exemptions.

Except as noted in Sec. 30.2 (a)(1)(iv), filing EEI is not
required for the following kinds of shipments. However, the Census
Bureau has the authority to periodically require the reporting of
shipments that are normally exempt from filing.
(a) Exports of commodities where the value of the commodities
shipped from one USPPI to one consignee on a single exporting carrier,
classified under an individual Schedule B number or HTSUSA commodity
classification code, is $2,500 or less. This exemption applies to
individual Schedule B numbers or HTSUSA commodity classification codes
regardless of the total shipment value. In instances where a shipment
contains a mixture of individual Schedule B numbers or HTSUSA commodity
classification codes valued at $2,500 or less and individual Schedule B
numbers or HTSUSA commodity classification codes valued over $2,500,
only those Schedule B numbers or HTSUSA commodity classification codes
valued over $2,500 are required to be reported. If the filer reports
multiple items of the same Schedule B number or HTSUSA commodity
classification code, this exemption only applies if the total value of
exports for the Schedule B number or HTSUSA commodity classification
code is $2,500 or less. Items of domestic or foreign origin under the
same commodity classification number must be reported separately and
required when valued over $2,500. For the reporting of household goods
see Sec. 30.38. Note: this exemption does not apply to the export of
vehicles or household goods. The export information for vehicles and
household goods must be filed in AES regardless of value or country of
destination.
* * * * *
(e) Vessels, locomotives, aircraft, rail cars, trucks, other
vehicles, trailers, pallets, cargo vans, lift vans, or similar shipping
containers not considered ``shipped'' in terms of the regulations in
this part, when they are moving, either loaded or empty, without
transfer of ownership or title, in their capacity as carriers of goods
or as instruments of such carriers, and EEI filing is not required.
* * * * *
(g) Shipments of books, maps, charts, pamphlets, and similar
articles to foreign libraries, government establishments, or similar
institutions.
* * * * *
(s) Exports of technical data and defense service exemptions as
defined in 22 CFR 123.22(b)(3)(iii) of the ITAR.
20. Revise Sec. 30.38 to read as follows:

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

Regardless of value, household goods of usual and reasonable kinds
and quantities of personal property, such as wearing apparel, articles
of personal adornment, toilet articles, medicinal supplies, food,
souvenirs, games, and their containers require limited reporting of
EEI. These goods should be for use by the USPPI or the USPPI's
immediate family, not intended for sale; and shipped under a bill of
lading or an air waybill. In such cases, Schedule B or HTSUSA commodity
classification codes and domestic/foreign indicator shall not be
required.
21. Revise Sec. 30.39 to read as follows:

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

Except as noted in Sec. 30.2 (a)(1)(iv), filing of EEI is not
required for any and all commodities, whether shipped commercially or
through government channels, consigned to the U.S. Armed Services for
their exclusive use, including shipments to armed services exchange
systems. This exemption does not apply to articles that are on the USML
and thus controlled by the ITAR and/or shipments that are not consigned
to the U.S. Armed Services, regardless of whether they may be for their
ultimate and exclusive use.
22. Amend Sec. 30.40 by revising the introductory text and
removing paragraph (d) to read as follows:

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

Except as noted in Sec. 30.2 (a)(1)(iv), filing EEI is not
required for the following types of shipments to U.S. government
agencies and employees:
* * * * *
23. Amend Sec. 30.45 as follows:
a. Revise paragraph (a) introductory text and paragraphs (a)(2),
(a)(4), (c), (d), (f)(1) and (f)(2); and
b. Remove paragraphs (f)(3) and (f)(4).

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

(a) Requirement for filing carrier manifest. Carriers transporting
goods from the United States, Puerto Rico, or the U.S. Virgin Islands
to foreign countries; from the United States or Puerto Rico to the U.S.
Virgin Islands; or between the United States and Puerto Rico may not be
granted clearance and may not depart until complete manifests or other
required documentation (for ocean, air, and rail carriers) have been
delivered to CBP Port Director in accordance with all applicable
requirements under CBP regulations. CBP may require any of the
following: Bill of lading, air waybill, export shipping instructions,
manifest, train consist, or other commercial loading documents, and any
other document CBP determines necessary to ensure compliance with U.S.
export control laws. The required document shall contain the
appropriate AES proof of filing citations, covering all cargo for which
the EEI is required, or exemption legends, covering cargo for which EEI
need not be filed by the regulations of this part. Such annotation
shall be without material change or amendment of proof of filing
citations or exemption legends as provided to the carrier by the USPPI
or its authorized agent.
* * * * *
(2) Aircraft. Aircraft transporting goods shall file a complete
manifest as required in CBP regulations 19 CFR 122.72-122.76. The
manifest shall be filed with CBP Port Director at the CBP port of exit.
For shipments from the United States to Puerto Rico, the manifests
shall be filed with CBP Port Director at the port where the goods are
unladen in Puerto Rico.
* * * * *
(4) Carriers not required to file manifests. Carriers allowed to
file incomplete manifests under applicable CBP regulations are
required, upon request, to present to CBP Port Director the proof of
filing citation or exemption legends for each shipment, prior to
departure of the vessel, aircraft, train, truck or other means of
conveyance.
* * * * *
(c) Split shipments. When a shipment is divided by the carrier and
is covered by a single EEI transmission, the split shipment procedure
provided in Sec. 30.28 shall be followed by the carrier in delivering
manifests with the proof of filing citation or exemption legend to CBP
Port Director.
(d) Attachment of commercial documents. The manifest shall carry a
notation that values stated are as presented on the bills of lading,
cargo lists, export shipping documents or other commercial documents.
The bills of lading, cargo lists, export shipping documents or other
commercial documents shall be securely attached to the manifest in such
a manner as to constitute one document. The manifest shall reference
the statement ``Cargo as per bills of lading attached'' or ``Cargo as
per commercial forms attached.'' Also

[[Page 4016]]

required on the face of each commercial loading document shall be the
information required by the manifest for cargo covered by that
document.
* * * * *
(f) * * *
(1) Except as noted in 30.4 (b)(2), ocean, rail, truck and air
exporting carriers shall not accept paper SEDs and under any
circumstances load cargo that does not have all proof of filing
citations, exemption legends, or postdeparture citations as provided
for in Appendix D.
(2) Except as noted in 30.4 (b)(2), ocean, rail, truck and air
exporting carriers are subject to the penalties provided for in Subpart
H of this part if the exporting carrier;
24. Revise Sec. 30.46 to read as follows:

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

The operator of a pipeline may transport goods to a foreign country
without the prior filing of the proof of filing citations or exemption
legends, on the condition that within four calendar days following the
end of each calendar month the operator will deliver to CBP Port
Director the proof of filing citations or exemption legends covering
all exports through the pipeline to each consignee during the month.
25. Amend Sec. 30.47 by revising paragraphs (a) and (b) to read as
follows:

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

(a) For purposes of the regulations in this part, except when
carriers are transporting merchandise from the United States to Puerto
Rico, clearance or permission to depart may be granted to any carrier
by CBP Port Director prior to filing of a complete manifest as required
under the CBP regulations or prior to filing by the carrier of all
required filing citations and/or exemption legends, provided there is a
bond as specified in 19 CFR 4.75, 4.76, and 122.74. The conditions of
the bond shall be that a complete manifest, where a manifest is
required by the regulations in this part and all required filing
citations and/or exemption legends shall be filed by the carrier no
later than the fourth calendar day after clearance or departure of the
carrier except as otherwise specifically provided in paragraphs (a)(1),
(a)(2), and (a)(3) of this section.
(1) For manifests submitted electronically through AES, the
condition of the bond shall be that the manifest and all required
filing citations and/or exemption legends shall be completed not later
than the tenth business day after departure from each port.
(2) For rail carriers to Canada, the conditions of the bond shall
be that manifest and all filing citations and/or exemption legends
shall be filed with CBP not later than the fourth calendar day after
departure.
(3) For carriers under bond on incomplete manifest, upon request, a
list of filing citations and/or exemption legends must be presented to
a CBP Export Control Officer at the port of exit prior to departure by
the carrier.
(b) In the event that any required manifest and all required filing
citations and/or exemption legends are not filed by the carrier within
the period provided by the bond, then a penalty of $1,100 shall be
exacted for each day's delinquency beyond the prescribed period, but
not more than $10,000 per violation.
* * * * *
26. Amend Sec. 30.50 by revising (b)(5) to read as follows:

Sec. 30.50 General requirements for filing import entries.

* * * * *
(b) * * *
(5) Electronic CBP Form 214 Admissions (e214).
27. Revise Sec. 30.52 to read as follows:

Sec. 30.52 Foreign Trade Zones (FTZ).

When goods are withdrawn from a FTZ for export to a foreign
country, the export shall be reported in accordance with Sec. 30.2.
Foreign goods admitted into FTZs shall be reported as a general import.
Statistical requirements for zone admissions are provided to the Census
Bureau via CBP's Automated Broker Interface (ABI) new electronic 214
(e214) program or the CBP Form 214A Application for Foreign Trade Zone
Admission and/or Status Designation. Refer to CBP Web site at http://www.cbp.gov to download ``Foreign Trade Zone Manual'' where
instructions for completing the paper CBP Form 214A documents are
provided in Appendix C. When goods are withdrawn for domestic
consumption or entry into a bonded warehouse, the withdrawal shall be
reported on CBP 7501 or through the ABI in accordance to CBP
regulations. The instructions and definitions for completing the e214
are provided in 19 CFR 146. The following data items are required to be
filed on the 214A, for statistical purposes:
(a) Zone Number and Location (Address).
(b) Port Code.
(c) Importing Vessel and Flag/Other Carrier.
(d) Export Date.
(e) Import Date.
(f) Zone Admission Number.
(g) U.S. Port of Unlading.
(h) In-bond Carrier.
(i) Foreign Port of Lading.
(j) Bill of Lading/AWB Number.
(k) Number of Packages & Country of Origin.
(l) Description of Merchandise.
(m) HTSUSA Number.
(n) Quantity (HTSUSA).
(o) Gross Weight.
(p) Separate Value and Aggregate Charges.
(q) Status Designation.
28. Amend Sec. 30.54 by revising paragraph (b) to read as follows:

Sec. 30.54 Special provisions for imports from Canada.

* * * * *
(b) All other imports from Canada, including certain softwood
lumber products not covered in paragraph (a) of this section, will
require the two letter designation of the Canadian region of origin to
be reported on U.S. entry summary records. This information is required
only for U.S. imports that under applicable CBP rules of origin are
determined to originate in Canada. For nonmanufactured goods determined
to be of Canadian origin, the region of origin is defined as the region
where the exported goods were originally grown, mined, or otherwise
produced. For goods of Canadian origin that are manufactured or
assembled in Canada, with the exception of the certain softwood lumber
products described in paragraph (a) of this section, the region of
origin is that in which the final manufacture or assembly is performed
prior to exporting that good to the United States. In cases where the
region in which the goods were manufactured, assembled, grown, mined,
or otherwise produced is unknown, the region in which the Canadian
vendor is located can be reported. For those reporting on paper forms
the region of origin code replaces the country of origin code on CBP
Form 7501, entry summary form.
* * * * *
29. Amend Sec. 30.60 by revising paragraph (d) to read as follows:

Sec. 30.60 Confidentiality of Electronic Export Information.

* * * * *
(d) Copying of information to manifests. Because the ocean manifest
can be made public under provision of CBP regulations, no information
from the EEI, except the ITN, filing citation, exemptions legends,
shall be copied to the outward manifest of ocean carriers.
* * * * *
30. Amend Sec. 30.71 by revising paragraph (b)(1), redesignate
paragraphs

[[Page 4017]]

(b)(2) and (b)(3) as paragraphs (b)(3) and (b)(4), revise the newly
redesignated paragraph (b)(3), and add a new paragraph (b)(2) to read
as follows:

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

* * * * *
(b) * * *
(1) Failure to file violations. A failure to file violation occurs
if the government discovers that there is no AES record for an export
transaction by the applicable period prescribed in Sec. 30.4 of this
part. Any AES record filed later than ten (10) calendar days after the
due date will also be considered a failure to file regardless of
whether the violation was or was not discovered by the government. A
civil penalty not to exceed $10,000 may be imposed for a failure to
file violation.
(2) Late filing violations. A late filing violation occurs when an
AES record is not filed by the applicable period prescribed in Sec.
30.4 of this part. A civil penalty not to exceed $1,100 for each day of
delinquency, but not more than $10,000 per violation, may be imposed
for failure to file timely export information or reports in connection
with the exportation or transportation of cargo. (See 19 CFR 192)
(3) Filing false/misleading information, furtherance of illegal
activities and penalties for other violations. A civil penalty not to
exceed $10,000 per violation may be imposed for each violation of
provisions of this part other than any violation encompassed by
paragraph (b)(1) and (b)(2) of this section. Such penalty may be in
addition to any other penalty imposed by law.
* * * * *
31. Amend Sec. 30.74 by revising paragraph (c)(3)(iv), (c)(3)(v),
(c)(5) and adding paragraph (c)(3)(vi) and (c)(3)(vii) to read a
follows:

Sec. 30.74 Voluntary self-disclosure.

* * * * *
(c) * * *
(3) * * *
(iv) The complete identities and addresses of all individuals and
organizations, whether foreign or domestic, involved in the activities
giving rise to the violations;
(v) A description of any mitigating circumstances;
(vi) Corrective measures taken; and
(vii) ITNs of the missed and/or corrected shipments.
* * * * *
(5) Where to make voluntary self-disclosures. With the exception of
voluntary disclosures of manifest violations under Sec. 30.47(c), the
information constituting a voluntary self-disclosure or any other
correspondence pertaining to a voluntary self-disclosure may be
submitted to: Chief, Foreign Trade Division, U.S. Census Bureau, Room
6K032, Washington, DC 20233-6700, or by fax on (301) 763-8835.
Additional instructions are found at http://www.census.gov/trade.
* * * * *
32. In Appendix B to Part 30, revise Part II--Export Information
Codes and Part III--License Codes to read as follows:

Appendix B to Part 30--AES Codes

* * * * *

Part II--Export Information Codes

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

Part III--License Codes

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

C30 Licenses issued by BIS authorizing an export, reexport, or other
regulated activity.
C31 SCL--Special Comprehensive License
C32 NLR--No License Required (controlled for other than or in
addition to Anti-Terrorism)
C33 NLR--No License Required (All others, including Anti-Terrorism
controls ONLY)
C35 LVS--Limited Value Shipments
C36 GBS--Shipments to B Countries
C37 CIV--Civil End Users
C38 TSR--Restricted Technology and Software
C40 TMP--Temporary Imports, Exports, and Re-exports
C41 RPL--Servicing and Replacement of Parts and Equipment
C42 GOV--Government and International Organizations
C43 GFT--Gift Parcels and Humanitarian Donations
C44 TSU--Technology and Software--Unrestricted
C45 BAG--Baggage
C46 AVS--Aircraft and Vessels (AES not required)
C49 TAPS--Trans-Alaska Pipeline Authorization Act
C50 ENC--Encryption Commodities and Software
C51 AGR--License Exception Agricultural Commodities
C53 APP--Adjusted Peak Performance (Computers)
C54 SS-WRC--Western Red Cedar
C55 SS-Sample--Crude Oil Samples
C56 SS-SPR--Strategic Petroleum Reserves
C57 VEU--Validated End User Authorization
C58 VEU--Consumer Communication Devices
* * * * *
33. Revise Appendix C to Part 30 to read as follows:

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

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

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

1. Exemption for shipments destined to Canada (Sec. 30.36).
2. Valued $2,500 or less per Schedule B/HTSUSA classification
for commodities shipped from one USPPI to one consignee on a single
carrier (Sec. 30.37(a)).
3. Tools of the trade and their containers that are usual and
reasonable kinds and quantities of commodities and software intended
for use by individual USPPIs or by employees or representatives of
the exporting company in furthering the enterprises and undertakings
of the USPPI abroad (Sec. 30.37(b)).
4. Shipments from one point in the United States to another
point in the United States by routes passing through Canada or
Mexico (Sec. 30.37(c)).
5. Shipments from one point in Canada or Mexico to another point
in the same country

[[Page 4018]]

by routes through the United States (Sec. 30.37(d)).
6. Vessels, locomotives, aircraft, rail cars, trucks, other
vehicles, trailers, pallets, cargo vans, lift vans, or similar
shipping containers not considered ``shipped'' in terms of the
regulations in this part, when they are moving, either loaded or
empty, without transfer of ownership or title, in their capacity as
carriers of goods or as instruments of such carriers, and EEI filing
is not required. (Sec. 30.37(e)).
7. Exports of technology and software as defined in 15 CFR 772
of the EAR that do not require an export license. However, EEI is
required for mass-market software (Sec. 30.37(f)).
8. Shipments of books, maps, charts, pamphlets, and similar
articles shipped to foreign libraries, government establishments, or
similar institutions (Sec. 30.37(g)).
9. Shipments as authorized under License Exception GFT for gift
parcels and humanitarian donations (EAR 15 CFR 740.12); Sec.
30.37(h).
10. Diplomatic pouches and their contents (Sec. 30.37(i)).
11. Human remains and accompanying appropriate receptacles and
flowers (Sec. 30.37(j)).
12. Shipments of interplant correspondence, executed invoices
and other documents, and other shipments of company business records
from a U.S. firm to its subsidiary or affiliate. This excludes
highly technical plans, correspondence, etc. that could be licensed
(Sec. 30.37(k)).
13. Shipments of pets as baggage (Sec. 30.37(l)).
14. Carrier's stores, not shipped under a bill of lading or an
air waybill, supplies and equipment, including usual and reasonable
kinds and quantities of bunker fuel, deck engine and steward
department stores, provisions and supplies, medicinal and surgical
supplies, food stores, slop chest articles, and saloon stores or
supplies for use or consumption on board and not intended for
unlading in a foreign country (Sec. 30.37(m)).
15. Dunnage not shipped under a bill of lading or an air
waybill, of usual and reasonable kinds and quantities not intended
for unlading in a foreign country (Sec. 30.37(n)).
16. Shipments of aircraft parts and equipment; food, saloon,
slop chest, and related stores; and provisions and supplies for use
on aircraft by a U.S. airline. (EAR license exception (AVS) for
aircraft and vessels 15 CFR 740.15(c); Sec. 30.37(o)).
17. Baggage and personal effects, accompanied or unaccompanied,
of persons leaving the United States including members of crews on
vessels and aircraft, when they are not shipped as cargo under a
bill of lading or an air waybill and do not require an export
license (Sec. 30.37(p)).
18. Issued banknotes and securities and coins in circulation
exported as evidence of financial claims. The EEI must be filed for
unissued bank notes and securities and coins not in circulation
(such as bank notes printed in the United States and exported in
fulfillment of the printing contract or as part of collections),
which should be reported at their commercial or current value (Sec.
30.37(q)).
19. Documents used in international transactions, documents
moving out of the United States to facilitate international
transactions including airline tickets, internal revenue stamps,
liquor stamps, and advertising literature. Export of such documents
in fulfillment of a contract for their production, however, are not
exempt and must be reported at the transaction value for their
production (Sec. 30.37(r)).
20. Exports of technical data and defense service exemptions as
defined in 22 CFR 123.22(b)(3)(iii) of the ITAR (Sec. 30.37(s)).
B. The following types of transactions are outside the scope of
the FTR and shall be excluded from EEI filing:
1. Goods shipped under CBP bond through the United States,
Puerto Rico, or the U.S. Virgin Islands from one foreign country or
area to another where such goods do not enter the consumption
channels of the United States.
2. Goods shipped from the U.S. territories, except Puerto Rico
and U.S. Virgin Islands, and goods shipped between the United States
and these territories, except Puerto Rico and U.S. Virgin Islands,
do not require EEI filing. However, goods transiting U.S.
territories to foreign destinations require EEI filing.
3. Electronic transmissions and intangible transfers. (See
Subpart B of this part for export control requirements for these
types of transactions.)
4. Goods shipped to Guantanamo Bay Naval Base in Cuba from the
United States, Puerto Rico, or the U.S. Virgin Islands and from
Guantanamo Bay Naval Base to the United States, Puerto Rico, or the
U.S. Virgin Islands. (See Sec. 30.39 for filing requirements for
shipments exported to the U.S. Armed Services.)
5. Goods destined for international waters where the person(s)
or entity assuming control of the item(s) is from the United States
or where the United States is the country of ultimate destination on
the export license, except shipments from Puerto Rico.

34. Revise Appendix D to Part 30 to read as follows:

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

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

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

35. Revise Appendix E to Part 30 to read as follows:

Appendix E to Part 30--FTSR to FTR Concordance

[[Page 4019]]

----------------------------------------------------------------------------------------------------------------
FTSR FTSR Regulatory topic FTR FTR Regulatory topic
----------------------------------------------------------------------------------------------------------------
Subpart A--General Requirements--USPPI
----------------------------------------------------------------------------------------------------------------
30.1................................ General statement of 30.2 General requirements for
requirement for Shipper's filing Electronic Export
Export Declarations (SEDs). Information (EEI).
30.1(a)............................. General requirements for .............. General requirements for
filing SEDs. filing EEI.
30.1(b)............................. General requirements for .............. NA.
reporting regarding method
of transportation.
30.1(c)............................. AES as an alternative to SED .............. NA.
reporting.
30.1(d)............................. Electronic transmissions and 30.2(d)(3) Exclusions from filing EEI.
intangible transfers.
----------------------------------------------------------------------------------------------------------------
30.2................................ Related export control 30.15 Export control and licensing
requirements. requirements introduction.
30.16 EAR requirements for export
information on shipments
from U.S. Possessions to
foreign destinations or
areas.
30.17 Customs and Border
Protection Regulations.
----------------------------------------------------------------------------------------------------------------
30.3................................ Shipper's Export Declaration .............. NA.
forms.
----------------------------------------------------------------------------------------------------------------
30.4................................ Preparation and signature of 30.3 Electronic Export
Shipper's Export Information filer
Declarations (SED). requirements, parties to
export transactions,
responsibilities of parties
to export transactions.
30.4(a)............................. General requirements (SED).. 30.3(a) General Requirements.
30.3(b) Parties to the export
transaction.
30.4(b)............................. Responsibilities of parties 30.3(c) General responsibilities of
in export transactions. parties in export
transactions.
30.3(d) Filer responsibilities.
30.4(c)............................. Responsibilities of parties 30.3(e) Responsibilities of parties
in a routed export in a routed export
transactions. transactions.
30.4(d)............................. Information on the Shipper's 30.3(a) General requirements.
Export Declaration (SED) or
Automated Export System
(AES) record.
30.4(e)............................. Authorizing a forwarding or 30.3(f) Authorizing an agent.
other agent.
30.4(f)............................. Format requirements for SEDs .............. NA.
----------------------------------------------------------------------------------------------------------------
30.5................................ Number and copies of .............. NA.
Shipper's Export
Declaration required.
----------------------------------------------------------------------------------------------------------------
30.6................................ Requirements as to separate .............. NA.
Shipper's Export
Declarations.
----------------------------------------------------------------------------------------------------------------
30.7................................ Information required on .............. NA.
Shipper's Export
Declarations.
----------------------------------------------------------------------------------------------------------------
30.8................................ Additional information .............. NA.
required on Shipper's
Export Declaration for In-
Transit Goods (ENG Form
7513).
----------------------------------------------------------------------------------------------------------------
30.9................................ Requirements for separation .............. NA.
and alignment of items on
Shipper's Export
Declarations.
----------------------------------------------------------------------------------------------------------------
30.10............................... Continuation sheets for .............. NA.
Shipper's Export
Declaration.
----------------------------------------------------------------------------------------------------------------
30.11............................... Authority to require 30.10(b) Authority to require
production of document. production of documents and
retaining electronic data.
----------------------------------------------------------------------------------------------------------------
30.12............................... Time and place for 30.4 Electronic export
presenting the SED, information filing
exemption legends or proof procedures, deadlines, and
of filing citations. certification statements.
30.8 Time and place for
presenting proof of filing
citations, postdeparture
filing citations, AES
downtime citations, and
exemption legends.
----------------------------------------------------------------------------------------------------------------
30.15............................... Procedure for presentation .............. NA.
of declarations covering
shipments from an interior
point.
----------------------------------------------------------------------------------------------------------------
30.16............................... Corrections to Shipper's 30.9 Transmitting and correcting
Export Declarations. Electronic Export
Information.
----------------------------------------------------------------------------------------------------------------
Subpart B--General Requirements--Exporting Carriers
----------------------------------------------------------------------------------------------------------------
30.20............................... General statement of 30.45 General statement of
requirement for the filing requirements for the filing
of manifests. of carrier manifests with
proof of filing citations.

[[Page 4020]]

30.20(a)............................ Carriers transporting 30.45(a) Requirements for filing
merchandise from the United carrier manifest.
States, Puerto Rico, or
U.S. territories to foreign
countries.
30.20(b)............................ For carriers transporting 30.45(a) Requirements for filing
merchandise from the United carrier manifest.
States to Puerto Rico.
30.20(c)............................ Except as otherwise 30.45(a) Requirements for filing
specifically provided, carrier manifest.
declarations should not be
filed at the place where
the shipment originates.
30.20(d)............................ For purposes of these 30.1(c) Definition used with EEI.
regulations, the port of
exportation is defined as.
----------------------------------------------------------------------------------------------------------------
30.21............................... Requirements for the filing 30.45 General statement of
of Manifests. requirements for the filing
of carrier manifests with
proof of filing citations
for the electronic
submission of export
information or exemption
legends when EEI is not
required.
30.21(a)............................ Vessel...................... 30.45(a)(1) Vessel.
30.21(b)............................ Aircraft.................... 30.45(a)(2) Aircraft.
30.21(c)............................ Rail Carrier................ 30.45(a)(3) Rail Carrier.
30.21(d)............................ Carriers not required to 30.45(a)(4) Carriers not required to
file manifests. file manifests.
----------------------------------------------------------------------------------------------------------------
30.22(a)............................ Requirements for the filing 30.8 Time and place for
of SEDs or AES exemption presenting proof of filing
legends and AES proof of citation, and exemption
filing citations by legends.
departing carriers.
30.22(b)............................ The exporting carrier shall .............. NA.
be responsible for the
accuracy of the following
items of information.
30.22(c)............................ Except as provided in .............. NA.
paragraph (d) of this
section, when a
transportation company
finds, prior to the filing
of declarations and
manifest as provided in
paragraph (a) of this
section, that due to
circumstances beyond the
control of the
transportation company or
to inadvertence, a portion
of the merchandise covered
by an individual Shipper's
Export Declaration has not
been exported on the
intended carrier.
30.22(d)............................ When a shipment by air 30.45(c) Split shipments.
covered by a single
Shipper's Export
Declaration is divided by
the transportation company
and exported in more than
one aircraft of the
transportation.
30.22(e)............................ Exporting carriers are .............. NA.
authorized to amend
incorrect shipping weights
reported on Shipper's
Export Declarations.
----------------------------------------------------------------------------------------------------------------
30.23............................... Requirements for the filing 30.46 Requirements for the filing
of Shipper's Export of export information by
Declarations by pipeline pipeline carriers.
carriers.
30.24............................... Clearance or departure of 30.47 Clearance or departure of
carriers under bond on carriers under bond on
incomplete manifest on incomplete manifests.
Shipper's Export
Declarations.
----------------------------------------------------------------------------------------------------------------
Subpart C--Special Provisions Applicable Under Particular Circumstances
----------------------------------------------------------------------------------------------------------------
30.30............................... Values for certain types of 30.25 Values for certain types of
transactions. transactions.
----------------------------------------------------------------------------------------------------------------
30.31............................... Identification of certain 30.29 Reporting of repairs and
nonstatistical and other replacements.
unusual transactions.
30.31(a)............................ Merchandise exported for 30.29(a) The return of goods
repair only, and other previously imported for
temporary exports. repair.
30.31(b)............................ The return of merchandise 30.29(b) Goods that are covered under
previously imported for warranty and other
repair only. temporary exports.
30.31(c)............................ Shipments of material in .............. NA.
connection with
construction, maintenance,
and related work being done
on projects for the U.S.
Armed Forces.
----------------------------------------------------------------------------------------------------------------
30.33............................... Vessels, planes, cargo vans, 30.26 Reporting of vessels,
and other carriers and aircraft, cargo vans, and
containers sold foreign. other carriers and
containers.
----------------------------------------------------------------------------------------------------------------
30.34............................... Return of exported cargo to 30.27 Return of exported cargo to
the United States prior to the United States prior to
reaching its final reaching its final
destination. destination.
----------------------------------------------------------------------------------------------------------------
30.37............................... Exceptions from the 30.38 Exemption from the
requirement for reporting requirements for reporting
complete commodity detail complete commodity
on the Shipper's Export information.
Declaration.

[[Page 4021]]

30.37(a)............................ Where it can be determined 30.39 Special exemptions for
that particular types of shipments to the U.S. Armed
U.S. Government shipments, Services. (Note, this
or shipments for government section does not
projects, are of such specifically address
nature that they should not construction materials nor
be included in the export related work being done on
statistics. projects).
30.37(b)............................ Special exemptions to .............. NA.
specific portions of the
requirements of Sec. 30.7
with respect to the
reporting of detailed
information.
----------------------------------------------------------------------------------------------------------------
30.39............................... Authorization for reporting .............. NA.
statistical information
other than by means of
individual Shipper's Export
Declarations filed for each
shipment.
----------------------------------------------------------------------------------------------------------------
30.40............................... Single declaration for .............. NA.
multiple consignees.
----------------------------------------------------------------------------------------------------------------
30.41............................... ``Split shipments'' by air.. 30.28 Split shipments.
----------------------------------------------------------------------------------------------------------------
Subpart D--Exemptions from the requirements for the Filing of Shipper's Export Declarations
----------------------------------------------------------------------------------------------------------------
30.50............................... Procedure for shipments 30.35 Procedure for shipments
exempt from the exempt from filing
requirements for Shipper's requirements.
Export Declarations.
----------------------------------------------------------------------------------------------------------------
30.51............................... Government shipments not 30.39 Special exemption for
generally exempt. shipments to the U.S. Armed
Services.
----------------------------------------------------------------------------------------------------------------
30.52............................... Special exemptions for 30.39 Special exemptions for
shipments to the U.S. Armed shipments to the U.S. Armed
Services. Services.
----------------------------------------------------------------------------------------------------------------
30.53............................... Special exemptions for 30.40 Special exemptions for
certain shipments to U.S. certain shipments to U.S.
Government agencies and Government agencies and
employees. employees.
30.53(e)............................ All commodities shipped to .............. NA.
and for the exclusive use
of the Panama Canal Zone
Government or the Panama
Canal Company.
----------------------------------------------------------------------------------------------------------------
30.55............................... Miscellaneous exemptions.... 30.37 Miscellaneous exemptions.
30.55(a)............................ Diplomatic pouches and their 30.37(i) Diplomatic pouches and their
contents. contents.
30.55(b)............................ Human remains and 30.37(j) Human remains and
accompanying appropriate accompanying appropriate
receptacles and flowers. receptacles and flowers.
30.55(c)............................ Shipments from one point in 30.37(c) Shipments from one point in
the United States to the United States to
another thereof by routes another point in the United
passing through Mexico. States by routes passing
through Canada or Mexico.
30.55(d)............................ Shipments from one point in 30.37(d) Shipments from one point in
Mexico to another point Canada or Mexico to another
thereof by routes through point in the same country
the United States. by routes through the
United States.
30.55(e)............................ Shipments, other than by 30.2(d)(1) Shipments, transported in-
vessel, or merchandise for bond through the United
which no validated export States, and exported from
licenses are required, another U.S. port, or
transported inbond through transshipped and exported
the United States, and directly from the port of
exported from another U.S. arrival.
port, or transshipped and
exported directly from the
port of arrival.
30.55(f)............................ Shipments to foreign 30.37(g) Shipments to foreign
libraries, government libraries, government
establishments, or similar establishments, or similar
institutions, as provided institutions, as provided
in Sec. 30.53(d). in Sec. 30.40(d).
30.55(g)............................ Shipments of single gift 30.37(h) Shipments authorized by
parcels as authorized by License Exception GFT for
the Bureau of Industry and gift parcels, humanitarian
Security under License donations.
Exception GFT, see 15 CFR
740.12 of the EAR.
30.55(h)............................ Except as noted in paragraph 30.37(a) Except as noted in Sec.
(h)(2) of this section, 30.2(a)(1)(iv), exports of
exports of commodities commodities where the value
where the value of the of the commodities shipped
commodities shipped from USPPI to one consignee on a
one exporter to one single exporting carrier,
consignee on a single classified under an
exporting carrier, individual Schedule B or
classified under an HTSUSA commodity
individual Schedule B classification code, is
number, is $2,500 or less. $2,500 or less.
30.55(i)............................ Shipments of interplant 30.37(k) Shipments of interplant
correspondence, executed correspondence, executed
invoices, and other invoices, and other
documents and other documents and other
shipments of company shipments of company
business records from a business records from a
U.S. firm to its subsidiary U.S. firm to its subsidiary
or affiliate. or affiliate.
30.55(j)............................ Shipments of pets as 30.37(l) Shipments of pets as
baggage, accompanied or baggage, accompanied or
unaccompanied, of persons unaccompanied, of persons
leaving the United States, leaving the United States,
including members of crews including members of crews
on vessels and aircraft. on vessels and aircraft.
30.55(k)............................ Shipments for use in .............. NA.
connection with NASA
tracking systems under
Office of Export
Administration Project
License DL-5355-S.

[[Page 4022]]

30.55(l)............................ Shipments of aircraft parts .............. NA.
and equipment, and food,
saloon, slop chest, and
related stores, provisions,
and supplies for use on
aircraft by a U.S. airline
to its own installations,
aircraft, and agent aboard,
under Department of
Commerce, Office of Export
Administration General
License, RCS.
30.55(m)............................ Shipments for use in .............. NA.
connection with NOAA
operations under the Office
of Export Administration
General License G-NOAA.
30.55(n)............................ Exports of technology and 30.37(f) Exports of technology and
software as defined in 15 software as defined in 15
CFR 772 of the EAR that do CFR 772 of the EAR that do
not require an export not require an export
license. license.
30.55(o)............................ Intangible exports of 30.2(d)(3) Intangible exports of
software and technology, software and technology,
such as downloaded software such as downloaded software
and technical data, and technical data,
including technology and including technology and
software that requires an software that requires an
export license and mass export license and mass
market software exported market software exported
electronically. electronically.
30.56............................... Conditional Exemptions...... 30.37 Miscellaneous exemptions.
30.56(a)............................ Baggage and personal effects 30.38 Exemption from the
requirements for reporting
complete commodity
information.
30.56(b)............................ Tools of trade.............. 30.37(b) Tools of trade.
30.56(c)............................ Carriers' stores............ 30.37(m) Carriers' stores.
30.56(d)............................ Dunnage..................... 30.37(n) Dunnage.
----------------------------------------------------------------------------------------------------------------
30.57............................... Information on export .............. NA.
declarations for shipments
of types of goods covered
by Sec. 30.56 not
conditionally exempt.
----------------------------------------------------------------------------------------------------------------
30.58............................... Exemption for shipments from 30.36 Exemption for shipments
the United States to Canada. destined to Canada.
----------------------------------------------------------------------------------------------------------------
Subpart E--Electronic Filing Requirements--Shipper's Export Information
----------------------------------------------------------------------------------------------------------------
30.60............................... General requirements for 30.2 General requirements for
filing export and manifest filing Electronic Export
data electronically using Information.
the Automated Export System
(AES).
30.60(a)............................ Participation............... .............. NA.
30.60(b)............................ Letter of Intent............ 30.5(a)(1) Postdeparture filing
application.
30.60(c)............................ General filing and 30.4 NA.
transmission requirements.
30.60(d)............................ General responsibilities of 30.3 Electronic Export
exporters, filing agents, Information filer
and sea carriers--. requirements, parties to
export transactions, and
responsibilities of parties
to export transactions.
----------------------------------------------------------------------------------------------------------------
30.61............................... Electronic filing options... 30.4 Electronic Export
Information filing
procedure, deadlines, and
certification statement.
----------------------------------------------------------------------------------------------------------------
30.62............................... AES Certification, 30.5 EEI filing application and
qualifications, and certification processes and
standards. standards.
----------------------------------------------------------------------------------------------------------------
30.63............................... Information required to be 30.6 Electronic Export
reported electronically Information data elements.
through AES (data elements).
----------------------------------------------------------------------------------------------------------------
30.64............................... Transmitting and correcting 30.9 Transmitting and correcting
AES information. Electronic Export
Information.
----------------------------------------------------------------------------------------------------------------
30.65............................... Annotating the proper 30.7 Annotating the bill of
exemption legends or proof lading, air waybill, and
of filing citations for other commercial loading
shipments transmitted documents with the proper
electronically. proof of filing citations,
approved postdeparture
filing citations, downtime
filing citation, or
exemption legends.
----------------------------------------------------------------------------------------------------------------
30.66............................... Recordkeeping and 30.5(f) Support.
requirements.
30.66............................... Support, documentation, and 30.10 Retention of export
recordkeeping requirements. information and the
authority to require
production of documents.
----------------------------------------------------------------------------------------------------------------
Subpart F--General Requirements--Importers
----------------------------------------------------------------------------------------------------------------
30.70............................... Statistical information 30.50 General requirements for
required on import entries. filing import entries.
30.51 Statistical information
required for import
entries.
----------------------------------------------------------------------------------------------------------------
30.80............................... Imports from Canada......... 30.54 Special provisions for
imports from Canada.
----------------------------------------------------------------------------------------------------------------
30.81............................... Imports of merchandise into .............. NA.
Guam.
----------------------------------------------------------------------------------------------------------------

[[Page 4023]]

30.82............................... Identification of U.S. 30.53 Import of goods returned for
merchandise returned for repair.
repair and reexport.
----------------------------------------------------------------------------------------------------------------
30.83............................... Statistical copy of mail and .............. NA.
informal entries.
----------------------------------------------------------------------------------------------------------------
Subpart H--General Administrative Provisions
----------------------------------------------------------------------------------------------------------------
30.90............................... Confidential information, 30.55 Confidentiality information,
import entries, and import entries, and
withdrawals. withdrawals.
----------------------------------------------------------------------------------------------------------------
30.91............................... Confidential information, 30.60 Confidentiality of
Shipper's Export Electronic Export
Declarations. Information.
----------------------------------------------------------------------------------------------------------------
30.92............................... Statistical classification 30.61 Statistical classification
schedules. schedules.
----------------------------------------------------------------------------------------------------------------
30.93............................... Emergency exceptions........ 30.62 Emergency exceptions.
----------------------------------------------------------------------------------------------------------------
30.94............................... Instructions to CBP......... .............. NA.
----------------------------------------------------------------------------------------------------------------
30.95............................... Penalties for violations.... .............. Subpart H.
30.95(a)............................ Exports (reexports) of rough 30.70 Violation of the Clean
diamonds. Diamond Trade Act.
30.95(b)............................ Exports of other than rough 30.71 False or fraudulent
diamonds. reporting.
----------------------------------------------------------------------------------------------------------------
30.99............................... OMB control numbers assigned 30.63 Office of Management and
pursuant to the Paperwork Budget control numbers
Reduction Act. assigned pursuant to the
Paperwork Reduction Act.
----------------------------------------------------------------------------------------------------------------

36. Revise Appendix F to Part 30 to read as follows:

Appendix F to Part 30--FTR to FTSR Concordance

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

[[Page 4024]]

30.8................................ Time and place for 30.12 Time and place for
presenting proof of filing presenting the SED,
citations, postdeparture exemption legends, or proof
filing citations, downtime of filing citations.
filing citation, or
exemption legends.
----------------------------------------------------------------------------------------------------------------
30.9................................ Transmitting and correcting 30.64 Transmitting and correcting
Electronic Export AES information.
Information.
30.16 Corrections to Shipper's
Export Declarations.
----------------------------------------------------------------------------------------------------------------
30.10(a)............................ Retention of Export 30.66 Support, documentation and
information. recordkeeping, and
documentation requirements.
30.10(b)............................ Authority to require 30.11 Authority to require
production of documents. production of documents.
----------------------------------------------------------------------------------------------------------------
Subpart B--Export Control and Licensing Requirements
----------------------------------------------------------------------------------------------------------------
30.15............................... Introduction................ 30.2 Related export control
requirements.
----------------------------------------------------------------------------------------------------------------
30.16............................... Bureau of Industry and 30.2 Related export control
Security regulations. requirements.
----------------------------------------------------------------------------------------------------------------
30.17............................... Customs and Border 30.2 Related export control
Protection regulations. requirements.
----------------------------------------------------------------------------------------------------------------
30.18............................... Department of State 30.2 Related export control
regulations. requirements.
----------------------------------------------------------------------------------------------------------------
30.19............................... Other Federal agency 30.2 Related export control
regulations. requirements.
----------------------------------------------------------------------------------------------------------------
Subpart C--Special Provisions and Specific-Type Transactions
----------------------------------------------------------------------------------------------------------------
30.25............................... Values for certain types of 30.30 Values for certain types of
transactions. transactions.
----------------------------------------------------------------------------------------------------------------
30.26............................... Reporting of vessels, 30.33 Vessels, planes, cargo vans,
aircraft, cargo vans, and and other carriers and
other carriers and containers sold foreign.
containers.
----------------------------------------------------------------------------------------------------------------
30.27............................... Return of exported cargo to 30.34 Return of exported cargo to
the United States prior to the United States prior to
reaching its final reaching its final
destination. destination.
----------------------------------------------------------------------------------------------------------------
30.28............................... Split shipments............. 30.41 ``Split shipments'' by air.
----------------------------------------------------------------------------------------------------------------
30.29............................... Reporting of repairs and 30.31 Identification of certain
replacements. nonstatistical and other
unusual transactions.
----------------------------------------------------------------------------------------------------------------
Subpart D--Exemptions from the Requirements for the Filing of Electronic Export Information
----------------------------------------------------------------------------------------------------------------
30.35............................... Procedure for shipments 30.50 Procedure for shipments
exempt from filing exempt from the
requirements. requirements for SEDs.
----------------------------------------------------------------------------------------------------------------
30.36............................... Exemption for shipments 30.58 Exemption for shipments from
destined to Canada. the United States to
Canada.
----------------------------------------------------------------------------------------------------------------
30.37............................... Miscellaneous exemptions.... 30.55 Miscellaneous exemptions.
30.55 Conditional exemptions.
30.37(a)............................ Except as noted in Sec. 30.55(h) Except as noted in paragraph
30.2(a)(1)(iv), exports of h(2) of this section,
commodities where the value exports of commodities
* * * is $2,500 or less. where the value * * * is
$2,500 or less.
30.37(b)............................ Tools of trade.............. 30.56(b) Tools of trade.
30.37(c)............................ Shipments from one point in 30.55(c) Shipments from one point in
the United States to the United States to
another point in the United another thereof by routes
States by routes passing passing through Mexico.
through Canada or Mexico.
30.58(a) * * * this exemption also
applies to shipments from
one point in the United
States or Canada to another
point thereof.
30.37(d)............................ Shipments from one point in 30.55(d) Shipments from one point in
Canada or Mexico to another Canada or Mexico to another
point thereof by routes point in the same country
through the United States. by routes through the
United States.
30.58(a) * * * this exemption also
applies to shipments from
one point in the United
States or Canada to another
point thereof.
30.37(e)............................ Vessels, aircraft, cargo 30.55(e) Shipments, other than by
vans, and other carriers vessel, or merchandise for
and containers. which no validated licenses
required, transported
inbond through the United
States.
30.37(f)............................ Exports of technology and 30.55(n) Exports of technology and
software as defined in 15 software as defined in 15
CFR of the EAR that do not CFR 772 of the EAR that do
require an export license. not require an export
license.
30.37(g)............................ Shipments to foreign 30.55(f) Shipments to foreign
libraries, government libraries, government
establishments or similar establishments or similar
institutions, as provided institutions, as provided
in Sec. 30.40(d). in Sec. 30.53(d).

[[Page 4025]]

30.37(f)............................ Shipments as authorized 30.55(g) Shipments of single gift
under License Exception GFT parcels as authorized by
for gift parcels and the Bureau of Industry and
humanitarian donations. Security under license
exception GFT.
30.37(i)............................ Diplomatic pouches and their 30.55(a) Diplomatic pouches and their
contents. contents.
30.37(j)............................ Human remains and 30.55(b) Human remains and
accompanying appropriate accompanying appropriate
receptacles and flowers. receptacles and flowers.
30.37(k)............................ Shipments of interplant 30.55(i) Shipments of interplant
correspondence, executed correspondence, executed
invoices and other invoices and other
documents, and other documents, and other
shipments of company shipments of company
business records from a business records from a
U.S. firm to its subsidiary U.S. firm to its subsidiary
or affiliate. or affiliate.
30.37(l)............................ Shipments of pets as 30.55(j) Shipments of pets as
baggage, accompanied or baggage, accompanied or
unaccompanied, of persons unaccompanied, of persons
leaving the United States, leaving the United States,
including members of crews including members of crews
on vessels and aircraft. on vessels and aircraft.
30.37(m)............................ Carriers' stores............ 30.56(c) Carriers' stores.
30.37(n)............................ Dunnage..................... 30.56(d) Dunnage.
30.37(o)............................ Shipments of aircraft parts 30.55(l) Shipments of aircraft parts
and equipment; food, and equipment; food,
saloon, slop chest, and saloon, slop chest, and
related stores. related stores.
30.37(p)............................ Baggage and personal effects 30.56(a) Baggage and personal effects
not shipped as cargo under not shipped as cargo under
a bill of lading or an air a bill of lading or an air
waybill and not requiring waybill and not requiring
an export license. an export license.
30.37(q)............................ Issued bank notes and .............. NA.
securities and coins in
circulation exported as
evidence of financial
claims.
----------------------------------------------------------------------------------------------------------------
30.37(r)............................ Documents used in .............. NA.
international transactions.
----------------------------------------------------------------------------------------------------------------
30.37(s)............................ Exports of technical data .............. NA.
and defense service
exemptions.
----------------------------------------------------------------------------------------------------------------
30.38............................... Exemption from the 30.56 Conditional exemptions.
requirement for reporting
complete commodity
information Revised based
on CBP comments.
30.38(a)............................ Usual and reasonable kinds 30.56(a)(1) Usual and reasonable kinds
and quantities of wearing and quantities of wearing
apparel, articles of apparel, articles of
personal adornment, toilet personal adornment, toilet
articles, medicinal articles, medicinal
supplies, food, souvenirs, supplies, food, souvenirs,
games, and similar personal games, and similar personal
effects and their effects and their
containers. containers.
30.38(b)............................ Usual and reasonable kinds 30.56(a)(2) Usual and reasonable kinds
and quantities of and quantities of
furniture, household furniture, household
effects, household effects, household
furnishings, and their furnishings, and their
containers. containers.
30.38(c)............................ Usual and reasonable kinds 30.56(a)(3) Usual and reasonable kinds
and quantities of vehicles, and quantities of vehicles,
such as passenger cars, such as passenger cars,
station wagons, trucks. station wagons, trucks.
----------------------------------------------------------------------------------------------------------------
30.39............................... Special exemptions for 30.52 Special exemptions for
shipments to the U.S. Armed shipments to the U.S. Armed
Services. Services.
----------------------------------------------------------------------------------------------------------------
30.40............................... Special exemptions for 30.53 Special exemptions for
certain shipments to U.S. certain shipments to U.S.
Government agencies and Government agencies and
employees. employees.
----------------------------------------------------------------------------------------------------------------
Subpart E--General Carrier and Manifest Requirements
----------------------------------------------------------------------------------------------------------------
30.45............................... General Statement of 30.20 General statement of
requirements for the filing requirements for the filing
of carrier manifests with of manifests.
proof of filing citations.
30.21 Requirements for the filing
of manifests
30.22 Requirements for filing of
Shipper's Export
Declarations by departing
carriers.
----------------------------------------------------------------------------------------------------------------
30.46............................... Requirements for the filing 30.23 Requirement for the filing
of export information by of Shipper's Export
pipeline carriers. Declarations by pipeline
carriers.
----------------------------------------------------------------------------------------------------------------
30.47............................... Clearance or departure of 30.24 Clearance or departure of
carriers under bond on carriers under bond on
incomplete manifests. incomplete manifest.
----------------------------------------------------------------------------------------------------------------
Subpart F--Import Requirements
----------------------------------------------------------------------------------------------------------------
30.50............................... General requirements for 30.70 Statistical information
filing import entries. required on import entries.
----------------------------------------------------------------------------------------------------------------
30.51............................... Statistical information 30.70 Statistical information
required for imports required for import
entries. entries.
----------------------------------------------------------------------------------------------------------------
30.52............................... Foreign Trade Zones......... .............. NA.
----------------------------------------------------------------------------------------------------------------

[[Page 4026]]

30.53............................... Import of goods returned for 30.82 Identification of U.S.
repair. merchandise returned for
repair and reexport.
----------------------------------------------------------------------------------------------------------------
30.54............................... Special provisions for 30.80 Imports from Canada.
imports from Canada.
----------------------------------------------------------------------------------------------------------------
30.55............................... Confidential information, 30.90 Confidential information
import entries, and import entries, and
withdrawals. withdrawals.
----------------------------------------------------------------------------------------------------------------
Subpart G--General Administrative Provisions
----------------------------------------------------------------------------------------------------------------
30.60............................... Confidentiality of 30.91 Confidential information,
Electronic Export Shipper's Export
Information. Declaration.
----------------------------------------------------------------------------------------------------------------

30.61............................... Statistical classification 30.92 Statistical classification
schedules. schedules.
----------------------------------------------------------------------------------------------------------------
30.62............................... Emergency exceptions........ 30.93 Emergency exceptions.
----------------------------------------------------------------------------------------------------------------
30.63............................... Office of Management and 30.99 OMB control numbers assigned
Budget control numbers pursuant to the Paperwork
assigned pursuant to the Reduction Act.
Paperwork Reduction Act.
----------------------------------------------------------------------------------------------------------------
Subpart H--Penalties
----------------------------------------------------------------------------------------------------------------
30.70............................... Violation of the Clean 30.95(a) Penalties for violations for
Diamond Trade Act. export (reexport) of rough
diamonds.
----------------------------------------------------------------------------------------------------------------
30.71............................... False or Fraudulent 30.95(b) Penalties for violations of
reporting on or misuse of exports other than
the Automated Export System. diamonds.
30.71(a)............................ Criminal penalties..........
30.71(b)............................ Civil penalties.............
----------------------------------------------------------------------------------------------------------------
30.72............................... Civil penalty procedures.... .............. NA.
----------------------------------------------------------------------------------------------------------------
30.73............................... Enforcement................. .............. NA.
30.73(a)............................ Department of Commerce......
30.73(b)............................ Department of Homeland
Security.
----------------------------------------------------------------------------------------------------------------
30.74............................... Voluntary self-disclosure... .............. NA.
----------------------------------------------------------------------------------------------------------------
30.75-30.99......................... [Reserved]..................
----------------------------------------------------------------------------------------------------------------

Dated: December 30, 2010.
Robert M. Groves,
Director, Bureau of the Census.

[FR Doc. 2011-165 Filed 1-20-11; 8:45 am]
BILLING CODE 3510-07-P