**PART IV.**

**Standard Guidelines**

**for**

**Processing of Automated Export Transactions**

**During Downtime of AES**

**and**

**Downtime of AES Participant's Computer System**

Issued: August 2003 AESTIR Part IV June 2004

###### Table of Contents

Section 1. Purpose [4](#section-1.-purpose)

Section 2. Background [4](#section-2.-background)

Section 3. Definitions [4](#section-3.-definitions)

Section 4. General Policy [5](#section-4.-general-policy)

A. AES or Participant System Downtime of 1 to 7 Calendar Days
[5](#a.-aes-or-participant-system-downtime-of-1-to-7-calendar-days)

B. AES or Participating System Downtime Exceeding 8 Calendar Days
[6](#b.-aes-or-participating-system-downtime-exceeding-8-calendar-days)

C. Enforcement Verification [6](#c.-enforcement-verification)

D. State Department Licenses and License Exemptions
[6](#d.-state-department-licenses-and-license-exemptions)

E. Commerce Department and Other Agency Licenses
[6](#e.-commerce-department-and-other-agency-licenses)

F. USML and CCL Mandatory AES Filings
[6](#f.-usml-and-ccl-mandatory-aes-filings)

G. Downtime Matrix -- Time Frames and Procedures
[7](#g.-downtime-matrix-time-frames-and-procedures)

Section 5. Action -- Downtime Of 1 To 7 Calendar Days
[8](#section-5.-action-downtime-of-1-to-7-calendar-days)

A. AES Participants' Responsibilities
[8](#a.-aes-participants-responsibilities)

1\. Participant Unable to Transmit [8](#participant-unable-to-transmit)

2\. Downtime Procedures [8](#downtime-procedures)

a\. Commodity Data [8](#a.-commodity-data)

b\. Transportation Data [9](#b.-transportation-data)

3\. Record Keeping [9](#record-keeping)

4\. Late Messages [9](#late-messages)

5\. Holds [9](#holds)

6\. State Department Licenses and License Exemptions
[9](#state-department-licenses-and-license-exemptions)

> 7\. Licensed
> Shipments.............................................................................................10
>
> 8\. Items of the Commerce Control
> List..........................................................................10

B. Government's Responsibilities [10](#b.-governments-responsibilities)

1\. Client Representatives and the National Data Center
[10](#client-representatives-and-the-national-data-center)

2\. Unresolved Problems [10](#unresolved-problems)

3\. Notification of Customs and Border Protection Ports
[11](#notification-of-customs-and-border-protection-ports)

4\. Verifications [11](#verifications)

5\. Holds [11](#holds-1)

6\. Evidence of Compliance [11](#evidence-of-compliance)

7\. State Department Licenses and License Exemptions
[11](#state-department-licenses-and-license-exemptions-1)

Section 6. Action -- Downtime Exceeding 8 Calendar Days
[12](#section-6.-action-downtime-exceeding-8-calendar-days)

A. AES Participant's Responsibilities
[12](#a.-aes-participants-responsibilities-1)

1\. Manual Procedures [12](#manual-procedures)

a\. Commodity Data [12](#a.-commodity-data-1)

b\. Transportation Data [12](#b.-transportation-data-1)

2\. Holds [13](#holds-2)

3\. State Department Licenses and License Exemptions
[13](#state-department-licenses-and-license-exemptions-2)

4\. Commerce Department and Other Agencies Licenses
[13](#commerce-department-and-other-agencies-licenses)

5\. Discontinuation of Manual Procedures
[13](#discontinuation-of-manual-procedures)

B. Government's Responsibilities
[13](#b.-governments-responsibilities-1)

1\. Client Representatives and the National Data Center
[13](#client-representatives-and-the-national-data-center-1)

2\. Unresolved Problems [13](#unresolved-problems-1)

3\. Reverting to Manual Procedures [14](#reverting-to-manual-procedures)

4\. Notification of the Customs and Border Protection Ports
[14](#notification-of-the-customs-and-border-protection-ports)

5\. Verifications [14](#verifications-1)

6\. Holds [14](#holds-3)

7\. State Department Licenses and License Exemptions
[15](#state-department-licenses-and-license-exemptions-3)

8\. Discontinuation of Manual Procedures
[15](#discontinuation-of-manual-procedures-1)

Section 7. Miscellaneous [15](#section-7.-miscellaneous)

Section 8. Points Of Contact [15](#section-8.-points-of-contact)

#   {#section .unnumbered}

# Section 1. Purpose

These guidelines provide uniform procedures for the processing of export
transactions when the Automated Export System (AES) or the computer
system of an AES participant is unavailable for transmission.

# Section 2. Background

This document was written to meet the requirements of the "Bureau of
Customs and Border Protection, and Contingency Management Strategy for
Mission Critical Mainframe Applications." The Bureau of Customs and
Border Protection hereafter will be referred to as Customs and Border
Protection or CBP. This document is a condensed and concise version of
the "Contingency of Operations Plans" (COOP) for exports and will serve
as a guideline for any failure of AES or the participant's systems
connected to AES.

The primary purpose of the COOP is to serve as a contingency in the
event that AES or a related system experiences a major failure due to
unforeseen problems, to serve as a guide both for CBP and the public in
case of any failure of AES or related system.

All possible precautions have been taken to minimize downtime of AES.
However, occasional downtime will still be experienced due to routine
and/or unscheduled maintenance of AES performed by the Customs and
Border Protection, Office of Information Technology. Also, unforeseen
downtime can be caused by damage to the National mainframe computer by
natural disaster, war, civil disturbance, or catastrophic breakdown. In
addition, AES participants may experience downtime due to malfunctions
of their equipment.

All Customs and Border Protection Ports, AES Participants, and
Government agencies involved with AES are asked to become familiar with
these guidelines and ensure that local procedures reflect the policies
in this document. More than likely, these procedures will never be used.
However, in case of emergency, these plans will ensure that normal
operations of the export process can proceed without interruption.

# Section 3. Definitions

[AES Participant]{.underline} -- Any individual or entity (U.S.
Principal Party in Interest (exporter), forwarding agent, carrier,
consolidator, service center/bureau, or port authority) actively
reporting export information (commodity and/or transportation data)
electronically through AES in lieu of manual or other automated
reporting systems.

[AES Downtime]{.underline} -- A period of at least one calendar day when
the AES computer system is inaccessible and as a result, commodity
and/or transportation data are not reported within the required time
frames.

[Participant Downtime]{.underline} -- A period of at least one calendar
day when the computer system of an AES participant is inaccessible and,
as a result, commodity and/or transportation data are not reported
within the required time frames.

[Export Transaction]{.underline} -- Any commodity being exported that
requires the transmission of commodity data (Electronic Export
Information(EEI), and/or transportation data (Booking Messages, Receipt
of Booking Messages, Departure Messages, or Manifest Messages) reported
electronically through AES.

[Manually Filing]{.underline} -- The paper method, using the Commerce
Form 7525-V, Shipper's Export Declaration (SED), for export commodity
filing instead of electronic filing via AES. Procedures and time frames
for submitting paper manifests and SED's are described in 19 CFR Part 4,
19 CFR part 122, 15 CFR 30 and these downtime guidelines.

[Severe Circumstances]{.underline} -- Situations such as natural
disasters, civil disturbances, nuclear war, or catastrophic accident
involving either AES or a participant's computer, which may make normal
automated reporting and verification through AES impossible.

[State Department License and License Exemptions]{.underline} --
Licenses are issued by the Directorate of Defense Trade Controls (DDTC)
for the export of defense related items. License exemptions are exports
of defense articles not requiring a specific written license from DDTC
provided that the shipment meets the qualifications under the exemption.

[Commerce License]{.underline} -- Licenses are issued by the Bureau of
Industry and Security (BIS) for the export of dual-use commodities and
other controlled goods.

[Other Agency Licenses]{.underline} -- Licenses are issued by
departments, bureaus or agencies of the U.S. Government for the control
of commodities being exported from the United States.

[United States Munitions List (USML) and Commerce Control List (CCL)
Controlled Shipments]{.underline} -- Commodities that are controlled for
export purposes by either the Bureau of Industry and Security or the
Directorate of Defense Trade Controls. EEI for commodities controlled by
one of these two lists must be filed.

# Section 4. General Policy

Due to the trend of automated export reporting replacing the paper
reporting system, a breakdown of AES may cause a major disruption of the
export process. Because of the importance of export trade statistics in
the formulation of trade policy and export enforcement, the following
policy has been established.

Regulations require that commodities that are controlled by the Commerce
Control List and the U.S. Munitions List and require an EEI be filed
through the Automated Export System. If the AES system is unavailable
the exports will be allowed to continue under the manual process.

## A. AES or Participant System Downtime of 1 to 7 Calendar Days 

Shipments reported in AES for which full pre-departure information is
required will continue to be exported without interruption even if the
participant's AES transmissions are delayed because the system is
unavailable. However, special procedures apply for State Department
License and license exemption commodities. These are explained in
Section 4D, 5A6, 5B7, 6A3 and 6B8 of this document. Special procedures
apply to Commerce and Other Agency licensed commodities and Commerce
Control List commodities. Procedures and time frames for filing
transportation and commodity data under the various Options, are
explained in Sections 5 and 6 of these guidelines. During downtime, AES
participants will adhere to these guidelines when reverting to manual
procedures. Essentially, these correlate with the Customs and Border
Protection and Census regulations for electronic filing which were
published on March 15, 2003. Transmissions will resume when the system
becomes available. Exporters (USPPI) will ensure that any shipment
exported during downtime includes the appropriate AES exemption
statement or AES proof of filing on the waybill or other commercial
documents for inclusion on the carrier's manifest. AES exemption
statements can be found in the Bureau of the Census FTSR Letter No. 168
(Amendment 1). Participants will keep a log of downtime during which
they are unable to transmit data via AES. Backlogs must be transmitted
within fourteen calendar days from the day AES or the participant's
system becomes available.

## B. AES or Participating System Downtime Exceeding 8 Calendar Days 

This applies to cases where AES is down eight calendar days or more, or
in cases of severe circumstances where it is likely that the system has
suffered serious or irreparable damage and will be unavailable for at
least seven calendar days. The AES participant shall revert to the
manual method of export reporting for all new transactions, starting on
the eighth day, until electronic filing of AES transactions resume.
Paper EEI and manifests will be filed in accordance with the time frames
established in Sections 5 and 6 of this document. Participants will keep
a log of downtime during which they are unable to transmit data through
AES.

## C. Enforcement Verification

During downtime, enforcement verification of export transactions will
revert to manual methods. This means that the Customs and Border
Protection Inspectors, under the authority of 22 USC 401, will need to
review paper EEI, waybills, manifests, and bookings to target high-risk
shipments. Carriers, USPPIs, or the agents must be contacted by
phone/fax, or in person, to detain shipments for examination or to
release shipments from detention. Targeting and detentions through AES
should resume immediately when AES or the AES participant's computer
system becomes available.

The participant or their AES Client Representative should ensure that
the Assistant Port Director for Customs Operations is aware of the
downtime of the participant's computer, and when their system is again
available for AES transmissions.

## D. State Department Licenses and License Exemptions

The State Department Decrementation Program in AES, which is updated
daily, contains an electronic copy of all approved licenses, issued by
the State Department. The module also contains a feature for recording
export actions and computing the remaining value of the DSP-5 electronic
licenses, which are currently recorded manually by Customs and Border
Protection Inspectors within the AES system or by the AES transmission
from the USPPI or their filing agent.

With the implementation of mandatory filing, the only way a DSP-5
shipment can be posted against the electronic copy of the license is
through the Automated Export System. The way is for the USPPI or AES
filer, to send an AES commodity transmission with the license number
recorded in that transmission. The electronic copy of the license will
be updated automatically to reflect the export action based on the AES
transmission.

## E. Commerce Department and Other Agency Licenses

The Commerce Department License module within AES, which is updated
daily, contains an electronic copy of all approved licenses, issued by
the Bureau of Industry and Security. AES verifies that an active license
is on file with Customs and Border Protection based on the AES
transmission from the USPPI or their filing agent.

## F. USML and CCL Mandatory AES Filings

Section 1252 of Public Law 106-113 mandated the mandatory AES
transmission of all commodity data for U.S. Munitions List and Commerce
Control List commodities. The regulations were implemented by the Bureau
of the Census effective June 1, 2003.

## G. Downtime Matrix -- Time Frames and Procedures

Tables 1 and 2 summarize the time frames and procedures for filing
commodity and transportation data when AES and/or participating systems
are unavailable. See Section 5 and 6 for step-by-step guidelines.

**Table 1** -- Commodity Data Downtime Matrix.

+----------------------+-----------------------+-----------------------+
| **COMMODITY DATA**   | ###### Downtime       | **Downtime Exceeds 8  |
|                      |  of 1-7 Calendar Days | Calendar Days**       |
| **Filing Status**    |                       |                       |
+======================+=======================+=======================+
| **Option 1** (Non-   | Paper Predeparture    | Paper Predeparture    |
| CCL or USML          |                       |                       |
| commodities)         |                       |                       |
+----------------------+-----------------------+-----------------------+
| Predeparture         | Paper Predeparture    | Paper Predeparture    |
| specified in         |                       |                       |
| regulations (used    |                       |                       |
| vehicles; chemicals; |                       |                       |
| Presidential         |                       |                       |
| Proclamation; Other  |                       |                       |
| Government Agency    |                       |                       |
| pre-departure data;  |                       |                       |
| USML and CCL         |                       |                       |
| commodity data)      |                       |                       |
+----------------------+-----------------------+-----------------------+
| **                   | Shipment Departs.     | Paper, pre-departure  |
| Predeparture**(other | File full data        | for all new           |
| than above)          | electronically within | transactions (as of   |
|                      | 14 calendar days      | the 8^th^ calendar    |
|                      | after the system is   | day                   |
|                      | available             |                       |
+----------------------+-----------------------+-----------------------+
| ###### Postdeparture | Shipment departs.     | Shipment departs.     |
|                      | File full data        | Paper, post-departure |
|                      | electronically within | for all new           |
|                      | 14 calendar days      | transactions (as of   |
|                      | after system is       | the 8^th^ calendar    |
|                      | available             | day) due within 10    |
|                      |                       | calendar days from    |
|                      |                       | date of exportation.  |
+----------------------+-----------------------+-----------------------+

**Table 2** -- Transportation Data Downtime Matrix.

+----------------------+-----------------------+-----------------------+
| **TRANSPORTATION     | **Downtime of 1-10    | **Downtime Exceeds 10 |
| DATA**               | Calendar Days**       | Calendar Days**       |
|                      |                       |                       |
| **Message**          |                       |                       |
+======================+=======================+=======================+
| Booking Message      | Produce paper-booking | Produce paper-booking |
|                      | report upon request.  | report upon request.  |
|                      |                       |                       |
|                      | Transmit full booking | Transmit full booking |
|                      | data for all departed | data for all departed |
|                      | bookings, not already | bookings, not already |
|                      | transmitted, within   | transmitted, within   |
|                      | 14 calendar days      | 14 calendar days      |
|                      | after the system is   | after the system is   |
|                      | available.            | available.            |
+----------------------+-----------------------+-----------------------+
| Receipt of Booking   | Transmit all ROBs,    | Transmit all ROBs,    |
| Message              | not already           | not already           |
|                      | transmitted, within   | transmitted, within   |
|                      | 14 calendar days      | 14 calendar days      |
|                      | after system is       | after system is       |
|                      | available.            | available.            |
+----------------------+-----------------------+-----------------------+
| Departure Message    | Transmit all          | Transmit all          |
|                      | departures, not       | departures, not       |
|                      | already transmitted,  | already transmitted,  |
|                      | within 14 calendar    | within 14 calendar    |
|                      | days after system is  | days after system is  |
|                      | available.            | available.            |
+----------------------+-----------------------+-----------------------+
| Manifest Message     | Produce a paper       | Produce a paper       |
|                      | manifest to Customs.  | manifest to Customs.  |
|                      |                       |                       |
|                      | Transmit all          | Transmit all          |
|                      | manifests (Bills of   | manifests (Bills of   |
|                      | Lading), not already  | Lading), not already  |
|                      | transmitted, within   | transmitted, within   |
|                      | 14 calendar days      | 14 calendar days      |
|                      | after system is       | after system is       |
|                      | available. This       | available. This       |
|                      | includes those for    | includes those for    |
|                      | which a paper         | which a paper         |
|                      | manifest has been     | manifest has been     |
|                      | provided.             | provided.             |
+----------------------+-----------------------+-----------------------+

# Section 5. Action -- Downtime Of 1 To 7 Calendar Days

## A. AES Participants' Responsibilities

AES participants will implement the following procedures when they are
notified that the system is unavailable or when they are unable to
transmit through AES and the problem can be remedied in seven calendar
days or less.

### **1. Participant Unable to Transmit**

When participants are unable to transmit through AES, they should
immediately analyze their system and ascertain the reason. If the
problem lies with AES, the procedures in Sections 5A2 through 5A6 should
be followed. Participants may refer to their AES Client Representatives
or CBP point of contact for further information on the outage. If the
problem lies with the participant's computer system, the participant
must assess the seriousness of the problem.

If it appears that the problem cannot be quickly repaired, and may have
a substantial impact on the participant's ability to transmit, the
participant should contact their AES Client Representative and the
Assistant Port Director for Customs Operations at the nearest port. If
assistance is needed in determining where the source of the problem
lies, the participant should call their AES Client Representative.
Participants should make these notifications, circumstances permitting,
within four hours of determining that the problem with their system will
not be quickly remedied. Participants should keep a log of all downtime
and the reasons for the problems.

### **2. Downtime Procedures**

#### a. Commodity Data

NOTE: Procedures applicable to State Department licensed and license
exempt exports are explained in Section 5A6. Procedures applicable to
licensed commodities are explained in Section 5A7. Procedures applicable
to commodities controlled by the Commerce Control List are explained in
Section 5A8.

[Predeparture]{.underline} -- Pre-Departure Transmissions Designated by
Regulations

Paper documents must be presented prior to departure for those shipments
specifically designated as Predeparture in 15 CFR Part 30.61(a); Used
self-propelled vehicles (except those shipped between the United States
and Puerto Rico); Essential and precursor chemicals requiring a permit
from the Drug Enforcement Administration; Shipments defined as
"sensitive" by Executive Order; Shipments controlled by the Commerce
Control List; and Shipments where full export information is required
prior to exportation by a federal government agency.

[Predeparture]{.underline} (Other than above), and
[Postdeparture]{.underline} Transmissions

AES participants may continue to export shipments during downtime. They
will report shipments exported during the first seven calendar days of
downtime as soon as possible after their system or AES becomes available
again. Full data for the backlog must be transmitted within fourteen
calendar days after system's availability is restored. USPPIs or the
authorized filing agents should ensure that the appropriate AES
exemption statements or a proof of filing citation is provided to the
carrier (See FTSR Letter No. 168, Amendment 1 or Appendix R, Exemption
Statements).

All AES participants will revert to manual reporting for new
transactions starting on the eighth day of downtime.

#### b. Transportation Data

AES vessels will continue to depart as usual during downtime. AES
participants will revert to manual reporting of manifests for new
departures when AES transmissions are interrupted. For the AES carriers
only, the manual presentation of the paper manifest will be due at the
time of clearance of the vessel when clearing complete or within four
days of sailing when clearing incomplete. When AES transmissions resume,
the carrier will transmit all Bookings, Receipt of Bookings, Departure,
and Manifest messages (in the specific order) that occurred during the
downtime. These messages will be transmitted as soon as possible after
the carrier's system or AES becomes available again. However, the
backlog must be transmitted within fourteen calendar days after the
system's availability is restored.

### **3. Record Keeping**

AES participants should keep copies of export documentation readily
available for inspection by Customs and Border Protection Inspectors
until electronic transmission into AES resumes. After recordation in
AES, participants will archive commodity data (e.g. EEI) and
transportation data (e.g. manifests) in accordance with Department of
Commerce and Bureau of Customs and Border Protection record keeping
regulations and guidelines.

### **4. Late Messages**

AES participants should ignore "SHIPMENT REPORTED LATE" error messages
for those backlogged transactions unable to be reported during AES
downtime.

### **5. Holds**

AES participants should continue to hold shipments detained by Customs
and Border Protection Inspectors, or placed on hold by AES prior to the
system's failure. Participants should contact the local Assistant Port
Director, Customs Operations to confirm the status of their shipments.

### **6. State Department Licenses and License Exemptions**

When the AES participant's system is unavailable for transmissions, all
AES filers or the designated agents should hold and not export shipments
requiring any Department of State license or exemption until their
system's availability is restored or another means of electronic filing
has been obtained by the participant, i.e., AESDirect.

NOTE: Shipments, which are processed manually, should not be reported
through AES as well, as this will result in double reporting of the
shipment to the Bureau of the Census. This may also result in double
decrementation of the license.

**7. Licensed shipments**

When the AES participant\'s system is unavailable for transmissions, all
AES filers or the designated agents should hold and not export shipments
requiring any export license until their system\'s availability is
restored or another means of electronic filing has been obtained by the
participant, i.e., AESDirect. If AES has an unscheduled outage lasting
more than 8 hours the shipment can be exported provided the USPPI or the
authorized filing agent reverts to manual filing (i.e. presenting the
paper EEI and invoice to the port of export for validation, and
subsequently presenting two copies of the validated EEI to the carrier
for the manifest). Please refer to Section 5A6 for handling of
Department of State licenses or ITAR exemptions.

NOTE: Shipments, which are processed manually, should not be reported
through AES as well, as this will result in double reporting of the
shipment to the Bureau of the Census. This may also result in double
decrementation of the license.

**8. Items of the Commerce Control List**

When the AES participant\'s system is unavailable for transmissions,
shipments of non-licensed items on the Commerce Control List will
continue to be exported without interruption. The AES participant will
report shipments exported during this time as soon as possible after
their system or AES becomes available again.

NOTE: Shipments, which are processed manually, should not be reported
through AES as well, as this will result in double reporting of the
shipment to the Bureau of the Census.

## B. Government's Responsibilities

During downtime of more than one but less than eight calendar days,
Customs and Census will be responsible for the following:

### **1. Client Representatives and the National Data Center**

When notified of a problem with AES, Client Representatives and the
National Data Center will follow procedures in the Customs and Border
Protection document "Trade & Field Support Problem Escalation --
Internal Use" to resolve the problem.

### **2. Unresolved Problems**

If the AES system problem cannot be remedied in a short time (less than
four hours), and the problem will have a major impact on AES
transmissions, the National Data Center will ensure that the Director,
Interdiction and Security (Outbound), AES Team and Client Representative
Team Leaders are informed. The Director, Interdiction and Security
(Outbound) are responsible for informing the Chief, Foreign Trade
Division, Bureau of the Census. The AES Client Representative Team
Leader will notify the AES Client Representatives and AES participants.
An AES broadcast from Census may also be used to inform the
participants.

The Director, Interdiction and Security (Outbound) will use his/her
discretion in notifying the Assistant Port Directors for Customs
Operations and the Exodus Command Center. When an AES participant
notifies their Client Representative that their system is unavailable
for an extended period of time, the participant will also notify the
affected ports, and the Assistant Port Directors for Customs Operations
of the affected ports.

### **3. Notification of Customs and Border Protection Ports**

Customs and Border Protection Inspectors will be notified that AES is
unavailable by any of the following:

A 505 or 504 error message when attempting to log on the system;

A comment in the status column on the TPX menu that AES is unavailable;

A message from the Director, Interdiction and Security (Outbound);

A notification from a Client Representative or AES participant that
there is a problem with their system.

### **4. Verifications**

Enforcement verifications of export transactions will revert to manual
methods during AES downtime. This means that Customs and Border
Protection Inspectors will need to review EEI, waybills, manifests and
bookings to target for high-risk shipments. Carriers, USPPIs, or the
agents must be contacted by fax/phone, or in person, to detain shipments
for inspection or to release those shipments. Targeting and detentions
through AES should resume immediately when AES or the participant's
computer system is available for transmission.

### **5. Holds**

Customs and Border Protection Inspectors should respond immediately to
inquiries from AES participants concerning holds. Inspectors should keep
a manual record of inspection results until AES becomes available, at
which time the Inspector will record inspection results in AES.

### **6. Evidence of Compliance**

During downtime, Customs and Border Protection Inspectors should accept
export documents with the AES exemption statements, proof of filing
statements, or the presentation, upon request, of the participant's
copies of export documentation awaiting input into AES (see 5A3) of this
document) as evidence of the participant's compliance with export
regulations. If there is a question about compliance, Customs and Border
Protection Inspectors may verify exports in AES after the AES
participant has had reasonable time to input their backlog.

### **7. State Department Licenses and License Exemptions**

Exports requiring State Department Licenses or License exemptions should
not be delayed if AES has an unscheduled outage lasting more than 8
hours. If a shipper presents an EEI for validation, Customs and Border
Protection Inspectors should check the paper licenses filed at their
port, or at the port where the paper license is filed, to confirm the
existence of the license. The Inspector can validate the shipper's
copies of the EEI and return those copies to the shipper for forwarding
to the carrier. The Inspector should hold a copy of the EEI that is to
be forwarded to the State Department until AES becomes available. When
AES processing resumes, Customs will ensure that electronic
decrementation is accomplished in the system.

# Section 6. Action -- Downtime Exceeding 8 Calendar Days

## A. AES Participant's Responsibilities

Participants will execute the procedures outlined below in the following
instances:

AES participant is informed by a Customs and Border Protection Official
that these procedures are in effect. The decision to implement these
procedures can only be made by the Director, Interdiction and Security
(Outbound) or his/her representative. Participant informs the Client
Representative, who in turn informs the local Assistant Port Director
for Customs Operations that they are executing these procedures because
of a fault in their system that cannot be repaired in seven days. Severe
circumstances cause a complete breakdown in communications making it
unlikely to restore transmission within seven days.

Filers may also agree to revert to manual procedures in less than seven
days of unavailability of AES, if agreed upon by Census and Customs and
Border Protection.

### **1. Manual Procedures**

In the situations described above, AES participants will revert to
submitting paper EEI and manifests for all new transactions starting on
the eighth day of downtime.

#### a. Commodity Data

[Predeparture]{.underline} Shipments

AES participants will provide full paper documentation prior to
departure, for all new transactions starting on the eighth calendar day
of downtime. AES USPPIs or the authorized filing agent may submit their
EEI directly to CBP or if more convenient, to the carrier for submission
to CBP. EEI must be separated by carrier, port, and date of departure.
This will facilitate association with the appropriate manifest.

[Postdeparture]{.underline} Shipments

AES participants will provide paper documents for all new transactions
starting from the eighth day of downtime. These documents will be due
ten days from the date of exportation, unless the system becomes
available sooner.

#### b. Transportation Data

AES carriers will revert to manual reporting of manifests for new
departures when AES transmissions are interrupted. These manifests will
be due four calendar days after departure from each port of departure,
unless the system becomes available sooner. Customs and Border
Protection may verify that backlogged manifest data is transmitted
within fourteen calendar days after the system is restored.

### **2. Holds**

AES participants should continue to hold shipments detained by a Customs
and Border Protection Inspector, or placed on hold by AES prior to the
system's failure, until the hold is resolved. Participants should
contact the local Assistant Port Director for Customs Operations to
confirm the status of any shipments.

### **3. State Department Licenses and License Exemptions**

AES participants will revert to the manual method for the processing of
all Department of State licensed and license exempted shipments. The
exporter (USPPI) or authorized filing agent will present at least three
copies of the paper EEI along with the invoice to the port of export for
validation, and then present two copies of the validated EEI to the
carrier for the manifest. Procedures for the manual method may be found
in 22 CFR 123.22.

### **4. Commerce Department and Other Agencies Licenses**

AES participants will revert to the manual method for the processing of
all Department of Commerce licensed and all other U.S. Government agency
licensed shipments. The exporter (USPPI) or authorized filing agent will
present at least three copies of the paper EEI, the invoice, and all
other documentation required for export, to the port of export for
validation, and then present two copies of the validated EEI to the
carrier for the manifest.

### **5. Discontinuation of Manual Procedures**

It is the responsibility of the Director, Interdiction and Security
(Outbound), with the concurrence of the Chief, Foreign Trade Division,
Bureau of the Census, to make the decision to resume automated reporting
through AES. The Director, Interdiction and Security (Outbound) are
responsible for notifying the Client Representative Team Leaders and the
local CBP Ports. Once the ports are informed that AES is available, CBP
Inspectors may resume automated procedures for verification.

AES participants should be careful not to report through AES any
shipment that has been reported manually.

## B. Government's Responsibilities

### **1. Client Representatives and the National Data Center**

When notified of an internal problem within the Customs AES system,
Client Representatives and the National Data Center will follow the
procedures in the Customs and Border Protection document "Trade & Field
Support Problem Escalation Procedures -- Internal Use" to resolve the
problem.

### **2. Unresolved Problems**

If the above problem cannot be remedied within seven calendar days, the
National Data Center will ensure that the Director, Interdiction and
Security (Outbound), AES Team, and Client Representative Team Leaders
are informed. The Director, Interdiction and Security (Outbound) is
responsible for informing the Chief, Foreign Trade Division, Bureau of
the Census and CBP Field Personnel. The AES Client Representatives Team
Leader will inform the AES Client Representatives and AES participants.
An AES broadcast from Census may also be used to inform the
participants.

The Director, Interdiction and Security (Outbound) will use his/her
discretion in notifying the Assistant Port Directors for Customs
Operations, and the Exodus Command Center. When an AES participant
notifies their Client Representative that their system is unavailable
for an extended period of time, the participant will also notify the
affected ports, and the Assistant Port Directors for Customs Operations
of the affected ports.

### **3. Reverting to Manual Procedures** 

When AES is unavailable for eight or more calendar days, the Director,
Interdiction and Security (Outbound), Customs and Border Protection,
with the concurrence of the Chief, Foreign Trade Division, Bureau of the
Census, will make the decision to implement the manual method of export
reporting as per 19 CFR Part 4, 19 CFR Part 122, and 15 CFR Part 30, and
the "Standard Guidelines for Processing of Automated Export Transactions
During Downtime of AES and Downtime of the AES Participant's Computer
System."

### **4. Notification of the Customs and Border Protection Ports**

Once Customs and Border Protection Ports are notified of the decision to
revert to manual procedures, they will collect paper export documents
from USPPIs and carriers in accordance with Sections 5 and 6 of these
guidelines.

### **5. Verifications**

Enforcement verification of export transactions will revert to manual
methods during AES downtime. This means that Customs and Border
Protection Inspection will need to review paper EEI, waybills,
manifests, and bookings to target for high-risk shipments. Carriers,
USPPIs, or the agents must be contacted by phone/fax, or in person, to
detain shipments for examination or to release shipments from detention.
When deemed necessary, Customs and Border Protection will verify
compliance within the two-week time frame for inputting the backlog
data.

### **6. Holds**

Customs and Border Protection Inspectors should respond immediately to
inquiries from AES participants concerning holds. All Customs and Border
Protection Inspectors should keep a manual record of inspection results
until AES is available. Once AES is operational, all exam results should
be entered into AES.

### **7. State Department Licenses and License Exemptions**

The Director, Interdiction and Security (Outbound) will be responsible
for notifying the Customs and Border Protection Ports to revert to paper
processing of State Department Licenses and License exemptions. This
means that decrementation information presented by the USPPI or the
authorized filing agent will be recorded by the Customs and Border
Protection Inspectors on the back of the paper license. Customs and
Border Protection Inspectors should use the copy of the EEI to ensure
that information, which was awaiting input into AES, is recorded on the
paper license. Procedures for paper-recording license may be found in 22
CFR 123, and in the U.S. Customs Control Handbook for Department of
State Licenses, CIS HB3200-05A, July 2002 found in InfoBase.

The decision to resume automated reporting on a national basis will be
made by the Director, Interdiction and Security (Outbound). At that time
the Director will institute procedures for updating the State Department
Module in AES with the information recorded on the paper license.

### **8. Discontinuation of Manual Procedures**

It is the responsibility of the Director, Interdiction and Security
(Outbound) with the concurrence of the Chief, Foreign Trade Division,
Bureau of the Census, to make the decision to resume automated reporting
through AES. The Director, Interdiction and Security (Outbound) are
responsible for notifying the Client Representative Team Leaders and the
local Customs and Border Protection Ports. Once the ports are informed
that AES is available, Customs and Border Protection Inspectors may
resume automated procedures for verification.

# Section 7. Miscellaneous

AES receives and edits information from the other agencies. These
agencies should contact the Director, Interdiction and Security
(Outbound) at (202) 927-0596, if there is a problem with the
transmission of this information. The Director, Interdiction and
Security (Outbound) or his/her representative will evaluate the
situation and contact the appropriate headquarters and field personnel.

# Section 8. Points of Contact

The National Data Center and AES Team Personnel, Assistant Port
Directors for Customs Operations, Census and CBP Client Representatives,
and AES participants should ensure that all personnel engaged in AES
processing are aware of, and follow these guidelines. For questions
regarding this policy, AES participants should contact their assigned
CBP or Census Client Representatives, or Interdiction and Security
(Outbound) at (202) 927-0596, or Census at (301) 763-3539.