## Proof of Filing and Exemption Legends

A proper *exemption legend* or *proof of filing citation* must be
presented for an EEI transmitted electronically.

(a) Items identified on the USML must meet the predeparture reporting
    requirements identified in the ITAR (22 CFR, Part 120-130) for the
    State Department requirements concerning AES proof of filing
    citations and time and place of filing.

(b) For shipments other than USML, the USPPI or the authorized agent is
    responsible for annotating the proper exemption legend on the bill
    of lading, air waybill, or other commercial loading document for
    presentation to the carrier prior to tendering the cargo to the
    exporting carrier. The carrier is responsible for transmitting the
    appropriate exemption legend to the CBP Port Director at the port of
    exportation. The exemption legend will identify that the shipment
    information has been transmitted and electronically filed using AES.
    The exemption legend must be clearly visible on the first page of
    the bill of lading, air waybill, or other commercial loading
    document.

(c) For shipments of rough diamonds, the ITN is required to be shown on
    the Kimberly Process Certificate for all exports (re-exports) of
    rough diamonds to certify that the diamonds have been controlled
    through the Kimberley Process Certificate Scheme, as defined in
    Section 3 of Public Law 108-19 or the Clean Diamond Trade Act and
    implemented in the Rough Diamonds Control Regulations (31 CFR Part
    592).

Failure to properly report an exemption legend can result in a delayed,
detained and/or penalized export shipment.

**Table A: Acceptable AES Filing Citation, Exemption and Exclusion
Legends**

+---------------------------------+------------------------------------+
| > **AES Filing Option**         | **Acceptable AES Proof of Filing   |
|                                 | Citations**                        |
+---------------------------------+------------------------------------+
| > USML Proof of Filing Citation | AES ITN                            |
|                                 |                                    |
|                                 | Example: AES X20090101987654       |
+---------------------------------+------------------------------------+
| > AES Proof of filing Citation  | AES ITN                            |
| > subpart A§ 30.7               |                                    |
|                                 | Example: AES X20090101987654       |
+---------------------------------+------------------------------------+
| > AES Postdeparture Citation -- | AESPOST USPPI EIN mm/dd/yyyy (Date |
| > USPPI is filing the EEI       | of export)                         |
| >                               |                                    |
| > Postdeparture, when filed by  | Example: AESPOST 12345678912       |
| > other than the USPPI          | 01/01/2009                         |
|                                 |                                    |
|                                 | AESPOST USPPI EIN -- FILER ID      |
|                                 | mm/dd/yyyy (Date of export)        |
|                                 |                                    |
|                                 | Example: AESPOST 12345678912 -     |
|                                 | 987654321 01/01/2009               |
+---------------------------------+------------------------------------+
| > AES Downtime Citation         | AESDOWN Filer ID mm/dd/yyyy (Date  |
| >                               | of export)                         |
| > (use only when AES or         |                                    |
| > AES*Direct* is unavailable)   | Example: AESDOWN 987654321         |
|                                 | 01/01/2009                         |
+---------------------------------+------------------------------------+
| > Split shipments by Air        | AES ITN SS                         |
| >                               |                                    |
| > "Split Shipments" should be   | Example: AES X20090101987654 SS    |
| > referenced as such on the     |                                    |
| > manifest in accordance with   |                                    |
| > provisions contained in §     |                                    |
| > 30.28, "Split Shipments by    |                                    |
| > Air." The notation should be  |                                    |
| > easily identifiable on the    |                                    |
| > manifest.                     |                                    |
+---------------------------------+------------------------------------+

+---------------------------------+------------------------------------+
| > **AES Filing Option**         | **Acceptable AES                   |
|                                 | Exemption/Exclusion Legends**      |
+---------------------------------+------------------------------------+
| Goods shipped from U.S.         | NOEEI FTR 30.2(d)(2)               |
| territories                     |                                    |
|                                 | NOEEI FTR 30.2(d)(4)               |
| Goods shipped to or from        |                                    |
| Guantanamo Bay Naval Base in    | NOEEI FTR 30.2(d)(1)               |
| Cuba and the United States      |                                    |
|                                 |                                    |
| Inbond shipments through the    |                                    |
| United States, Puerto Rico, and |                                    |
| the U.S. Virgin Islands         |                                    |
+---------------------------------+------------------------------------+
| Exemption for Shipments to      | NOEEI FTR 30.36                    |
| Canada                          |                                    |
+---------------------------------+------------------------------------+
| Exemption for Low-Value         | NOEEI FTR 30.37(a)                 |
| Shipments                       |                                    |
|                                 | NOEEI FTR 30.37 (cite              |
| Miscellaneous Exemption         | corresponding alphabet)            |
| Statements are found in 15 CFR  |                                    |
| 30 Subpart D                    |                                    |
|                                 |                                    |
| § 30.37(b) through § 30.37(u)   |                                    |
+---------------------------------+------------------------------------+
| Special Exemption for Shipments | NOEEI FTR 30.39                    |
| to the U.S. Armed Forces        |                                    |
+---------------------------------+------------------------------------+
| Special Exemptions for Certain  | NOEEI FTR 30.40 (cite              |
| Shipments to U.S. Government    | corresponding alphabet)            |
| Agencies and Employees          |                                    |
| (Exemption Statements are found |                                    |
| in 15 CFR 30 Subpart D §        |                                    |
| 30.40(a) through § 30.40(d)     |                                    |
+---------------------------------+------------------------------------+
| Proof of filing citations by    | NOEEI FTR 30.8(b)                  |
| pipeline                        |                                    |
+---------------------------------+------------------------------------+

Table B: Terms and Definitions Used in Acceptable Exemption Legends

+----------+-----------------------------------------------------------+
| ### Term | **Definition**                                            |
+----------+-----------------------------------------------------------+
| EEI      | Electronic Export Information.                            |
+----------+-----------------------------------------------------------+
| Filer ID | 9-digit identification number of the party filing the     |
|          | commodity shipment information in AES as reported on the  |
|          | 'A' record.                                               |
+----------+-----------------------------------------------------------+
| ITN      | Internal Transaction Number. The unique AES generated     |
|          | confirmation number that indicates to the filer and to    |
|          | CBP that the export shipment has been accepted as         |
|          | transmitted and electronically filed using AES.           |
+----------+-----------------------------------------------------------+