[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.

[[Page 4003]]

     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.

[[Page 4005]]

     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