[Code of Federal Regulations]
[Title 15, Volume 1, Parts 0 to 299]
[Revised as of January 1, 2001]
From the U.S. Government Printing Office via GPO Access
[CITE: 15CFR30]

[Page 309-353]

                  TITLE 15--COMMERCE AND FOREIGN TRADE

         CHAPTER I--BUREAU OF THE CENSUS, DEPARTMENT OF COMMERCE

PART 30--FOREIGN TRADE STATISTICS

               Subpart A--General Requirements--Exporters

Sec.
30.1  General statement of requirement for Shipper's Export
          Declarations.
30.2  Related export control requirements.
30.3  Shipper's Export Declaration forms.
30.4  Preparation and signature of Shipper's Export Declarations (SED).
30.5  Number of copies of Shipper's Export Declaration required.
30.6  Requirements as to separate Shipper's Export Declarations.
30.7  Information required on Shipper's Export Declarations.
30.8  Additional information required on Shipper's Export Declaration
          for In-Transit Goods (Form 7513).
30.9  Requirements for separation and alignment of items on Shipper's
          Export Declarations.
30.10  Continuation sheets for Shipper's Export Declaration.
30.11  Authority to require production of documents.
30.12  Time and place Shipper's Export Declarations required to be
          presented.
30.13--30.14  [Reserved]
30.15  Procedure for presentation of declarations covering shipments
          from an interior point.
30.16  Corrections to Shipper's Export Declarations.

           Subpart B--General Requirements--Exporting Carriers

30.20  General statement of requirement for the filing of manifests and
          Shipper's Export Declarations by carriers.
30.21  Requirements for the filing of manifests.
30.22  Requirements for the filing of Shipper's Export Declarations by
          departing carriers.
30.23  Requirements for the filing of Shipper's Export Declarations by
          pipeline carriers.
30.24  Clearance or departure of carriers under bond on incomplete
          manifest or Shipper's Export Declarations.

 Subpart C--Special Provisions Applicable Under Particular Circumstances

30.30  Values for certain types of transactions.
30.31  Identification of certain nonstatistical and other unusual
          transactions.
30.32  [Reserved]
30.33  Vessels, planes, cargo vans, and other carriers and containers
          sold foreign.
30.34  Return of exported cargo to the United States prior to reaching
          its final destination.
30.35--30.36  [Reserved]
30.37  Exceptions from the requirement for reporting complete commodity
          detail on the Shipper's Export Declaration.
30.38  [Reserved]
30.39  Authorization for reporting statistical information other than by
          means of individual Shipper's Export Declarations filed for
          each shipment.
30.40  Single declaration for multiple consignees.
30.41  ``Split shipments'' by air.

Subpart D--Exemptions from the Requirements for the Filing of Shipper's
                           Export Declarations

30.50  Procedure for shipments exempt from the requirements for
          Shipper's Export Declarations.
30.51  Government shipments not generally exempt.
30.52  Special exemptions for shipments to the U.S. armed services.
30.53  Special exemptions for certain shipments to U.S. Government
          agencies and employees.
30.54  [Reserved]
30.55  Miscellaneous exemptions.
30.56  Conditional exemptions.
30.57  Information on export declarations for shipments of types of
          goods covered by Sec. 30.56 not conditionally exempt.
30.58  Exemption for shipments from the United States to Canada.

 Subpart E--Electronic Filing Requirements--Shipper's Export Information

30.60  General requirements for filing export and manifest data
          electronically using the Automated Export System (AES).
30.61  Electronic filing options.
30.62  AES Certification, qualifications, and standards.
30.63  Information required to be reported electronically through AES
          (data elements).
30.64  Transmitting and correcting AES information.
30.65  Annotating the proper exemption legends for shipments transmitted
          electronically.
30.66  Recordkeeping and documentation requirements.

               Subpart F--General Requirements--Importers

30.70  Statistical information required on import entries.

[[Page 310]]

      Subpart G--Special Provisions for Particular Types of Import
                              Transactions

30.80  Imports from Canada.
30.81  Imports of merchandise into Guam.
30.82  Identification of U.S. merchandise returned for repair and
          reexport.
30.83  Statistical copy of mail and informal entries.

              Subpart H--General Administrative Provisions

30.90  Confidential information, import entries and withdrawals.
30.91  Confidential information, Shipper's Export Declarations.
30.92  Statistical classification schedules.
30.93  Emergency exceptions.
30.94  Instructions to Customs.
30.95  Penalties for violations.
30.99  OMB control numbers assigned pursuant to the Paperwork Reduction
          Act.

Appendix A to Part 30--Format for Letter of Intent, Automated Export
          System (AES)
Appendix B to Part 30--Required Pre-Departure Data Elements for Filing
          Option 3
Appendix C to Part 30--Electronic (AES) Filing Codes

    Authority: 5 U.S.C. 301; 13 U.S.C. 301-307; Reorganization Plan No.
5 of 1950 (3 CFR 1949-1953 Comp., p. 1004), Department of Commerce
Organization Order No. 35-2A, August 4, 1975, 40 FR 42765.

    Source: 41 FR 9134, Mar. 3, 1976, unless otherwise noted.
    Note: The term ``Customs Director'' or ``District Director of
Customs'' as used in this part 30 means the Regional Commissioner of
Customs if the transaction is at the port of New York City; the district
director of customs if at the headquarters port of a customs district
other than New York City; and the customs officer in charge of the port
if at a nonheadquarters port.

               Subpart A--General Requirements--Exporters

Sec. 30.1  General statement of requirement for Shipper's Export
          Declarations.

    (a) Shipper's Export Declarations shall be filed by exporters or
their agents in accordance with the definitions, specifications, and
requirements of these regulations for all commodities, gold and silver,
except as specifically exempted herein, shipped as follows:
    (1) To foreign countries or areas, including Foreign Trade Zones
located therein, (see Sec. 30.58 for exemptions for shipments from the
United States to Canada) from any of the following:
    (i) The United States, including the 50 States and the District of
Columbia.
    (ii) Puerto Rico.
    (iii) Foreign Trade Zones in the United States or Puerto Rico.
    (iv) The Virgin Islands of the United States.
    (2) Between nonforeign areas as specified below then: \1\
---------------------------------------------------------------------------

    \1\ Shipper's Export Declarations are not required for shipments
from the United States or Puerto Rico to the United States Possessions,
except to the Virgin Islands of the United States, or from a U.S.
Possession destined to the United States, Puerto Rico, or another U.S.
Possession.
---------------------------------------------------------------------------

    (i) To Puerto Rico from the United States.
    (ii) To the United States from Puerto Rico.
    (iii) To the Virgin Islands of the United States from the United
States or Puerto Rico.
    (b) Shipper's Export Declarations shall be filed for merchandise
moving as described above regardless of the method of transportation.
Instructions for the filing of Shipper's Export Declarations for
vessels, aircraft, railway cars, etc., when sold foreign appear in
Sec. 30.33. Exemptions from these requirements and exceptions to some of
the provisions of these regulations for particular types of transactions
will be found in subparts C and D of this part.
    (c) In lieu of filing paper Shipper's Export Declarations as
provided elsewhere in this section, exporters or their authorized agents
have the option to file shipper's export information electronically, as
provided in subpart E of this part. The Electronic filing requirements
for filing shipper's export declaration information are contained in
subpart E of this part, Electronic Filing Requirements-Shipper's Export
Information.
    (d) Electronic transmissions and intangible transfers. Electronic
transmissions to be received outside the United States and other
intangible transfers, such as downloaded software, technical data, and
technology, are not subject

[[Page 311]]

to this part, but may be subject to export control requirements under
other laws and regulations. See 15 CFR parts 730 through 774 of the EAR.

[41 FR 9134, Mar. 3, 1976, as amended at 41 FR 29374, July 16, 1976; 41
FR 42645, Sept. 28, 1976; 50 FR 13017, Apr. 2, 1985; 55 FR 49615, Nov.
30, 1990; 64 FR 40976, July 28, 1999; 65 FR 42561, July 10, 2000]

Sec. 30.2  Related export control requirements.

    (a) Under the provisions of the Export Administration Regulations of
the Office of Export Administration in the International Trade
Administration, U.S. Department of Commerce (15 CFR Parts 368-399), \2\
Shipper's Export Declarations are also required for shipments of
Merchandise from U.S. Possessions to foreign countries or areas. In
these regulations, the term U.S. Possessions includes the Virgin Islands
of the United States, Guam Island, American Samoa, Wake Island, Midway
Island, and Canton and Enderbury Islands.
---------------------------------------------------------------------------

    \2\ See also the Export Administration Regulations of the Office of
Export Administration, which may be purchased from the Government
Printing Office or Department of Commerce District Offices.
---------------------------------------------------------------------------

    (b) For all shipments to foreign countries or areas, the Shipper's
Export Declaration is an export control document. In preparing and
filing export declarations for shipments to foreign countries and areas,
therefore, the shipper must comply with all pertinent export control
regulations as well as the requirements of the statistical regulations
of this part. For convenience, a few provisions of the Export
Administration Regulations and of the Customs regulations closely
related to statistical requirements have been incorporated in these
regulations. Information concerning export control regulations and
information concerning agencies other than the Department of Commerce
exercising export control authority for particular types of commodities
may be obtained from the Office of Export Administration, International
Trade Administration, Washington, D.C. 20230, or from Department of
Commerce District Offices.

(13 U.S.C. 302; 5 U.S.C. 301; Reorganization Plan No. 5 of 1950,
Department of Commerce Order No. 35-2A, August 4, 1975, 40 FR 42765)

[41 FR 9134, Mar. 3, 1976, as amended at 47 FR 7213, Feb. 18, 1982]

Sec. 30.3  Shipper's Export Declaration forms.

    (a) Official forms, or privately printed forms conforming in every
respect to the official forms, shall be used in complying with
requirements for Shipper's Export Declarations as follows:
    (1) Except for shipments for which the Shipper's Export Declaration
for In transit Goods (Commerce Form 7513) is required as specified
below, the Shipper's Export Declaration shall be prepared on Commerce
Form 7525-V or on Commerce Form 7525-V-Alternate (Intermodal). The
arrangement of Form 7525-V-Alternate (Intermodal) conforms to and is
designed for simultaneous preparation with various other shipping
documents commonly used, such as the dock receipt, short form bill of
lading, etc. Form 7525-V-Alternate (Intermodal) is acceptable in lieu of
Form 7525-V without limitation.
    (2) For merchandise shipped in transit through the United States,
Puerto Rico, or the Virgin Islands of the United States from one foreign
country or area to another, including such merchandise destined from one
foreign place to another and transshipped in ports of the United States,
Puerto Rico, or the Virgin Islands of the United States, and for foreign
merchandise exported from General Order Warehouses, the Shipper's Export
Declaration for Intransit Goods (Commerce Form 7513) shall be filed.
Form 7513 shall also be filed for merchandise subject to government
inspection, examination, or permit arriving from a foreign country which
is rejected and exported. (Although Form 7513 provides that it is to be
used for foreign merchandise, it should be used also for U.S.
merchandise which after having been exported has been returned to or
through the United States and is again being exported under any of the
conditions described in this paragraph. Except for rejected merchandise,
Form

[[Page 312]]

7513 is not to be used for the reexportation of goods for which entry
has been made on Customs Forms 7501 or 7502.)
    (b) The Shipper's Export Declaration and the Continuation Sheet \3\
to the Shipper's Export Declaration (both forms designated Commerce Form
7525-V), and the Shipper's Export Declaration for In-transit Goods
(Commerce Form 7513) may be purchased for a nominal price from Customs
Directors, Department of Commerce District Offices, and the
Superintendent of Documents, Government Printing Office, Washington,
D.C. 20402, or they may be privately printed. Supplies of the Alternate
Intermodal Shipper's Export Declaration and the Continuation Sheet to
the Alternate Intermodal Shipper's Export Declaration are not available
from Government sales offices but must be privately printed. Sample
official Alternate Intermodal Forms and their Continuation Sheets may be
obtained from the Foreign Trade Division, Bureau of the Census,
Washington, D.C. 20233. Privately printed Shipper's Export Declaration
forms must conform strictly to the respective official form in size,
wording, color, quality (weight of paper stock), and arrangement,
including the Office of Management and Budget approval number printed in
the upper-right hand corner of the face of form. The quality (weight) of
paper stock used in printing the Shipper's Export Declaration form is
not less than 16 nor more than 20 pounds commercial substance.
Occasional shippers may obtain copies of Shipper's Export Declarations
free of charge from local Customs Directors, Post Offices, and
Department of Commerce District Offices.
---------------------------------------------------------------------------

    \3\ See Sec. 30.10 for instructions as to use of the continuations
Sheet.

(13 U.S.C. 302; 5 U.S.C. 301; Reorganization Plan No. 5 of 1950,
---------------------------------------------------------------------------
Department of Commerce Order No. 35-2A, August 4, 1975, 40 FR 42765)

[41 FR 9134, Mar. 3, 1976, as amended at 47 FR 29829, July 9, 1982; 50
FR 23402, June 4, 1985]

Sec. 30.4  Preparation and signature of Shipper's Export Declaration
          (SED).

    (a) General requirements (SED). For purposes of this part, all
references to preparing and filing the paper SED also pertain to
preparing and filing the AES electronic record. The SED or AES record is
a dual purpose document used by the Census Bureau for statistical
reporting purposes only, and by the Bureau of Export Administration
(BXA) and other government agencies for export control purposes. For
purposes of this part, the provisions apply only to statistical
reporting requirements. The Shipper's Export Declaration (SED) or the
AES record must be prepared and signed by a principal party in interest
or by a forwarding or other agent authorized by a principal party in
interest. The person who signs the SED must be in the United States at
the time of signing. That person, whether exporter (U.S. principal party
in interest) or agent, is responsible for the truth, accuracy, and
completeness of the SED or AES record, except insofar as that person can
demonstrate that he or she reasonably relied on information furnished by
others. The Census Bureau recognizes ``routed export transactions'' as a
subset of export transactions. A routed export transaction is where the
foreign principal party in interest authorizes a U.S. forwarding or
other agent to facilitate export of items from the United States. See
paragraph (c) of this section for responsibilities of parties in a
routed export transaction.
    (1) Exporter (U.S. principal party in interest). For purposes of
completing the paper SED or AES record in all export transactions, the
exporter (U.S. principal party in interest) is listed as the ``U.S.
principal party in interest'' on the SED or AES record. In all export
transactions, the person listed in the U.S. principal party in interest
block on the paper SED or in the U.S. principal party in interest field
of the AES record is the exporter (U.S. principal party in interest) in
the transaction. The U.S. principal party in interest is the person in
the United States that receives the primary benefit, monetary or
otherwise, of the transaction. Generally that person is the U.S. seller,
manufacturer, order party, or foreign entity. The foreign entity must be
listed as the U.S. principal party in interest on the SED or AES record,
if it is in the United States when the items are purchased or obtained
for export. The

[[Page 313]]

foreign entity must then follow the provisions for preparing and filing
the SED or AES record specified in Secs. 30.4 and 30.7 pertaining to the
U.S. principal party in interest. In most cases, the forwarding or other
agent is not a principal party in interest.
    (i) If a U.S. manufacturer sells merchandise directly for export to
a foreign principal party in interest, the U.S. manufacturer must be
listed as the U.S. principal party in interest on the SED or AES record.
    (ii) If a U.S. manufacturer sells merchandise, as a domestic sale,
to a U.S. buyer (wholesaler/distributor) and that U.S. buyer sells the
merchandise for export to a foreign principal party in interest, the
U.S. buyer (wholesaler/distributor) must be listed as the U.S. principal
party in interest on the SED or AES record.
    (iii) If a U.S. order party directly arranges for the sale and
export of merchandise to a foreign buyer, the U.S. order party must be
listed as the U.S. principal party in interest on the SED or AES record.
The order party is that person in the United States who conducted the
direct negotiations or correspondence with the foreign principal party
in interest and who, as a result of these negotiations, received the
order from the foreign principal party in interest.
    (iv) If a foreign entity is in the United States when the items are
purchased or obtained for export, it is the exporter (U.S. principal
party in interest) and must be listed as the U.S. principal party in
interest on the SED or AES record (see Sec. 30.4(a)(1)).

    Note to paragraph (a)(1): The EAR defines the ``exporter'' as the
person in the United States who has the authority of a principal party
in interest to determine and control the sending of items out of the
United States (see 15 CFR Part 772 of the EAR). For statistical purposes
the Foreign Trade Statistics Regulations (FTSR) have a different
definition of ``exporter'' from the Export Administration Regulations
(EAR). Under the FTSR the ``exporter'' will always be the U.S. principal
party in interest. For purposes of licensing responsibility under the
EAR, the U.S. agent of the foreign principal party in interest may be
the ``exporter'' or applicant on the license, in certain routed export
transactions (see 15 CFR 758.3 of the EAR).

    (2) Forwarding or other agent. The forwarding or other agent is that
person in the United States who is authorized by a principal party in
interest to perform the services required to facilitate the export of
items from the United States. The forwarding or other agent must be
authorized by the exporter (U.S. principal party in interest) or, in the
case of a routed export transaction, the foreign principal party in
interest to prepare and file the SED or the AES record. In a routed
export transaction, the forwarding or other agent can be the exporter
for export control purposes under the EAR. However, the forwarding or
other agent is never the ``U.S. principal party in interest'' in the
U.S. principal party in interest block on the paper SED or in the ``U.S.
principal party in interest'' field of the AES record unless the
forwarding or other agent acts as an ``order party.'' (See paragraph
(a)(1)(iii) for definition of order party)
    (3) Principal parties in interest. Those persons in a transaction
that receive the primary benefit, monetary or otherwise, of the
transaction. Generally, the principals in a transaction are the seller
and the buyer. In most cases, a forwarding or other agent is not a
principal party in interest.
    (b) Responsibilities of parties in export transactions. (1) Exporter
(U.S. principal party in interest) responsibilities. (i) The exporter
(U.S. principal party in interest) can prepare and file the SED or AES
record itself, or it can authorize a forwarding or other agent to
prepare and file the SED or AES record on its behalf. If the exporter
(U.S. principal party in interest) prepares the SED or AES record
itself, the exporter (U.S. principal party in interest) is responsible
for the accuracy of all the export information reported on the SED or
AES record, for signing the paper SED, filing the paper SED with U.S.
Customs, or transmitting the AES record to U.S. Customs.
    (ii) When the exporter (U.S. principal party in interest) authorizes
a forwarding or other agent to complete the SED or AES record on its
behalf, the exporter (U.S. principal party in interest) is responsible
for:

[[Page 314]]

    (A) Providing the forwarding or other agent with the export
information necessary to complete the SED or AES record;
    (B) Providing the forwarding or other agent with a power of attorney
or written authorization to complete the SED or AES record, or signing
the authorization block printed on the paper SED (block 23 on Commerce
Form 7525-V and block 29 on Commerce Form 7525-V-ALT); and
    (C) Maintaining documentation to support the information provided to
the forwarding or other agent for completion of the SED or AES record,
as specified in Sec. 30.11.
    (2) Forwarding or other agent responsibilities. The forwarding or
other agent, when authorized by an exporter (U.S. principal party in
interest) to prepare and sign the SED or prepare and file the AES record
in an export transaction, is responsible for:
    (i) Accurately preparing the SED or AES record based on information
received from the exporter (U.S. principal party in interest) and other
parties involved in the transaction;
    (ii) Obtaining a power of attorney or written authorization to
complete the SED or AES record, or obtaining a paper SED with a signed
authorization from the exporter (U.S. principal party in interest);
    (iii) Maintaining documentation to support the information reported
on the SED or AES record, as specified in Sec. 30.11; and
    (iv) Upon request, providing the exporter (U.S. principal party in
interest) with a copy of the export information filed in the form of a
completed SED, an electronic facsimile, or in any other manner
prescribed by the exporter (U.S. principal party in interest).
    (c) Responsibilities of parties in a routed export transaction. (1)
Exporter (U.S. principal party in interest) responsibilities. In a
routed export transaction where the foreign principal party in interest
authorizes a U.S. forwarding or other agent to prepare and file the SED
or AES record, the exporter (U.S. principal party in interest) must
maintain documentation to support the information provided to the
forwarding or other agent for preparing the SED or AES record as
specified in Sec. 30.11 and provide such forwarding or other agent with
the following information to assist in preparing the SED or AES record:
    (i) Name and address of the U.S. principal party in interest;
    (ii) U.S. principal party in interest's, IRS, EIN;
    (iii) Point of origin (State or FTZ);
    (iv) Schedule B description of commodities;
    (v) Domestic (D), foreign (F), or FMS (M) code;
    (vi) Schedule B Number;
    (vii) Quantity/unit of measure;
    (viii) Value;
    (ix) Upon request from the foreign principal party in interest or
its agent, the Export Control Classification Number (ECCN) or sufficient
technical information to determine the ECCN; and
    (x) Any information that it knows will affect the determination of
license authority.

    Note to paragraph (c)(1): For items in paragraph (c)(1)(ix) and (x)
of this section, where the foreign principal party in interest has
assumed responsibility for determining and obtaining license authority,
the EAR sets forth the information sharing requirements that apply at 15
CFR 758.3(c) of the EAR.

    (2) Forwarding or other agent responsibilities. In a routed export
transaction, the forwarding or other agent is responsible for; obtaining
a power of attorney or written authorization from the foreign principal
party in interest to prepare and file the SED or AES record on its
behalf; preparing, signing, and filing the SED or AES record based on
information obtained from the exporter (U.S. principal party in
interest) or other parties involved in the transaction; maintaining
documentation to support the information reported on the SED or AES
record, and upon request by the exporter (U.S. principal party in
interest), provide appropriate documentation to the exporter (U.S.
principal party in interest) verifying that the information provided by
the exporter (U.S. principal party in interest) was accurately reported
on the SED or AES record. The forwarding or other agent must also
provide the following export information on the SED or AES record:
    (i) Date of exportation;

[[Page 315]]

    (ii) Bill of lading/airway bill number;
    (iii) Ultimate consignee;
    (iv) Intermediate consignee;
    (v) Forwarding or other agent name and address;
    (vi) Country of ultimate destination;
    (vii) Loading pier;
    (viii) Method of transportation;
    (ix) Exporting carrier;
    (x) Port of export;
    (xi) Port of unloading;
    (xii) Containerized;
    (xiii) Weight;
    (xiv) ECCN;
    (xv) License Authority;
    (xvi) Signature in the certification block on the paper SED (block
24 on Commerce Form 7525-V and block 36 on Commerce Form 7525-V-ALT). In
a routed export transaction the exporter (U.S. principal party in
interest) must be listed as U.S. principal party in interest on the SED
or on the AES record;

    Note to paragraph (c)(2): For items in paragraph (c)(2)(xiv) and
(xv) of this section, where the foreign principal party in interest has
assumed responsibility for determining and obtaining license authority,
the EAR sets forth the information sharing requirements that apply at 15
CFR 758.3(c) of the EAR.

    (d) Information on the Shipper's Export Declaration (SED) or
Automated Export System (AES) record. The data provided on the SED or
AES electronic record shall be complete, correct, and based on personal
knowledge of the facts stated or on information furnished by the parties
involved in the export transaction. All parties involved in export
transactions, including U.S. forwarding or other agents, should be aware
that invoices and other commercial documents may not necessarily contain
all the information needed to prepare the SED or AES record. The parties
must ensure that all the information needed for completing the SED or
AES record, including correct export licensing information, is provided
to the forwarding or other agent for the purpose of correctly preparing
the SED or AES record as stated in this section.
    (e) Authorizing a Forwarding or other agent. In a power of attorney
or other written authorization, authority is conferred upon an agent to
perform certain specified acts or kinds of acts on behalf of a principal
(see 15 CFR 758.1(h) of the EAR). In cases where a forwarding or other
agent is filing export information on the SED or AES record, the
forwarding or other agent must obtain a power of attorney or written
authorization from a principal party in interest to file the information
on its behalf. A power of attorney or written authorization should
specify the responsibilities of the parties with particularity, and
should state that the forwarding or other agent has authority to act on
behalf of a principal party in interest as its true and lawful agent for
purposes of the export transaction in accordance with the laws and
regulations of the United States.
    (f) Format requirements for SEDs: The SED shall be prepared in
English and shall be typewritten or prepared in ink or other permanent
medium (except indelible pencil). The use of duplicating processes, as
well as the overprinting of selected items of information, is
acceptable.
    (g) Copies of SEDs: All copies of the SEDs must contain all of the
information called for in the signature space as to name of firm,
address, name of signer, and capacity of signer. The original SED must
be signed in ink, but signature on other copies is not required. The use
of signature stamps is acceptable. A signed legible carbon or other copy
of the export declaration is acceptable as an ``original'' of the SED.

[65 FR 42561, July 10, 2000]

Sec. 30.5  Number of copies of Shipper's Export Declaration required.

    (a) Except as provided elsewhere in these regulations the Shipper's
Export Declaration shall be delivered to the carrier or postmasters, as
specified in Secs. 30.12 and 30.15, in the following number of copies:
    (1) In duplicate for shipments, except by mail, destined to all
foreign countries except Canada.
    (2) One copy only for shipments to Canada (see Sec. 30.58 for
exemption for shipments from the United States to Canada) and nonforeign
areas.
    (3) One copy only for mail shipments to all destinations.
    (b) In addition to the standard requirements set forth in paragraph
(a) of this section, additional copies of

[[Page 316]]

Shipper's Export Declarations may be required for export control
purposes by the regulations of the Office of Export Administration or
other Government agencies or in particular circumstances by the Customs
Director or by the postmaster.

[41 FR 9134, Mar. 3, 1976, as amended at 55 FR 49615, Nov. 30, 1990]

Sec. 30.6  Requirements as to separate Shipper's Export Declarations.

    Except as specifically provided in subpart C, a separate Shipper's
Export Declaration (in the required number of copies--see Sec. 30.5) is
required for each shipment (consisting of one or more kinds of
merchandise) from one consignor to one consignee on a single carrier. In
addition, more than one declaration is required for an individual
shipment as follows:
    (a) For consignments by rail, truck, or other vehicle, requiring
more than one rail car, truck, or other vehicle, a separate export
declaration is required for the merchandise carried in each such rail
car, truck, or other vehicle. However, Customs Directors are authorized
to waive this requirement where multiple car shipments are made under a
single bill of lading or other loading document and are cleared
simultaneously.
    (b) [Reserved]

[41 FR 9134, Mar. 3, 1976, as amended at 55 FR 47049, Nov. 9, 1990]

Sec. 30.7  Information required on Shipper's Export Declarations.

    The following information shall be furnished in the appropriate
spaces provided on the paper copy of the Shipper's Export Declaration
and shall conform to the requirements set forth in this section. (See
Sec. 30.92 for information as to the statistical classification
Schedules C and D referred to in this section. Also, see Sec. 30.8 for
information required on Form 7513 in addition to these requirements.)
For information required to be filed electronically see Sec. 30.63.
    (a) Port of export. The name of the U.S. Customs port of exportation
shall be entered in terms of Schedule D, Classification of Customs
Districts and Ports. (See Sec. 30.20(c) for definition of port of
exportation.) For shipments by mail, the name of the Post Office where
the package is mailed shall be inserted in the space for U.S. port of
export.
    (b) Method of transportation. Except on Commerce Form 7513, the
method of transportation by which the goods are exported (or shipped to
a nonforeign area where the declaration covers such a shipment) i.e.,
vessel (including ferry), air, or other, shall be indicated by check
mark in the appropriate space. For shipments by means of transportation
other than vessel or air the specific method of transportation (rail,
truck, pipeline, etc.) used should be entered. ``Other'' should be
checked for exported aircraft being flown away, vessels exported under
their own power or afloat, or for other vehicles exported other than
aboard another carrier, and the manner in which exported should be
specified; e.g., ``flown away,'' ``in tow,'' etc.
    (c) Exporting carrier. Information concerning the specific exporting
carrier shall be reported as follows:
    (1) For shipments by vessel, the name and flag nationality of the
ship and the number or name of the pier at which the goods were laden
shall be shown.
    (2) For shipments by air, the name of the airline shall be reported.
    (3) For shipments by other than vessel or air, the carrier shall be
identified by name and number or other available designation.

In all cases, the information shall be furnished as to the carrier which
transports the merchandise to a foreign country or to an ultimate
destination in a nonforeign area, and not as to a different carrier
which may have transported the goods to the seaport, airport, or border
port of export for final shipment.
    (d) Name of the U.S. principal party in interest and U.S. principal
party in interest's Employer Identification Number (EIN). For purposes
of completing the paper SED or AES record the exporter (U.S. principal
party in interest) is the U.S. principal party in interest. The name and
address (number, street, city, state, ZIP Code) of the U.S. principal
party in interest and the U.S. principal party in interest's EIN shall
be entered where requested on the SED or AES electronic record. The EIN
shall be the

[[Page 317]]

U.S. principal party in interest's own and not another's EIN.
    (1) Name of the U.S. principal party in interest. In all export
transactions, the person listed in the U.S. principal party in interest
block on the SED or in the U.S. principal party in interest field on the
AES record must be the exporter (U.S. principal party in interest) in
the transaction. The U.S. principal party in interest is the person in
the United States that receives the primary benefit, monetary or
otherwise, of the export transaction. Generally that person is the U.S.
seller, manufacturer, order party, or foreign entity, if in the United
States when the items are purchased or obtained for export. The foreign
entity must then follow the provisions for preparing and filing the SED
or AES record specified in Secs. 30.4 and 30.7 pertaining to the U.S.
principal party in interest. (See Sec. 30.4 for details on the specific
reporting responsibilities of exporter (U.S. principal party in
interest)).
    (2) U.S. principal party in interest's Employer Identification
Number (EIN). An exporter (U.S. principal party in interest) shall
report its own Internal Revenue Service (IRS) EIN in the U.S. principal
party in interest's (IRS) EIN block/field on the SED. If, and only if,
no IRS EIN has been assigned to the exporter (U.S. principal party in
interest), the exporter's (U.S. principal party in interest) own SSN,
preceded by the symbol ``SS,'' must be reported on the paper SED. On the
AES record the appropriate SSN symbol must be reported. When a foreign
entity is in the United States when the items are purchased or obtained
for export it is the exporter (U.S. principal party in interest). In
such situations, when the foreign entity does not have an EIN or SSN, a
border crossing number, passport number, or any number assigned by U.S.
Customs must be reported on the SED or the AES record. On the paper SED,
the appropriate number should be preceded by the symbol ``T.'' On the
AES record, the appropriate AES identifier code as specified in the
Automated Export System Trade Interface Requirements (AESTIR) must be
reported. Use of another's EIN or SSN is prohibited.
    (e) Forwarding or other agent. The name and address of the duly
authorized forwarding or other agent (if any) of a principal party in
interest must be recorded where required on the SED or AES record. (See
Sec. 30.4 for details on the specific reporting responsibilities of
forwarding or other agents).
    (f) Ultimate consignee. The name and address (place, country) of the
ultimate consignee whether by sale in the United States or abroad or by
consignment shall be stated on the export declaration. For exports to
foreign countries, the ultimate consignee shall be the same person so
designated in the validated export license or authorized to be ultimate
consignee under the applicable general license in conformity with Export
Administration Regulations.
    (g) Intermediate consignee. The name and address of the intermediate
consignee (if any) shall be stated. For exports to foreign countries,
the intermediate consignee shall be the person named as such in the
validated export license or authorized to act as such under the
applicable general license and in conformity with the Export
Administration Regulations. If there is no intermediate consignee, the
word ``none'' shall be entered on the Shipper's Export Declaration. (On
Form 7513 the name and address of the intermediate consignee (if any) in
a foreign country must be shown below the description of commodities
across columns 1 through 6.)
    (h) Foreign port of unloading. For shipments by vessel and by air
the foreign port and country of unloading (i.e., the foreign port and
country at which the merchandise will be unlad-en from the exporting
carrier) shall be shown on the Shipper's Export Declaration in addition
to the country of ultimate destination. The reporting of ``optional''
ports of unloading is not permissible except as provided in the Export
Administration Regulations. \4\ Where optional ports of unloading are
named on the Shipper's Export Declaration under the permissible
conditions, a photocopy, carbon, or other legible copy of the originally
filed

[[Page 318]]

Shipper's Export Declaration indicating the actual port of unloading
shall be filed by the exporter or his agent with the Customs Director as
soon as the actual port of unloading is known to the exporter. (See
Sec. 30.16 of these regulations.) Information as to port of unloading is
required for shipments by vessel and air only.
---------------------------------------------------------------------------

    \4\ See Export Administration Regulations. (See footnote 2 to
Sec. 30.2)
---------------------------------------------------------------------------

    (i) Country of destination. Country of destination shall be reported
on the Shipper's Export Declaration in terms of the names designated in
Schedule C-E, Classification of Country and Territory Designations for
U.S. Export Statistics, as follows:
    (1) For shipments under validated export licenses, the country of
ultimate destination shown on the export decaration shall conform to the
country of ultimate destination as shown on the license.
    (2) For shipments not moving under validated export license, the
country of ultimate destination as known to the exporter at the time or
exportation shall be shown on the export declaration. ``Country of
ultimate destination'' means the country in which the goods are to be
consumed or further processed or manufactured. The country to which the
goods are being shipped is not the country of ultimate destination for
purposes of preparing the Shipper's Export Declaration if the exporter
has knowledge at the time the goods leave the United States that they
are intended for reexport or transshipment in their present form to
another known country. For goods shipped to Canada, Panama, Hong Kong,
Belgium or The Netherlands for example, special care should be exercised
before reporting these countries as the ultimate destination, since
these are countries through which merchandise from the United States is
frequently transshipped. If the shipper does not know the ultimate
destination of the goods, the country of destination to be shown on the
export declaration is the last country, as known to the exporter at the
time of shipment from the United States, to which the goods are to be
shipped in their present form. (For instructions as to the reporting of
country of destination for vessels sold or transferred from the United
States to foreign ownership, see Sec. 30.33.)
    (j) Marks and numbers. For purposes of identification of the export
declaration with the merchandise it covers, the marks, numbers, or other
identification shown on the packages should be inserted. This
information is not required for shipments by mail inasmuch as the
declaration is presented to the Postmaster with the packages being
mailed.
    (k) Number and kind of packages. The number and kind of packages
(i.e., boxes, barrels, baskets, bales, etc.) shall be stated.
    (l) Description of commodities and Schedule B number. The correct
commodity number as provided in Schedule B, Statistical Classification
of Domestic and Foreign Commodities Exported from the United States,
shall be entered in the space provided on the Shipper's Export
Declaration form, and a description of the merchandise shall be supplied
in the ``Description of Commodities'' column in sufficient detail to
permit the verification of the Schedule B commodity number. The name of
the commodity, in terms which can be identified or associated with the
language used in Schedule B (usually the commercial name of the
commodity), and any and all characteristics of the commodity which
distinguish it from commodities of the same name covered by other
Schedule B classifications shall be clearly and fully stated. Careful
reference to the Schedule B classification scheme for related
commodities as well as for the commodity being shipped is necessary in
order to establish which particular characteristics must be stated in
the description to permit verification of the correct Schedule B
commodity number and to eliminate any question that some other commodity
number might apply. A description of commodities in the kind of detail
specified above is a separate requirement, and the furnishing of the
correct Schedule B commodity number does not relieve the exporter of
furnishing, in addition, a complete and accurate commodity description
in accordance with this requirement. If the shipment is moving under a
validated license, the description shown on the export declaration shall
conform with that shown on the validated export license. However, where
the description

[[Page 319]]

on the license does not state all of the characteristics of the
commodity which are needed to completely verify the commodity number, as
described above, the missing characteristics, as well as the description
shown on the license, shall be stated in the commodity description on
the Shipper's Export Declaration.
    (m) Export license number and expiration date (or general license
symbol). For exports to foreign countries the export license number and
expiration date, or the general license symbol shall be shown below the
description of the commodity.
    (n) Net quantity. Where a unit of quantity is specified in Schedule
B for the commodity number in which the item is classified, net quantity
is required to be reported in the specified unit, and the unit in which
reported should be indicated on the declaration following the net
quantity figure. Where the unit of quantity specified in Schedule B is
``No.'' (number), ``Each'' or the abbreviation ``Ea.'' may be indicated
on the declaration as the unit of quantity. If no unit of quantity is
specified in Schedule B for a numbered classification, but a validated
export license for the item specifies a unit of quantity, the net
quantity shall be reported on the declaration in terms of the unit of
quantity specified in the validated license. If neither Schedule B nor
an applicable validated license specifies a unit of quantity for the
item, net quantity is not required to be reported, and an ``X'' should
be entered in the ``net quantity'' column on the Shipper's Export
Declaration. Where Schedule B calls for two units of quantity, net
quantity shall be reported in terms of both units. Where the specified
unit is in terms of weight (ounces, pounds, etc.) the net quantity
should reflect the net weight, exclusive of the weight of barrels,
boxes, or other bulky coverings, and exclusive of salt or pickle in the
case of salted or pickled fish or meats. Note, however, That for a few
commodities where ``content lb.,'' ``dry weight,'' or some similar
weight unit is specified in Schedule B, the net quantity to be reported
on the Shipper's Export Declaration may be less than the net weight. In
the expression of net quantities, fractions of one-half unit or upward
will be counted as a whole unit, and fractions of less than one-half
unit will be ignored, except that where the total net quantity is less
than one-half of the unit prescribed for the commodity in Schedule B
``Less than one-half (unit)'' should be reported. (For example, where
the unit for a given commodity is in terms of ``M board feet,'' a net
quantity of 8,400 board feet would be reported as ``8 M bd. ft.'' and a
net quantity of 900 board feet would be reported as ``1 M bd. ft.'';
however, a total net quantity of 450 board feet should not be ignored
but should be reported as ``less than one-half M bd. ft.''.)
    (o) Gross (shipping) weight. In addition to specifying the net
quantity in the units required by Schedule B, the gross shipping weight
in pounds, including the weight of containers, shall be shown for all
shipments by vessel and air. However, for containerized cargo in lift
vans, cargo vans, or similar substantial outer containers, the weight of
such containers should not be included in the gross weight of the
commodities. If gross shipping weight information is not available for
individual Schedule B items for the reason that commodities covered by
more than one Schedule B number are contained in the same shipping
container, approximate shipping weights, estimated as accurately as is
practicable, may be shown on the Shipper's Export Declarations for each
Schedule B item in the container. The total of the estimated weights
must equal the actual shipping weight of the entire container or
containers and contents. Gross shipping weight is not required for
shipments by mail or for shipments by methods of transportation other
than vessel or air.
    (p) ``D'' (Domestic) or ``F'' (Foreign). (1) The export declaration
covering exports to foreign countries shall show foreign goods
separately from goods of domestic production. Exports of foreign
merchandise include those commodities which are the growth, produce, or
manufacture of foreign countries which entered the United States,
including U.S. Foreign Trade Zones, as imports and which at the time of
exportation have undergone no

[[Page 320]]

change in form or condition or enhancement in value by further
manufacture in the United States, including U.S. Foreign Trade Zones,
Puerto Rico, or U.S. Possessions.
    (2) Exports of domestic merchandise include those commodities which
are the growth, produce, or manufacture of the United States, including
U.S. Foreign Trade Zones, Puerto Rico, or U.S. Possessions (including
commodities incorporating foreign components), and those articles of
foreign origin which have been enhanced in value or changed from the
form in which imported by further manufacture or processing in the
United States, including U.S. Foreign Trade Zones, Puerto Rico, or U.S.
Possessions.
    (3) The above distinction between domestic and foreign merchandise
is intended only for use in reporting on the Shipper's Export
Declaration and is intended for statistical purposes only.
    (4) On the Shipper's Export Declaration in the column headed
``Specify `D' or `F' '', domestic merchandise shall be identified by the
designation ``D'' and foreign merchandise shall be identified by the
designation ``F.'' On the Shipper's Export Declaration for In-Transit
Goods, Form 7513, one of the following statements, whichever is
appropriate, shall be shown across the body of the form within columns 1
through 6:
    (i) For in-transit shipments of domestic (U.S.) merchandise, ``The
merchandise described herein is of the growth, production or manufacture
of the United States;'' and
    (ii) For in-transit shipments of foreign merchandise, ``The
merchandise described herein is of foreign origin.''
    (5) Foreign Military Sales (FMS) indicator. For any export that
represents the delivery of goods or the repair of military equipment
under provisions of the FMS program (including those financed under the
Foreign Military Finance (FMF) Program), an ``M'' indicator code should
be included in Item (16) on Commerce Form 7525-V and in Item (23) on
Commerce Form 7525-V-ALT (Intermodal) of the paper SED, with an ``FS''
Export Information Code on the Commodity Line Item Description (CL1)
field of the Automated Export System (AES) record layout, and a ``3''
indicator code in field 2 (Type) of the Automated Export Reporting
Program (AERP) record layout. This indicator code should be used in lieu
of the domestic (D) or foreign (F) indicator code required in those
fields on the SED Form, the AES record, and the AERP record. The FMS
indicator code will serve to identify more accurately that segment of
U.S. exports that represent FMS deliveries in the U.S. export
statistics.
    (q) Value. (1) In general, the value to be reported on the Shipper's
Export Declaration or AES record shall be the value at the U.S. port of
export (selling price or cost if not sold, including inland freight,
insurance, and other charges to U.S. port of export) (nearest whole
dollar; omit cents figures). The ``Selling price'' for goods exported
pursuant to sale, and the value to be reported on the SED or AES record,
is the exporter's (U.S. principal party in interest) price to the
foreign principal party in interest, net any unconditional discounts
from list price, but without deducting any discounts which are
conditional upon a particular act or performance on the part of the
customer. Commissions to be paid by an exporter (U.S. principal party in
interest) to his agent abroad, or to be deducted from the selling price
by the agent abroad should be excluded. For goods shipped on consignment
without a sale actually having been made at the time of export, the
``selling price'' to be reported on the SED or AES record is the market
value at the time of export at the United States port from which
exported.
    (2) The value reported on the Shippers' Export Declaration shall
exclude: The cost of loading on the exporting vessel, aircraft, car or
vehicle at the port of exportation; freight, insurance, and any other
charges or transportation costs beyond the port of export; and any
duties, taxes, or other assessments imposed by foreign countries. The
value reported shall include inland or domestic freight or other charges
to the seaport, airport, or border port of exportation.
    (3) The value to be reported as defined above is (or is equivalent
to) an f.a.s. (Free alongside ship) value. Therefore, where goods are
sold f.o.b. a

[[Page 321]]

U.S. point other than the port of exportation, freight, insurance, and
other costs to the border, sea, or airport of exportation shall be added
to the selling price (as defined above) for purposes of reporting value
on the Shipper's Export Declaration. If the actual amount of such
domestic costs is not available, an estimate of the domestic costs shall
be added. Where goods are sold at a ``delivered'' price, c.i.f. foreign
destination, the cost of loading on the exporting carrier at the port of
exportation, if any, and freight, insurance, and other costs beyond the
port of exportation should be subtracted from the price for purposes of
reporting value on the Shipper's Export Declaration. If the actual
amount of such costs is not available, an estimate of the costs should
be subtracted. Costs added to or subtracted from the selling price in
accordance with the above instructions should not be itemized or shown
separately on the Shipper's Export Declaration, but the value reported
should be the value after the making of such adjustments, where they are
required to arrive at ``value at U.S. port of export.'' In the
expression of values in export declarations, fractions of a dollar less
than 50 cents should be ignored, and fractions of 50 cents or upward
should be counted as $1.
    (4) For definitions of the value to be shown on the Shipper's Export
Declaration for special types of transactions where the commodities are
not being exported pursuant to commercial sales, or where subsidies,
government financing or participation, or other unusual conditions are
involved, see Sec. 30.30.
    (r) Date of exportation. Information as to date of exportation is
not required to be reported for shipments by vessel or by mail. For
other shipments, the date of departure (or date of clearance, if date of
departure is not known) shall be shown on the Shipper's Export
Declaration as the date of exportation.
    (s) Designation of agent and signature. For information regarding
the use of the space provided on Form 7525-V and 7525-V-Alternate
(Intermodal) for authorization of agent, and for requirements as to
signature, see Sec. 30.4.
    (t) Point (state) of origin or Foreign Trade Zone number. (Not
required for in-transit merchandise documented on Form 7513.) (1) The
state in which the merchandise actually begins its movement in
international trade; that is, the state in which the merchandise
actually starts its journey to the port of export. For example, a
Shipper's Export Declaration covering merchandise 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 Georgia as the state
of origin. This may not be the state where the merchandise was produced,
mined, or grown, or necessarily the state where the exporter is located.
The state designation to be shown shall be the U.S. Postal Service's
standard two-letter state abbreviation.
    (2) For shipments of multistate origin, reported on a single SED,
report state of the commodity of the greatest value or, if such
information is not known at the time of export, the state in which the
commodities are consolidated for export.
    (3) For merchandise exported from a U.S. Foreign Trade Zone, the
letters ``FTZ'' followed by the Foreign Trade Zone number shall be
reported.
    (u) Containerized. (Not required for in-transit merchandise
documented on Form 7513.) This information is required to be shown for
vessel shipments only. A containerized shipment is one transported in
any size van-type container such as 8' x 8' x 20' or 8' x 8' x 40'.
Cargo originally booked as containerized cargo as well as that placed in
containers at the vessel operator's option shall be included.
    (v) Parties to transaction. (Not required for in-transit merchandise
documented on Form 7513.) An export between related parties is one--
    (1) From a U.S. person (U.S. exporter) to a foreign business
enterprise (foreign consignee) in which at anytime during the fiscal
year, the U.S. person owned or controlled, directly or indirectly, 10
percent or more of the voting securities of the foreign enterprise, if
an incorporated business enterprise; or an equivalent interest, if an
unincorporated business enterprise, including a branch; or

[[Page 322]]

    (2) From a U.S. business enterprise (U.S. exporter) to a foreign
person (foreign consignee) that, at anytime during the fiscal year,
owned or controlled, directly or indirectly, 10 percent or more of the
voting securities of the U.S. business enterprise, if an incorporated
business enterprise; or an equivalent interest if an unincorporated
business enterprise, including a branch.

(13 U.S.C. 302; 5 U.S.C. 301; Reorganization Plan No. 5 of 1950;
Department of Commerce Organization Order No. 35-2 A, Aug. 4, 1975, 40
FR 42765)

[41 FR 9134, Mar. 3, 1976, as amended at 42 FR 59839, Nov. 22, 1977; 43
FR 50675, Oct. 31, 1978; 43 FR 56030, Nov. 30, 1978; 44 FR 1971, Jan. 8,
1979; 45 FR 29567, May 5, 1980; 47 FR 29829, July 9, 1982; 50 FR 23402,
June 4, 1985; 63 FR 41187, Aug. 3, 1998; 64 FR 40976, July 28, 1999; 65
FR 42563, July 10, 2000]

Sec. 30.8  Additional information required on Shipper's Export
          Declaration for In-Transit Goods (Form 7513).

    In addition to the information required under Sec. 30.7, the
following information shall be shown on the Shipper's Export Declaration
for In-Transit Goods, Form 7513:
    (a) U.S. port of arrival. The U.S. port at which the merchandise
covered by the declaration arrived from a foreign country shall be
shown.
    (b) Country from which shipped. The name of the foreign country
where the goods were loaded on the carrier which transported the
merchandise to the United States from a foreign country shall be
indicated.
    (c) Date of arrival. The date on which the merchandise arrived in
the United States shall be entered.
    (d) Country of origin. The name of the country of origin as defined
in Sec. 30.70(f) shall be indicated.

Sec. 30.9  Requirements for separation and alignment of items on
          Shipper's Export Declarations.

    For each Schedule B classification (see Sec. 30.7(l)) for which
merchandise is included in the shipment, a separate item shall be shown
on the Shipper's Export Declaration and the separate description of
commodities, shipping weight, ``D'' or ``F'' designation, Schedule B
commodity number, net quantity and value for the item shall be correctly
aligned horizontally, and clearly distinguishable from information
applying to other Schedule B items on the same declaration. However,
where merchandise covered by a single Schedule B classification is
moving under more than one general license, under more than one
validated export license, or under a validated export license which
shows two or more listings for the same Schedule B number, a separate
item shall be shown on the Shipper's Export Declaration for each license
or for each listing on the license. \5\ For merchandise moving under
validated license, information required by export control regulations as
to export license number and expiration date, and information as to
whether the export is a partial or complete shipment against the
license, shall be shown immediately below the corresponding description
of commodities on the Shipper's Export Declaration. Where two or more
items are classified under the same Schedule B number and moving under
the same general license, or where no license is required, the
quantities, values and shipping weights of such invoice items, wherever
practical, should be combined and the information shown on a single
horizontal line of the Shipper's Export Declaration. Commodities of U.S.
manufacture incorporating foreign components shall be reported under the
Schedule B number for the exported commodity, and a separate item shall
not be shown for the imported components. If the exporter desires to
record the imported components separately on the export declaration for
purposes of identification with a temporary import bond, a notation may
be made in the ``Description of Commodities'' column as to the imported
components that have been incorporated in the exported commodity. In the
preparation of the export declaration, shippers shall conform to the
line spacing on all copies.
---------------------------------------------------------------------------

    \5\ See Sec. 30.6 for prohibition against reporting general license
commodities on the same Shipper's Export Declaration with commodities
moving under a validated license.

[41 FDR 9134, Mar. 3, 1976, as amended at 50 FR 23403, June 4, 1985]

[[Page 323]]

Sec. 30.10  Continuation sheets for Shipper's Export Declaration.

    When more horizontal lines than the number provided on the Shipper's
Export Declaration form are required to list all of the merchandise
covered by the declaration, Continuation Sheets should be utilized. \6\
In lieu of official Continuation Sheets, additional copies of the
Shipper's Export Declaration form with no portion torn off or removed,
may be used as continuation sheets. All continuation sheets shall be
numbered in proper sequence and securely stapled to the first sheet,
which must be the export declaration itself. Each continuation sheet
shall show the Customs port of exportation and the country of ultimate
destination for the shipment. The following statement with the blank
filled in as appropriate shall be inserted on the last line of the
description column of the Shipper's Export Declaration itself:
---------------------------------------------------------------------------

    \6\ See Sec. 30.3(b).

    ``This declaration consists of this sheet and No. ------
---------------------------------------------------------------------------
continuation sheets.''

[41 FDR 9134, Mar. 3, 1976, as amended at 50 FR 23403, June 4, 1985]

Sec. 30.11  Authority to require production of documents.

    For purposes of verifying the completeness and accuracy of the
information reported as required under Secs. 30.7 and 30.8, and for
other purposes under the regulations in this part, Customs is authorized
to require the owners and operators of exporting carriers, as well as
the exporters or their agents, either at the time of exportation or
within a period of 3 years subsequent thereto, to produce for inspection
or copying shipping documents, invoices, orders, packing lists,
correspondence, as well as any other relevant documents and to furnish
other information bearing upon a particular exportation. The Bureau of
the Census is similarly authorized to require the production of such
documents. Customs shall refuse to accept Shipper's Export Declarations
containing known errors and omissions, and may require their correction,
but acceptance by the Customs Director shall not be construed as
evidence that all requirements have been met, and such acceptance shall
not relieve the exporter of the responsibility to furnish complete and
correct information at a later time if all requirements have in fact not
been properly met.

Sec. 30.12  Time and place Shipper's Export Declarations required to be
          presented.

    For shipments by mail, the Shipper's Export Declaration as required
in Sec. 30.1 shall be presented to the postmaster with the packages at
the time of mailing. For shipments other than by mail, except as
otherwise provided, the Shipper's Export Declaration in the number of
copies required by Sec. 30.5 shall be delivered to the exporting carrier
prior to exportation. It is the duty of the exporter (or his agent) to
deliver the required number of copies of the Shipper's Export
Declaration to the exporting carrier prior to exportation; failure of
the exporter (or his agent) to do so constitutes a violation of the
provisions of these regulations, and renders such exporter (or his
agent) subject to the penalties provided for in Sec. 30.95. For
shipments by pipeline, the Shipper's Export Declaration is not required
to be presented prior to exportation, and exportation will be permitted
upon the understanding that the exporter or his agent, within 4 working
days after the end of each calendar month, will file with the Customs
Director having jurisdiction for the pipeline, a Shipper's Export
Declaration in the number of copies specified in Sec. 30.5 to cover
exports to each consignee during the calendar month.

Secs. 30.13-30.14  [Reserved]

Sec. 30.15  Procedure for presentation of declarations covering
          shipments from an interior point.

    For shipments from an interior point, the Shipper's Export
Declaration in the number of copies required in Sec. 30.5 may be
prepared and delivered by the exporter or his agent to the inland
carrier to accompany the merchandise to the exporting carrier at the
seaport, airport, or border port of exportation, or it may be otherwise
delivered directly to the exporting carrier. In either case, the
Shipper's Export Declaration must be in the exporting carrier's
possession prior to exportation.

[[Page 324]]

(See Sec. 30.6 for requirements for a separate set of Shipper's Export
Declarations, for each car, truck or other vehicle, covering only the
merchandise exported in that car, truck, or vehicle.)

Sec. 30.16  Corrections to Shipper's Export Declarations.

    The Exporter (U.S. principal party in interest) (or its agent) must
report corrections, cancellations, or amendments to information reported
on Shipper's Export Declarations to the Customs Director at the port of
exportation (or, in the case of mail shipments directly to the U.S.
Census Bureau, National Processing Center, Attention: Foreign Trade
Section, 1201 East 10th Street, Jeffersonville, Indiana 47132) as soon
as the need to make such correction, cancellation, or amendment is
determined. Such corrections, cancellations, or amendments may be made
directly onto the originally filed Shipper's Export Declaration if the
originally filed declarations have not already been mailed to the Bureau
of the Census. If the originally filed Shipper's Export Declarations
have already been mailed to the Bureau of the Census, a photocopy,
carbon, or other legible copy of the originally filed Shipper's Export
Declaration, on which the incorrect data are neatly lined out and the
corrected data entered thereon, shall be promptly filed with the Customs
Director at the port of exportation (or, in the case of mail shipments,
with the Postmaster at the post office where the shipment was mailed).
Such correction copies should have the words ``CORRECTION COPY''
conspicuously shown in the upper right portion of the form. The
provisions of this paragraph relating to the reporting of corrections,
amendments, or cancellations of information, shall not be construed as a
relaxation of the requirements of the laws and regulations pertaining to
the preparation and filing of Shipper's Export Declarations.

[42 FR 56604, Oct. 27, 1977, as amended at 65 FR 42564, July 10, 2000]

           Subpart B--General Requirements--Exporting Carriers

Sec. 30.20  General statement of requirement for the filing of manifests
          and Shipper's Export Declarations by carriers.

    (a) Carriers transporting merchandise from the United States, Puerto
Rico, or U.S. Possessions to foreign countries; from the United States
or Puerto Rico to the Virgin Islands of the United States; or between
Puerto Rico and the United States; shall not be granted clearance, where
clearance is required, and shall not depart, where clearance is not
required, until manifests (for vessels, aircraft, and rail carriers) and
Shipper's Export Declarations have been filed with the Customs Director
as specified in paragraphs (b) through (d) of this section, except as
provided in Sec. 30.24. Where for reasons beyond the control of the
exporting carrier, a given declaration (or declarations) has not been
received prior to exportation or departure, and the merchandise has been
laden, such carrier shall not as a result of this circumstance be
required to off-load the merchandise, or to delay its clearance (where
clearance is required) or departure (if clearance is not required).
However, the provisions of Sec. 30.24 remain applicable.
    (b) For carriers transporting merchandise from the United States to
Puerto Rico, the complete manifest, as required, and all required
Shipper's Export Declarations shall be filed within one business day
after arrival, as defined in 19 CFR 4.2(b), with the Customs Director in
Puerto Rico, except as provided in Sec. 30.24.
    (c) Except as otherwise specifically provided, declarations should
not be filed at the place where the shipment originates if it is to be
transshipped within the United States area before being dispatched to a
foreign country or to its final destination in a nonforeign area. This
applies to shipments originating in Puerto Rico or the Virgin Islands of
the United States being forwarded to the United States for transshipment
to another destination,

[[Page 325]]

and to shipments originating in the United States and being forwarded to
Puerto Rico or the Virgin Islands of the United States for
transshipment, as well as to merchandise being transshipped in Customs
Districts within the States of the United States. In such cases, the
declarations should be filed only with the Customs Director at the
actual port of exportation.
    (d) For purposes of these regulations, the port of exportation is
defined as the Customs port at which or nearest to which the land
surface carrier transporting the merchandise crosses the border of the
United States into foreign territory, or, in the case of exportation by
vessel or air, the Customs port where the merchandise is loaded on the
vessel or aircraft which is to carry the merchandise to a foreign
country or to a nonforeign area of ultimate destination.

[41 FR 9134, Mar. 3, 1976, as amended at 41 FR 42645, Sept. 28, 1976; 58
FR 41424, Aug. 4, 1993]

Sec. 30.21  Requirements for the filing of manifests.

    (a) Vessels. Vessels transporting merchandise as specified in
Sec. 30.20 (except vessels exempted by paragraph (d) of this section)
shall file a complete Cargo Declaration, Customs Form 1302, or a Cargo
Declaration Outward With Commercial Forms, Customs Form 1302-A, either
form with copies of bills of lading or equivalent commercial forms
relating to all cargo encompassed by the manifest attached thereto. The
manifest shall be filed with the Customs Director at the respective
ports where the merchandise is laden (for shipments from the United
States to Puerto Rico, the manifest shall be filed with the Customs
Director in the port where the merchandise is unladen in Puerto Rico),
and shall show the destination of the vessel and list all the cargo so
laden. For each item of cargo, the manifest shall show a description of
the articles, contents, quantities, and values; however, a notation on
the Cargo Declaration that values are as stated on the Shipper's Export
Declarations, copies of which are attached to such manifest, will be
accepted. There shall also be shown for each item of cargo the bill of
lading number on the Shipper's Export Declaration covering the item,
except that bill of lading numbers are not required on manifests
covering cargo destined for Canada or a nonforeign area. If an item on a
Cargo Declaration is one for which a Shipper's Export Declaration is not
required, a notation shall be inserted on the Cargo Declaration as to
the basis for the exemption with a reference to the number of the
section in the regulations where the particular exemption is provided.
The bills of lading, cargo lists, or other commercial forms must be
securely attached to the Cargo Declaration in such manner as to
constitute one document; that they are incorporated by suitable
reference on the face of the form such as ``Cargo as per bills of lading
attached,'' or ``Cargo as per commercial forms attached,'' and that
there is shown on the face of each bill the information required by the
Cargo Declaration for the cargo covered by that document. The manifest
of vessels (including vessels taking bunker fuel to be laden aboard
vessels on the high seas) clearing for foreign countries shall also show
the quantities and values of bunker fuel taken aboard at that port for
fueling use of the vessel, apart from such quantities as may have been
laden on vessels as cargo. The quantity of coal shall be reported in
metric tons (2240 pounds), and the quantity of fuel oil shall be
reported in barrels of 158.98 liters (42 gallons). Fuel oil shall be
described in such manner as to identify diesel oil as distinguished from
other types of fuel oil.
    (b) Aircraft. Aircraft transporting merchandise as specified in
Sec. 30.20 shall file a complete manifest on Customs Form 7509. Such
manifest shall be filed with the Customs Director at the respective
ports where the merchandise is laden (for shipments from the United
States to Puerto Rico, the manifests shall be filed with the Customs
Director in the port where the merchandise is unladen in Puerto Rico)
aboard the aircraft that is to carry the merchandise to the foreign
country or to its ultimate destination in a nonforeign area, and shall
list all the cargo so laden and show, for each item, the air waybill
number or marks and numbers on packages, the number of packages, and the
nature of the goods, except as

[[Page 326]]

otherwise provided in this paragraph (b). In addition, for any item for
which a Shipper's Export Declaration is not required under the
regulations in this part, a notation as to the basis for the exemption
with a reference to the number of the section in this part where the
particular exemption is provided, shall be inserted on the manifest, or
on the waybill filed in lieu of listing on the manifest. In the case of
shipments on an air waybill, a copy of each document may be attached to
the cargo manifest, the numbers of such air waybills listed in the body
of the manifest, and the statement ``Cargo as per Air Waybills
Attached'' noted on the manifest. On direct departures only, for
shipments requiring a Shipper's Export Declaration a copy of each
declaration may be attached to the cargo manifest. In such case the air
waybill numbers of such declarations shall be listed on the cargo
manifest in the column for air waybill numbers, and the statement
``Cargo as per SEDs Attached'' noted on the manifest. Under this
alternative procedure, any shipments not requiring a Shipper's Export
Declaration shall be listed on the manifest, and a notation as to the
basis for the exemption with a reference to the number of the section in
this part where the particular exemption is provided, shall be shown.
For aircraft transporting merchandise between the United States and
Puerto Rico, the manifest shall consist of full detail for cargo
requiring Shipper's Export Declarations and summary information for
cargo exempt for Shipper's Export Declaration requirements. This summary
information will include, on a single line, the total number of packages
and the total weight, in kilograms, of such exempt shipments.
Additionally, the air waybills for all shipments must be available, in
the port of arrival or departure in Puerto Rico, for inspection by
Customs and/or the Census Bureau.
    (c) Rail carriers. Rail carriers transporting merchandise as
specified in Sec. 30.20 shall file a car manifest. Such manifest shall
be filed with the Customs Director at the border port of exportation,
giving the marks and numbers, the name of the shipper or consignor,
description of goods and the destination thereof. The manifest may be a
waybill, or a copy thereof, or a copy of the manifest prepared for
foreign customs. For any item for which a Shipper's Export Declaration
is not required by these regulations, a notation on the manifest, or an
oral declaration to the Customs Director, shall be made by the carrier
as to the basis for the exemption.
    (d) Carriers not required to file manifests. These regulations do
not require the filing of manifests by carriers other than vessels,
aircraft and rail carriers, nor by vessels under 5 net tons engaged in
trade with a foreign country otherwise than by sea, nor by vessels
specifically exempted from entry by section 441, Tariff Act of 1930, as
amended.

(13 U.S.C. 302; 5 U.S.C. 301; Reorganization Plan No. 5 of 1950,
Department of Commerce Order No. 35-2A, August 4, 1975, 40 FR 42765)

[41 FR 9134, Mar. 3, 1976, as amended at 58 FR 41424, Aug. 4, 1993]

Sec. 30.22  Requirements for the filing of Shipper's Export Declarations
          by departing carriers.

    (a) To meet the requirements of Sec. 30.20 for the filing of
Shipper's Export Declarations, every departing carrier transporting
merchandise as specified in Sec. 30.20, including vessels, aircraft,
rail carriers, trucks and other vehicles, ferries, and every other
carrier shall deliver to the Customs Director at the port of exportation
(for shipments from the United States to Puerto Rico, at the port of
arrival in Puerto Rico), with the manifest of the carrier, if a manifest
is required by the regulations in this part, Shipper's Export
Declarations prepared and signed by the exporters, or their agents,
covering all the cargo for which such Shipper's Export Declarations are
required by the regulations in this part.
    (b) The exporting carrier shall be responsible for the accuracy of
the following items of information (where required) on the declaration:
Name of carrier (including flag if vessel carrier), U.S. Customs port of
exportation, method of transportation from the United States, foreign
port of unloading, the bill of lading or air waybill number, and whether
or not containerized. For shipments to Canada exempt

[[Page 327]]

from Shipper's Export Declaration filing requirements (See Sec. 30.58),
the exporting carrier shall enter the U.S. Customs port of exportation
and method of transportation from the United States on the bill of
lading, air waybill, or other documents that they prepare.
    (c) Except as provided in 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, the transportation company shall correct the descriptions and
the quantity, value and shipping weight (if any) amounts shown on the
declaration to reflect the amount actually exported on the carrier named
in the Shipper's Export Declaration. If a short shipment of this type is
discovered by the carrier after the Shipper's Export Declaration in
question has been delivered to the District Director of Customs, the
transportation company will immediately notify the District Director of
Customs so that a correction can be made by the Director on all copies
of the declaration if it is still in his possession. If the statistical
copy of the declaration has been transmitted by the Director to the
Bureau of the Census at the time of such notification, the Director will
require the exporter (or his agent) to file a ``Correction Copy'' of the
originally filed Shipper's Export Declaration as described in Sec. 30.16
of these regulations. If the balance of the short-shipped merchandise is
subsequently exported, a new Shipper's Export Declaration, complete in
all detail, will be required. If the short-shipped merchandise is
exported on a carrier of the transportation company named in the
original declaration, and if such exportation is made within a
reasonable period, the District Director of Customs may accept a
declaration executed by such transportation company; otherwise the new
declaration shall be executed by the exporter or his agent. In any
event, the new declaration shall contain the following statement:

    These commodities or technical data were included, but not shipped,
on a Shipper's Export Declaration filed at ---------- (Port) on --------
-- (Date).

    (d) When a shipment by air covered by a single Shipper's Export
Declaration is divided by the transportation company and exported in
more than one aircraft of the transportation company, the ``split
shipment'' procedure provided in Sec. 30.41 shall be followed by the
transportation company in delivering manifests and Shipper's Export
Declarations to the District Director of Customs.
    (e) Exporting carriers are authorized to amend incorrect shipping
weights reported on Shipper's Export Declarations, and to prorate total
shipping weights among the individual commodities, where such carriers
are able to do so based upon information in their possession.

(13 U.S.C. 302; 5 U.S.C. 301; Reorganization Plan No. 5 of 1950;
Department of Commerce Organization Order No. 35-2A, Aug. 4, 1975, 40 FR
42765)

[41 FR 9134, Mar. 3, 1976, as amended at 43 FR 56030, Nov. 30, 1978; 44
FR 1971, Jan. 8, 1979; 55 FR 49615, Nov. 30, 1990; 58 FR 41424, Aug. 4,
1993]

Sec. 30.23  Requirements for the filing of Shipper's Export Declarations
          by pipeline carriers.

    The operator of a pipeline may transport merchandise to a foreign
country without prior filing of Shipper's Export Declarations, on the
condition that within 4 days following the end of each calendar month
the pipeline operator will deliver to the Customs Director Shipper's
Export Declarations prepared by the exporter or his agent covering all
exportations through the pipeline to each consignee during the month.

Sec. 30.24  Clearance or departure of carriers under bond on incomplete
          manifest or Shipper's Export Declarations.

    (a) For purposes of the regulations in this part, except when
carriers are transporting merchandise from the United States to Puerto
Rico, clearance (where clearance is required) or permission to depart
(where clearance is not required) may be granted to any carrier by the
Customs Director prior

[[Page 328]]

to the filing of a complete manifest as required under the regulations
in this part, or prior to the filing by the carrier of all required
Shipper's Export Declarations, provided that a bond as specified in
paragraph (b) of this section is filed with the Customs Director. The
condition of the bond shall be that a complete manifest, where a
manifest is required by the regulations in this part and all required
Shipper's Export Declarations, shall be filed by the carrier not later
than the fourth business day after clearance (where clearance is
required) or departure (where clearance is not required) of the carrier
except as otherwise specifically provided in paragraphs (a) (1) and (2)
of this section. For carriers transporting merchandise from the United
States to Puerto Rico, if the complete manifest, as required, and all
required Shipper's Export Declarations are not available for filing with
the Customs Director in Puerto Rico within one business day after
arrival, a bond, as specified in paragraph (b) of this section shall be
filed with the Customs Director in Puerto Rico.
    (1) For shipments aboard a U.S. flag carrier between the United
States and Puerto Rico, or from the United States or Puerto Rico to the
Virgin Islands of the United States, the condition of the bond shall be
that a complete manifest (where a manifest is required) and all required
Shipper's Export Declarations shall be filed by the carrier not later
than the seventh business day after departure or in the case of
shipments from the United States to Puerto Rico, the seventh business
day after arrival.
    (2) For rail carriers to Canada, the condition of the bond shall be
that the manifest and all required Shipper's Export Declarations shall
be filed not later than the 15th business day after departure.

In the event that any required manifest and all required Shipper's
Export Declarations are not filed by the carrier within the period
provided by the bond, then a penalty of $50 shall be exacted for each
day's delinquency beyond the allowed period of 4 days, 7 days, or 15
days, as appropriate; and if the completed manifest, where required, and
all required Shipper's Export Declarations are not filed within 3 days
following the period of 4 days, 7 days, or 15 days, allowed under the
bond, then for each succeeding day of delinquency a penalty of $100
shall be exacted, but no penalty shall exceed $1,000 in total. Remission
or mitigation of the penalties provided herein may be granted in those
cases where, in the judgment of the administering authority provided in
paragraph (b) of this section, the penalties were incurred without
willful negligence or fraud, or other circumstances justify a remission
or mitigation.
    (b) Bonds filed in accordance with the provisions of this Sec. 30.24
may take the form of a single entry bond on Customs Form 7567 in the
amount of $1,000 or of a term or blanket bond on Customs Form 7569 in
the amount of $10,000 or such larger amount as the Secretary of the
Treasury may prescribe, or in other approved form. Except as provided
below in this paragraph, there shall be shown on the bond, or on a
separate listing which refers to and is made a part of the bond, a pro
forma list of shipments on board the departing carrier for which
Shipper's Export Declarations have not been filed with the Customs
Director. The list shall show for each such shipment the name of the
shipper, the country to which exported, marks and numbers of the
packages, the number and kind of packages, a description of the goods
and the value (or estimated value). However, where such waiver will not
interfere with the ability of the Customs Director to check on
performance under the bond, or with the identification of the shipment
for purposes of obtaining statistical information in the event of
failure of performance under the bond, the Customs Director may waive
the requirement for the pro forma list of shipments for which
declarations are missing, or may accept a list containing less than the
items of information enumerated above. Approval of bonds and
administration of the provisions of the regulations in this part
relating to performance by carriers under such bonds, including
remission and mitigation of penalties incurred by the carriers, are
hereby delegated to the Commissioner of Customs or his delegate to be
carried out in accordance with the provisions of section 623 of the
Tariff Act of 1930, as amended, and the regulations of the

[[Page 329]]

U.S. Customs Service issued pursuant thereto.

[41 FR 9134, Mar. 3, 1976, as amended at 58 FR 41425, Aug. 4, 1993]

 Subpart C--Special Provisions Applicable Under Particular Circumstances

Sec. 30.30  Values for certain types of transactions.

    The following special arrangements govern the values to be reported
for shipments of the following unusual types:
    (a) Subsidized exports of agricultural products. Where provision is
made for the payment of an export subsidy to the exporter for the
exportation of agricultural commodities under a program of the
Department of Agriculture, the value required to be shown on the export
declaration is the f.a.s. value as defined in Sec. 30.7(q), based on the
selling price paid by the foreign importer, excluding the amount of the
subsidy.
    (b) GSA exports of excess personal property. For exports of General
Services Administration excess personal property, the value to be shown
on the Shipper's Export Declaration will be the total of the estimated
``fair value,'' if any, at which the property was transferred to GSA by
the holding agency, plus charges, when applicable, to the port of
export, such as packing, rehabilitation, inland freight or drayage. The
estimated ``fair value'' may be zero, or it may be a percentage of the
original or estimated acquisition costs. (Export Declarations for such
shipments will bear the notation ``Excess Personal Property, GSA
Regulations 1-III, 303.03.'')

Sec. 30.31  Identification of certain nonstatistical and other unusual
          transactions.

    In order to enable the Bureau of the Census to make a judgment as to
the statistical or other status of certain export transactions,
Shipper's Export Declarations covering the following types of
transactions should carry a statement beneath the commodity description
clearly identifying the transactions as such:
    (a) Merchandise exported for repair only, and other temporary
exports to be returned to the United States which are not sold and do
not enter the trade of the country to which shipped, e.g., merchandise
for exhibition (not for exhibition and possible sale), horses or other
animals for breeding or grazing, etc.
    (b) The return of merchandise previously imported for repair only
and other returns to the foreign shipper of temporarily imported
merchandise (declared as such on importation) on which no alteration or
processing has been performed; e.g., foreign merchandise being returned
to the country of origin after importation into the United States for
exhibition only.
    (c) Shipments of material in connection with construction,
maintenance, and related work being done on projects for the U.S. Armed
Forces. Equipment and other material shipped for temporary use on such
projects and intended for return to the United States should be
identified separately from construction material or other goods which
will become a part of or which will be consumed in the construction or
maintenance work.

Sec. 30.32  [Reserved]

Sec. 30.33  Vessels, planes, cargo vans, and other carriers and
          containers sold foreign.

    (a) Vessels, locomotives, rail cars, ferries, trucks, other
vehicles, trailers, pallets, cargo vans, lift vans, or similar shipping
containers are not considered ``shipped'' in terms of these regulations
in this part when they are moving, either loaded or empty, without
transfer of ownership or title, in their capacity as carriers of
merchandise or as instruments of such carriers, and Shipper's Export
Declarations are not required therefor when so moving.
    (b) However, Shipper's Export Declarations shall be filed for such
items, when moving as merchandise pursuant to sale or other transfer
from ownership in the United States to ownership abroad. When a new
vessel built in the United States for foreign account clears under a
certificate of record (Commerce Form 1316) a Shipper's Export
Declaration must be furnished by the agents or prepared by Customs for

[[Page 330]]

statistical purposes. If a vessel, car, vehicle, or container, whether
in service or newly built or manufactured, is sold or transferred to
foreign ownership while in the Customs area of the United States or at a
port in such area, Shipper's Export Declarations shall be filed in
accordance with the general requirements of the regulations in this
part, at the port through or from which the vessel, car, vehicle, or
container first leaves the United States after sale or transfer. If the
vessel, car, vehicle, or shipping container is outside the Customs area
of the United States at the time of sale or transfer to foreign
ownership, Shipper's Export Declarations shall be filed at the last port
of clearance or departure from the United States prior to sale or
transfer. The country of destination to be shown on the Shipper's Export
Declaration 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 on the
Shipper's Export Declaration unless such country is the country of new
ownership.

Sec. 30.34  Return of exported cargo to the United States prior to
          reaching its final destination.

    (a) When a vessel carrying cargo which cleared from a port in the
U.S. Customs area returns to the U.S. Customs area before it reaches its
destination and discharges any or all of its cargo in the United States,
the Customs Director at the port of unlading shall notify the Foreign
Trade Division, Bureau of the Census, of this fact. The letter of
notification shall contain the following information: Name of the
carrier, dates of clearance, manifest numbers assigned at the various
Customs ports at which cargo was laden and the final disposition of all
cargo. If the vessel returns to the port at which the cargo was
originally laden, the letter of notification shall also include the bill
of lading numbers shown on each export declaration filed at the time of
clearance.
    (b) For shipments by air where the Shipper's Export Declarations are
filed at the port of lading, if it becomes necessary because of an
emergency to unload part or all of the cargo at another port in the U.S.
Customs area (other than the port in Puerto Rico or U.S. Possession
which is its final destination), the Shipper's Export Declarations filed
at the port of lading need not be cancelled if the merchandise is
reladen on another plane at the second port within a reasonable time and
proceeds to its country of destination. If there is unreasonable delay
in reloading, the originally filed declarations should be cancelled and
new declarations should be filed at the second port of lading. If for
any reason, the merchandise remains permanently in the United States,
the Customs Director at the first port of lading must be notified to
cancel the Shipper's Export Declarations which have been filed. This
provision is not intended as an exception from the requirements of
Sec. 30.12 as to the place at which Shipper's Export Declarations are
required to be filed; it is intended only for cases where an emergency
requires an unintended unloading after the requirements of Sec. 30.12
have been met.

Secs. 30.35--30.36  [Reserved]

Sec. 30.37  Exceptions from the requirement for reporting complete
          commodity detail on the Shipper's Export Declaration.

    (a) Where it can be determined that particular types of U.S.
Government shipments, or shipments for Government projects, are of such
nature that they should not be included in the export statistics, and
further, where no detriment to the export control program would be
involved, special arrangements can sometimes be made to waive compliance
with specific portions of the requirements of Sec. 30.7 with respect to
the reporting of detailed information on the Shipper's. Export
Declaration. Such exceptions will be made only upon application by the
exporter and specific authorization to the Customs Director and the
exporter for the particular project or shipment, approved by both the
Bureau of the Census and the Office of Export Administration, and will
be conditioned upon a prescribed identification which must appear upon
the declarations. The particular types of shipments for which

[[Page 331]]

such exceptions may be possible are as follows:
    (1) Shipments to a contractor under a Department of Defense or other
armed service contract for the construction of facilities for the use of
the U.S. armed services.
    (2) Temporary exports by or to U.S. Government agencies.
    (3) Shipments of supplies and material to contractors in the Panama
Canal Zone for the construction and/or maintenance of the Panama Canal
Zone and its facilities.
    (b) Special exemptions to specific portions of the requirements of
Sec. 30.7 with respect to the reporting of detailed information on the
Shipper's Export Declaration may also be granted by the Bureau of the
Census with the concurrence of the Office of Export Administration for
certain Department of Defense shipments, or shipments made on behalf of
the Department of Defense, to foreign governments under the cash
reimbursable provisions of the Mutual Defense Assistance Program
(military sales), if and when arrangements have been made for the Bureau
of the Census to obtain the desired statistical information other than
through the reporting of complete commodity detail on the Shipper's
Export Declaration.

Sec. 30.38  [Reserved]

Sec. 30.39  Authorization for reporting statistical information other
          than by means of individual Shipper's Export Declarations
          filed for each shipment.

    (a) The Census Bureau, with the concurrence of appropriate
government agencies, may authorize exemptions from the requirement of
Sec. 30.6 that a separate Shipper's Export Declaration be filed for each
shipment.
    (b) Application for certification and approval to file shipper's
export data electronically using the Automated Export System (AES) can
be made directly to the Census Bureau in accordance with the provisions
specified in Sec. 30.60. Certification and approval procedures and
qualification standards for filing shipper's export data electronically
are contained in Sec. 30.62.
    (c) Authorization for other alternative methods of filing shipper's
export information will be issued only when, in the judgment of the
Census Bureau, complete and accurate information will be available on a
prescribed basis from the records of the applicant and where the
alternate filing method for shipments represents a reduction of
reporting cost or burden. Where export control is a consideration, such
authorizations will be granted only when, in the judgment of the
appropriate controlling government agency, the applicant has
demonstrated that it has established adequate internal operating
procedures and has taken other satisfactory safeguards to assure
compliance with export control regulations of the appropriate government
agency or agencies.

[64 FR 40976, July 28, 1999]

Sec. 30.40  Single declaration for multiple consignees.

    As a further exception to the requirements of Sec. 30.6, shipper's
are authorized, subject to the approval of the Customs Director, to file
one Shipper's Export Declaration (in duplicate) for all shipments, other
than those made to U.S. Government agencies, offices, establishments, or
representatives of any of these which are laden on one vessel or
aircraft and destined to go to one port in Puerto Rico, the Virgin
Islands of the United States, or the Canal Zone. For such shipments no
consignee information needs to be furnished whether such shipments are
made to one or several consignees.

[41 FR 42645, Sept. 28, 1976]

Sec. 30.41  ``Split shipments'' by air.

    When a shipment by air covered by a single Shipper's Export
Declaration is divided by the exporting transportation company at the
port where the declaration is filed, and part of the shipment is
exported on one aircraft and part on another aircraft of the same
transportation company, the following procedure shall apply:
    (a) The carrier will deliver the manifest copy of the declaration to
the District Director of Customs with the manifest covering the flight
on which the first part of the split shipment is exported, and will make
no changes on the declaration. However, the manifest

[[Page 332]]

will show in the ``number of packages'' column the actual portion of the
declared total quantity being carried and will carry a notation to
indicate ``Split Shipment.''
    (b) On each subsequent manifest covering a flight on which any part
of a split shipment is exported, a prominent notation ``SPLIT SHIPMENT''
will be made adjacent to the item on the manifest for ready
identification. For the last shipment the notation will 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 merchandise carried
on that particular flight and a reference to the total amount originally
declared for export, e.g., 5 of 11, or 5/11; and immediately following
the line showing the portion of the split shipment carried on that
flight, a notation will be made showing the air waybill number shown on
the original Shipper's Export Declaration and the portions of the
originally declared total carried on each previous flight together with
the number and date of each such previous flight, e.g., original
Shipper's Export Declaration AWB 123; 2 of 11 flight 36A, June 6; 4 of
11, flight 40X, June 10.
    (c) Export declarations will not be required for these subsequent
shipments.

Subpart D--Exemptions from the Requirements for the Filing of Shipper's
                           Export Declarations

Sec. 30.50  Procedure for shipments exempt from the requirements for
          Shipper's Export Declarations.

    Except as provided below, where an exemption from the requirement
for the filing of a Shipper's Export Declaration is provided in this
subpart, a notation describing the basis for the exemption shall be made
on the bill of lading, air waybill, or other loading document for
carrier use, with a reference to the number of the section in this part
where the particular exemption is provided so that the carrier at the
time of lading, and the Customs Director at the time of exportation, may
verify that no declaration is required. If none of the above named
documents is used, the person transporting the merchandise must be
prepared to identify to the Customs Director at the port of exportation,
at the time of exportation but prior to departure, any merchandise which
is exempt from the requirement for the filing of a Shippers' Export
Declaration and explain to the Customs Director the basis for the
exemption. Where shipments are exempt from the requirement for Shipper's
Export Declarations on the basis of value and destination, the
appearance of the value and destination on the bill of lading, air
waybill, or other loading document for carrier use, shall be acceptable
as evidence of the exemption, and no reference need be made to the
particular section of these regulations where the exemption is provided.

Sec. 30.51  Government shipments not generally exempt.

    Except as provided below in this subpart, Shipper's Export
Declarations are required for exports by or to U.S. Government agencies,
whether or not shipped on a Government bill of lading. No general
exemption is provided for Government shipments, as such.

Sec. 30.52  Special exemptions for shipments to the U.S. armed services.

    Shipper's Export Declarations are not required for the following
types of shipments to the U.S. armed services:
    (a) 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 shipments which are for the ultimate
use of the U.S. armed services but which are not consigned to the U.S.
armed services. However, special exceptions to the requirements of these
regulations which may in some circumstances apply to shipments for the
ultimate use of the U.S. armed services but not so consigned are
provided in Sec. 30.37.)
    (b) Department of Defense Military Assistance Program Grant-Aid
shipments being transported as Department of Defense cargo under the
provisions of Customs Circular Letters VES-5-MA, March 8, 1954, (MC
133), VES-5-MA, June 17, 1954 (MC 133 S.1), VES-5-MA, May 24, 1956 (MC
133 S.2) and RES-20-MC, January 25, 1960 (CC 76). Under

[[Page 333]]

arrangements with the Department of Defense, information on these
shipments for inclusion in U.S. export statistics will be furnished
directly to the Bureau of the Census by the Department of Defense. This
exception from the filing of Shipper's Export Declarations does not
apply to Military Assistance Program Grant-Aid shipments to which a
foreign government has taken title before exportation or to any Grant-
Aid Military-Aid Program shipment moving in any manner other than as
Department of Defense cargo. (See Sec. 30.37 for possible exceptions to
the full reporting requirements of Sec. 30.7 for certain military sales
shipments not exempt from the requirement for the Shipper's Export
Declaration.)

Sec. 30.53  Special exemptions for certain shipments to U.S. Government
          agencies and employees.

    Shipper's Export Declarations are not required for the following
types of shipments to U.S. Government agencies and employees:
    (a) Office furniture, office equipment, and office supplies shipped
to and for the exclusive use of U.S. Government offices.
    (b) Household goods and personal property shipped to and for the
exclusive and personal use of U.S. Government employees.
    (c) Food, medicines, and related items and other commissary supplies
shipped to U.S. Government offices or employees for the exclusive use of
such employees, or to U.S. Government employee cooperative or other
associations for subsequent sale or other distribution to such
employees.
    (d) Books, maps, charts, pamphlets, and similar articles shipped by
U.S. Government offices to U.S. or foreign libraries, government
establishments or similar institutions.
    (e) All commodities shipped to and for the exclusive use of the
Panama Canal Zone Government or the Panama Canal Company.

Sec. 30.54  [Reserved]

Sec. 30.55  Miscellaneous exemptions.

    Shipper's Export Declarations are not required for the following
kinds of shipments:
    (a) Diplomatic pouches and their contents.
    (b) Human remains and accompanying appropriate receptacles and
flowers.
    (c) Shipments from one point in the United States to another thereof
by routes passing through Mexico.
    (d) Shipments from one point in Mexico to another point thereof by
routes through the United States.
    (e) Shipments, other than by vessel, or merchandise for which no
validated export licenses are required, transported in bond through the
United States, and exported from another U.S. port, or transshipped and
exported directly from the port of arrival.
    (f) Shipments to foreign libraries, government establishments, or
similar institutions, as provided in Sec. 30.53(d).
    (g) Shipments of single gift parcels as authorized by the Bureau of
Export Administration under License Exception GFT, see 15 CFR 740.12 of
the EAR.
    (h) Except as noted in paragraph (h)(2) of this section exports of
commodities where the value of the commodities, shipped from one
exporter to one consignee on a single exporting carrier, classified
under an individual Schedule B number, is $2,500 or less.
    (1) This exemption applies to individual Schedule B commodity
numbers regardless of the total shipment value. In instances where a
shipment contains a mixture of individual Schedule B commodity numbers
valued $2,500 or less and individual Schedule B commodity numbers valued
over $2,500, only those commodity numbers valued $2,500 or more need be
reported on a Shipper's Export Declaration or AES record.
    (2) This exemption does not apply to exports:
    (i) Destined for Cuba, Iran, Iraq, Libya, North Korea, Serbia
(excluding Kosovo), Sudan and Syria.
    (ii) Requiring a Department of Commerce license (15 CFR Parts 730
through 774 of the EAR).
    (iii) Requiring a Department of State, Office of Defense Trade
Controls export license under the International Traffic In Arms
Regulations (ITAR) (22 CFR Parts 120 through 130).
    (iv) Subject to the ITAR but exempt from license requirements.

[[Page 334]]

    (v) Requiring a Department of Justice, Drug Enforcement
Administration export permit (21 CFR Part 1312). This exemption shall be
conditioned upon the filing of such reports as the Bureau of the Census
shall periodically require to compile statistics on $2,500 and under
shipments.
    (i) 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.
    (j) Shipments of pets as baggage, accompanied or unaccompanied, of
persons leaving the United States, including members of crews on vessels
and aircraft.
    (k) Shipments for use in connection with NASA tracking systems under
Office of Export Administration Project License DL-5355-S.
    (l) Shipments of aircraft parts 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
agents abroad, under Department of Commerce, Office of Export
Administration General License RCS.
    (m) Shipments for use in connection with NOAA operations under the
Office of Export Administration General License G-NOAA.
    (n) Exports of technology and software as defined in 15 CFR Part 772
of the EAR that do not require an export license, except that an SED or
AES record is required for mass market software. For purposes of the
FTSR, mass market software is defined as software that is generally
available to the public by being sold at retail selling points, or
directly from the software developer or supplier, by means of over the
counter transactions, mail order transactions, telephone transactions,
or electronic mail order transactions, and designed for installation by
the user without further substantial technical support by the developer
or supplier.
    (o) Intangible exports of software and technology, such as
downloaded software and technical data, including technology and
software that requires an export license and mass market software
exported electronically.

[41 FR 9134, Mar. 3, 1976, as amended at 47 FR 7214, Feb. 18, 1982; 55
FR 21187, May 23, 1990; 55 FR 49615, Nov. 30, 1990; 63 FR 45697, Aug.
27, 1998; 65 FR 42564, July 10, 2000]

Sec. 30.56  Conditional exemptions.

    Shipper's Export Declarations are not required for the following
classes of commodities when they are not shipped as cargo under a bill
of lading or an air waybill and do not require a validated export
license, but the exporter should be prepared to make oral declaration to
the Customs Director, if required:
    (a) Baggage and personal effects, accompanied or unaccompanied, of
persons leaving the United States, including members of crews on vessels
and aircraft, such as:
    (1) Usual and reasonable kinds and quantities of wearing apparel,
articles of personal adornment, toilet articles, medicinal supplies,
food, souvenirs, games, and similar personal effects and their
containers.
    (2) Usual and reasonable kinds and quantities of furniture,
household effects, household furnishings, and their containers.
    (3) Usual and reasonable kinds and quantities of vehicles, such as
passenger cars, station wagons, trucks, trailers, motorcycles, bicycles,
tricycles, perambulators, and their containers.

Provided, That the above-indicated baggage and personal effects (i)
shall include only such articles as are owned by such person or members
of his immediate family; (ii) shall be in his possession at the time of
or prior to his departure from the United States for the foreign
country; (iii) are necessary and appropriate for the use of such person
or his immediate family; (iv) are intended for his use or the use of his
immediate family; and (v) are not intended for sale.
    (b) Tools of trade are usual and reasonable kinds and quantities of
commodities and software, and their containers, that are intended for
use by individual exporters or by employees or representatives of the
exporting company in furthering the enterprises and undertakings of the
exporter abroad. Commodities and software eligible for

[[Page 335]]

this exemption are those that do not normally require an export license
or that are exported without a license as specified in 15 CFR 740.9 of
the EAR (15 CFR chapter VII, subchapter C) and are subject to the
following provisions:
    (1) Are owned by the individual exporter or exporting company;
    (2) Accompany the individual exporter, employee or representative of
the exporting company;
    (3) Are necessary and appropriate and intended for the personal and/
or business use of the individual exporter, employee or representative
of the company or business;
    (4) Are not for sale; and
    (5) Are returned to the United States no later than one year from
the date of export.
    (c) Carriers' stores (including merchandise carried in ships aboard
carriers for sale to passengers), supplies, and equipment for departing
vessels, planes, or other carriers, 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,
and including usual and reasonable kinds and quantities of equipment and
spare parts for permanent use on the carrier when necessary for proper
operation of such carrier and not intended for unlading in a foreign
country. Hay, straw, feed, and other appurtenances necessary to the care
and feeding of livestock while enroute to a foreign destination are
considered part of carriers' stores of carrying vessels, trains, planes,
etc.
    (d) Dunnage of usual and reasonable kinds and quantities necessary
and appropriate to stow or secure cargo on the outgoing or any immediate
return voyage of an exporting carrier, when exported solely for use as
dunnage and not intended for unlading in a foreign country.

[41 FR 9134, Mar. 3, 1976, as amended at 62 FR 49437, Sept. 22, 1997]

Sec. 30.57  Information on export declarations for shipments of types of
          goods covered by Sec. 30.56 not conditionally exempt.

    (a) In those cases where Shipper's Export Declarations are required
for articles enumerated in Sec. 30.56 (a) through (d) only by virtue of
their being shipped under a bill of lading or an air waybill (no
validated license is required) the export declaration should clearly
show in the column for commodity description, in lieu of the complete
commodity description a statement that the shipment consists of baggage,
personal effects, household effects, ship's stores, crew's effects, or
as appropriate. In such cases, Schedule B commodity numbers should not
be shown on the declarations.
    (b) In those cases where the articles enumerated in Sec. 30.56 (a)
through (d) require a validated export license (whether or not shipped
under a bill of lading or an air waybill) the Shipper's Export
Declaration must identify the shipment as baggage, personal effects,
etc., and must contain all the information normally required for any
exportation made under a validated export license, i.e. complete
commodity description, license number, Schedule B number, quantity,
value, etc.

Sec. 30.58  Exemption for shipments from the United States to Canada.

    (a) Except as noted in paragraph (c) of this section, shipments
originating in the United States where the country of ultimate
destination (see Sec. 30.7(i)) is Canada are exempt from the Shipper's
Export Declaration requirements of this part. This exemption also
applies to shipments from one point in the United States or Canada to
another point thereof by routes passing through the other country.
    (b) The Harbor Maintenance Fee applies to shipments by vessel exempt
from Shipper's Export Declaration requirements by virtue of being
destined to Canada.
    (c) This exemption does not apply to the following shipments: (The
Bureau of the Census also reserves the right to reinstate the Shipper's
Export Declaration requirements of this part in specific instances for
the purpose of ensuring statistical accuracy.)

[[Page 336]]

    (1) Requiring a Department of Commerce license.
    (2) Requiring a Department of State, Office of Defense Trade
Controls, export license under the International Traffic in Arms
Regulations (ITAR-22 CFR parts 121-130).
    (3) Subject to the ITAR but exempt from license requirements.
    (4) Requiring a Department of Justice, Drug Enforcement
Administration, export declaration (21 CFR part 1313).
    (5) For storage in Canada but ultimately destined for third
countries, the specific country of destination being unknown at the time
of export to Canada (see Sec. 30.39 for reporting requirements).
    (6) For all exports of items subject to the EAR (15 CFR Parts 730
through 799) that will be transhipped through Canada to a third
destination, that would require an SED, AES record, or Commerce license
if shipped directly to the final destination from the United States (see
Sec. 30.55(h)(2), including exports of items subject to the EAR that
will be transhipped through Canada to Cuba, Iran, Iraq, Libya, North
Korea, Serbia (excluding Kosovo), Sudan, and Syria.

[55 FR 49615, Nov. 30, 1990, as amended at 65 FR 42564, July 10, 2000]

 Subpart E--Electronic Filing Requirements--Shipper's Export Information

    Source: 64 FR 40977, July 28, 1999, unless otherwise noted.

Sec. 30.60  General requirements for filing export and manifest data
          electronically using the Automated Export System (AES).

    The Automated Export System (AES) transmissions by exporters or
their authorized filing agents that meet the requirements of this
subpart constitute the Shipper's Export Declaration (SED) for purposes
of this part. This section outlines the general requirements for
participating in the AES. Several filing options are available for
transmitting shipper's export data. The first option is the standard
paper filing of the SED. The AES also provides AES participants with
three electronic filing options for submission of shipper's export data.
    (a) Participation. Participation in the AES is voluntary and is
designed to use technology available to both large and small businesses.
Companies that are not automated can submit data through a service
center or port authority that provides the capability to communicate
with the Customs Data Center in the same way as automated companies.
Companies may also buy a software package designed by an AES certified
software vendor. Certified trade participants (filing agents) can
transmit to and receive data from the AES pertaining to merchandise
being exported from the United States. Participants in the AES process,
who may apply for AES certification, include exporters or their
authorized forwarding agents, carriers, non-vessel operating common
carriers (NVOCC), consolidators, port authorities, software vendors, or
service centers. Once becoming certified, an AES filer (filing agent)
must agree to stay in complete compliance with all export rules and
regulations.
    (b) Letter of Intent. The first requirement for all participation in
AES, including approval for Option 4 filing privileges, is to submit a
complete and accurate Letter of Intent to the Census Bureau. The Letter
of Intent is a written statement of a company's desire to participate in
AES. It must set forth a commitment to develop, maintain, and adhere to
Customs and Census Bureau performance requirements and operations
standards. Once the Letter of Intent is received, a U.S. Customs Client
Representative and a Census Bureau Client Representative will be
assigned to work with the company. The Census Bureau will forward
additional information to prepare the company for filing export data
using the AES. The format and content for preparing the Letter of Intent
is provided in Appendix A of this part.
    (c) General filing and transmission requirements. The data elements
required for filing shipper's export data electronically are contained
in Sec. 30.63. For AES, the difference is that the certified filer must
transmit the shipper's export information electronically using the AES,
rather than delivering the

[[Page 337]]

paper SED to the carrier. When transmitting export information
electronically, the AES filers must comply with the data transmission
procedures determined by Customs and the Census Bureau (See Sec. 30.62
for AES certification, qualifications, and standards).
    (d) General responsibilities of exporters, filing agents, and sea
carriers--(1) Exporter and authorized filing agent responsibilities. The
exporter and/or their authorized agents, certified for AES filing, are
responsible for:
    (i) Transmitting complete and accurate information to the AES (see
Sec. 30.4 (a) and Sec. 30.7 (d)(1), (2), and (e) for a delineation of
responsibilities of exporters and authorized forwarding agents);
    (ii) Transmitting information to the AES in a timely manner in
accordance with the provisions and requirements contained in this
subpart;
    (iii) Responding to messages identified as fatal error, warning,
verify, or reminder generated by AES in accordance with the provisions
contained in this subpart;
    (iv) Providing the exporting carrier with the required exemption
statements or citations when an item or shipment is exempt from SED
filing requirements in accordance with provisions contained in this
subpart;
    (v) Transmitting corrections or cancellations to information
transmitted to the AES as soon as the need for such changes is
determined in accordance with provisions contained in this subpart; and
    (vi) Maintaining all necessary and proper documentation related to
the AES export transaction in accordance with provisions contained in
this subpart.
    (2) Sea carrier responsibilities. The exporting sea carrier also is
responsible for transmitting timely, accurate, and complete manifests
and bills of lading information to AES for all cargo being shipped. The
exporting sea carrier is also responsible for transmitting booking,
receipt of booking, departure, and manifest messages to AES. Customs and
Census Bureau officials, with written agreement of the exporting sea
carrier, can provide for alternative methods of filing manifest and SED
information to that found in this Subpart. For exporting carrier
responsibilities, see Subpart B, of this part, General Requirements--
Exporting Carriers. For electronic filing of manifest information using
the AES, see 19 CFR 4.76, Procedures and responsibilities for electronic
filing of sea manifests through AES.

Sec. 30.61  Electronic filing options.

    As an alternative to filing paper Shipper's Export Declaration forms
(Option 1), three electronic filing options for transmitting shipper's
export information are available to exporters or their authorized filing
agents. Two of the electronic filing options (Options 3 and 4) take into
account that complete information concerning export shipments is not
always available at the time of shipment. The available AES electronic
filing options are as follows:
    (a) AES with full information transmitted prior to exportation
(Option 2). Option 2 provides for the electronic filing of all
information required for exports to AES prior to exportation (see
Sec. 30.63 for information required to be reported electronically). Full
predeparture information is always required to be transmitted to AES for
the following specific types of shipments:
    (1) Used self-propelled vehicles (except those shipped between the
United States and Puerto Rico) as defined in 19 CFR 192.1
    (2) Essential and precursor chemicals requiring a permit from the
Drug Enforcement Administration;
    (3) Shipments defined as ``sensitive'' by Executive Order; and
    (4) Shipments where full export information is required prior to
exportation by a federal government agency.
    (b) AES with partial information transmitted prior to exportation
(Option 3). Option 3 provides for the electronic filing of specified
data elements to the AES prior to exportation (see Appendix B of this
part for a list of specified data elements). Filing Option 3 is
available for all methods of transportation. Used self-propelled
vehicles shipped between the United States and Puerto Rico may be
shipped using filing Option 3. Option 3 is designed for those shipments
for which full data are not available prior to exportation. No prior
approval from

[[Page 338]]

the Census Bureau or Customs is required for certified AES filers to use
Option 3. However, full predeparture information must be transmitted to
the AES for certain specified transactions (as specified in Option 2).
For shipments that require an export license, the exporter must file
using Option 2 or 3, unless the licensing agency specifically approves
the exporter for Option 4 filing for the licensed shipment under its
jurisdiction. Where partial information is provided under Option 3,
complete export information must be transmitted as soon as it is known,
but no later than five (5) working days from the date of exportation.
The exporter or their authorized filing agent must provide the exporting
carrier with a unique shipment reference number prior to exportation.
    (c) AES with no information transmitted prior to exportation (Option
4). Option 4 is only available for approved exporters and requires no
export information to be transmitted electronically using AES prior to
exportation. For approved Option 4 filers, all shipments (other than
those requiring an export license, unless specifically approved by the
licensing agency for Option 4 filing, and those specifically required
under electronic filing Options 2 or 3) by all methods of transportation
may be exported with no information transmitted prior to exportation.
Used self-propelled vehicles, shipped between the United States and
Puerto Rico, by an Option 4 approved exporter, may be shipped using
filing Option 4. Certified AES authorized filing agents or service
centers may transmit information post departure on behalf of approved
Option 4 exporters. All exporters filing a Letter of Intent for Option 4
filing privileges will be cleared through a formal review process by
Customs, the Census Bureau, and other federal government agencies
participating in the AES (partnership agencies) in accordance with
provisions contained in Sec. 30.62. Where exportation is made with no
prior AES filing, complete export information should be transmitted as
soon as it is known, but no later than ten (10) working days from the
date of exportation. The exporter or their authorized agent must provide
the exporting carrier with the exporter's Option 4 AES identification
number prior to exportation.

Sec. 30.62  AES Certification, qualifications, and standards.

    (a) AES certification process. Certification for AES filing will
apply to any exporter, authorized forwarding agent, carrier, non-vessel
operating common carriers (NVOCC), consolidator, port authority,
software vendor, or service center transmitting export information
electronically using the AES. Applicants interested in AES filing must
submit a Letter of Intent to the Census Bureau in accordance with the
provisions contained in Sec. 30.60. Customs and the Census Bureau will
assign client representatives to work with the applicant to prepare them
for AES certification. The AES applicant must perform an initial two-
part communication test to ascertain whether the applicant's system is
capable of both transmitting data to and receiving data from the AES.
The applicant must demonstrate specific system application capabilities.
The capability to correctly handle these system applications is the
prerequisite to certification for participation in the AES. The
applicant must successfully transmit the AES certification test.
Assistance is provided by the Customs' and Census Bureau's client
representatives during certification testing. These representatives make
the sole determination as to whether or not the applicant qualifies for
certification. Upon successful completion of certification testing, the
applicant's status is moved from testing mode to operational mode. Upon
certification, the filer will be required to maintain an acceptable
level of performance in AES filings. The certified AES filer may be
required to repeat the certification testing process at any time to
ensure that operational standards for quality and volume of data are
maintained.
    (1) Filing agent certification. Once an authorized filing agent has
successfully completed the certification process, the exporter(s) using
that agent need no further AES certification of their own. The certified
filing agent must have a properly executed power of attorney, a written
authorization from the exporter, or a SED signed by the

[[Page 339]]

exporter to transmit the exporter's data electronically using the AES.
The exporter or authorized agent that utilizes a service center or port
authority must complete certification testing, unless the service center
or port authority has a formal power of attorney or written
authorization from the exporter to submit the export information on
behalf of the exporter.
    (2) AES certification letter. The Census Bureau will provide the
certified AES filer with a certification letter after the applicant has
been approved for operational status. The certification letter will
include:
    (i) The date that filers may begin transmitting ``live'' data
electronically using AES;
    (ii) Reporting instructions; and
    (iii) Examples of the required AES exemption legends.
    (3) AES filing standards. The certified AES filer's data will be
monitored and reviewed for quality, timeliness, and coverage. The Census
Bureau will notify the AES filer in writing if they fail to maintain an
acceptable level of quality, timeliness, and coverage in the
transmission of export data or fail to maintain compliance with Census
Bureau regulations contained in this chapter. The Census Bureau will
direct that appropriate action to correct the specific situation(s) be
taken.
    (b) Criteria for denial of applications requesting Option 4 filing
status; appeal procedure. Approval for Option 4 filing privileges will
apply only to exporters. However, forwarding agents may apply for Option
4 filing privileges on behalf of an individual exporter. Option 4
applicants must submit a Letter of Intent to the Census Bureau in
accordance with the provisions contained in Sec. 30.60.
    (1) Option 4 approval process. The Census Bureau will distribute the
Letters of Intent for Option 4 filing privileges to Customs and the
other partnership agencies participating in the AES Option 4 approval
process. Failure to meet the standards of the Census Bureau, Customs, or
one of the partnership agencies is reason for nonselection or denial of
the application for Option 4 filing privileges. Each partnership agency
will develop its own internal Option 4 acceptance standards, and each
agency will notify the Census Bureau of the applicant's failure to meet
that agency's acceptance standards. If the Census Bureau does not
receive either notification of denial, or a request for extension from
the partnership agency within thirty (30) calendar days after the date
of referral of the Letter of Intent to the partnership agency, the
applicant is deemed to be approved by that agency. The Census Bureau
will provide the Option 4 applicant with an approval or denial letter.
If a denial letter is issued, the Census Bureau will indicate the
partnership agency that denied the application. The applicant must
contact the denying partnership agency for the specific reason(s) for
denial.
    (2) Grounds for denial of Option 4 filing status. The Census Bureau
may deny an exporter's application for Option 4 filing privileges for
any of the following reasons:
    (i) Applicant is not an established exporter, as defined in this
chapter, with regular operations;
    (ii) Applicant has failed to submit SEDs to the Census Bureau for
processing in a timely and accurate manner;
    (iii) Applicant has a history of noncompliance with Census Bureau
export laws and regulations contained in this chapter;
    (iv) Applicant has been indicted, convicted, or is currently under
investigation for a felony involving a violation of federal export laws
or regulations and the Census Bureau has evidence of probable cause
supporting such violation, or the applicant is in violation of Census
Bureau laws or regulations contained in this chapter; and
    (v) Applicant has made or caused to be made in the Letter of Intent
a false or misleading statement or omission with respect to any material
fact.
    (3) Notice of nonselection and appeal procedures for Option 4
filing. The Census Bureau will notify applicants in writing of the
decision to either deny or approve the applicant for Option 4 filing
privileges within thirty (30) days of receipt of the Letter of Intent by
the Census Bureau, or if a decision cannot be reached at that time, the
applicant will be notified of an expected date for a final decision as
soon as possible

[[Page 340]]

after the thirty (30) calendar days. Applicants for Option 4 filing
privileges denied Option 4 status by other partnership agencies must
contact those agencies regarding the specific reason(s) for nonselection
and for their appeal procedures. Applicants denied Option 4 status by
the Census Bureau will be provided with a specific reason for
nonselection and a Census Bureau point of contact in the notification
letter. Option 4 applicants may appeal the Census Bureau's nonselection
decision by following the appeal procedure and reapplication restriction
provided in paragraph (b) (5) of this section.
    (4) Revocation of Option 4 filing privileges. The Census Bureau may
revoke Option 4 filing privileges of approved Option 4 exporters for the
following reasons:
    (i) The exporter has made or caused to be made in the Letter of
Intent a false or misleading statement or omission with respect to
material fact;
    (ii) The exporter submitting the Letter of Intent is indicted,
convicted, or is currently under investigation for a felony involving a
violation of federal export laws or regulations and the Census Bureau
has evidence of probable cause supporting such violation, or the
applicant is in violation of Census Bureau laws or regulations contained
in this chapter;
    (iii) The exporter has failed to substantially comply with existing
Census Bureau or other agency export regulations; or
    (iv) The Census Bureau determines that continued participation in
Option 4 by an exporter would pose a significant threat to national
security interests such that their continued participation in Option 4
should be terminated.
    (5) Notice of revocation; appeal procedure. Approved Option 4 filers
whose Option 4 filing privileges have been revoked by other agencies
must contact those agencies for their specific revocation and appeal
procedures. When the Census Bureau makes a determination to revoke an
approved Option 4 filer's AES Option 4 filing privileges, the exporter
will be notified in writing of the reason(s) for the decision. The
exporter may challenge the Census Bureau's decision by filing an appeal
within thirty (30) calendar days of receipt of the notice of decision.
In most cases, the revocation shall become effective when the exporter
has either exhausted all appeal proceedings, or thirty (30) calendar
days after receipt of the notice of revocation, if no appeal is filed.
However, in cases when required by national security interests,
revocations will become effective immediately upon notification. Appeals
should be addressed to the Chief, Foreign Trade Division, Bureau of the
Census, Washington, DC 20233. The Census Bureau will issue a written
decision to the exporter within thirty (30) calendar days from the date
of receipt of the appeal by the Census Bureau. If a written decision is
not issued within thirty (30) calendar days, a notice of extension will
be forwarded within that time period. The exporter will be provided with
the reasons for the extension of this time period and an expected date
of decision. Approved Option 4 exporters who have had their Option 4
filing status revoked may not reapply for this status for one year
following written notification of the revocation. Such applications will
not be considered before the one-year time period.

Sec. 30.63  Information required to be reported electronically through
          AES (data elements).

    The information (data elements) listed in this section is required
for shipments transmitted electronically through AES. The data elements
as they pertain to electronic reporting are defined as paragraphs (a),
(b), and (c) of this section. Those data elements that are defined in
more detail in other sections of the FTSR are so noted. The data
elements identified as ``mandatory'' must be reported for each
transmission. The data elements identified as ``conditional'' must be
reported if they are required for or apply to the specific shipment. The
data elements identified as ``optional'' may be reported at the
discretion of the exporter.
    (a) Mandatory data elements are as follows:
    (1) Exporter/exporter identification--(i) Name and address of the
exporter. For details on the reporting responsibilities

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of exporters, see Sec. 30.4 and Sec. 30.7 (d)(1), (2), and (e).
    (ii) Exporter's profile. The exporter's Employer Identification
Number (EIN) or Social Security Number (SSN) and exporter name, address,
contact, and telephone number must be reported with the initial
shipment. Subsequent shipments may be identified by either EIN, SSN, or
DUNS (Dunn and Bradstreet) number. If no EIN, SSN, or DUNS number is
available for the exporter, as in the case of a foreign entity being
shown as exporter as defined in Sec. 30.7(d), the border crossing
number, passport number, or any other number assigned by Customs is
required to be reported. (See Sec. 30.7(d)(2) for a detailed description
of the EIN.)
    (2) Date of exportation/date of arrival. The exporter or the
authorized forwarding or other agent in the export transaction must
report the date the merchandise is scheduled to leave the United States
for all modes of transportation. If the actual date is not known, report
the best estimate of departure. The estimated date of arrival must be
reported for shipments to Puerto Rico. (See Sec. 30.7(r) for additional
information.)
    (3) Ultimate consignee. The ultimate consignee is the person, party,
or designee on the export license who is located abroad and actually
receives the export shipment. The ultimate consignee known at the time
of export must be reported. For goods sold en route, report ``SOLD EN
ROUTE'' and report corrected information as soon as it is known. (See
Sec. 30.7(f) for more information.)
    (4) U.S. state of origin. Report the 2-character postal abbreviation
for the state in which the merchandise begins its journey to the port of
export. (See Sec. 30.7(t)(1) and (2) for more information.)
    (5) Country of ultimate destination. Report the 2-character
International Standards Organization (ISO) code for the country of
ultimate destination. The country of ultimate destination, as shown on
the export license, or the country as known to the exporter or principal
party in interest in the export transaction at the time of export is the
country in which the merchandise is to be consumed or further processed
or manufactured. For goods sold en route, report the country of the
first port of call and then report corrected information as soon as it
is known. (See Sec. 30.7(i) for more information.)
    (6) Method of transportation. The method of transportation is
defined as that by which the goods are exported or shipped. Report one
of the codes listed in Part I of Appendix C of this part. (See
Sec. 30.7(b) for detailed information on method of transportation.)
    (7) Conveyance name. The name of the carrier (sea--vessel name;
others--carrier name) must be reported by the exporter or the exporter's
agent as known at the time of shipment for all shipments leaving the
country by sea, air, truck, or rail. Terms such as ``airplane,''
``train,'' ``truck,'' or ``international footbridge'' are not acceptable
and will generate an error message. (See Sec. 30.7(c) for more
information.)
    (8) Carrier identification. Report the 4-character Standard Carrier
Alpha Code (SCAC) for vessel, rail, and truck shipments and the 2-or 3-
character International Air Transport Association (IATA) Code for air
shipments to identify the carrier actually transporting the merchandise
out of the United States.
    (9) Port of export. Report the code of the Customs port of export in
terms of Schedule D, ``Classification of Customs Districts and Ports.''
(See Secs. 30.7(a) and 30.20(c) and (d) for more information on port of
export.)
    (10) Related/nonrelated indicator. Indicate if the shipment is
between related parties. Report the information as defined in
Sec. 30.7(v).
    (11) Domestic or foreign indicator. Indicate if the commodities are
of domestic or foreign production. Report the information as defined in
Sec. 30.7(p).
    (12) Commodity classification number. Report the 10-digit commodity
classification number as provided in Schedule B, ``Statistical
Classification of Domestic and Foreign Commodities Exported from the
United States'' (Schedule B). The 10-digit commodity classification
number provided in the Harmonized Tariff Schedule (HTS) may be reported
in lieu of the Schedule B Commodity classification number except as
noted in the headnotes of the HTS. (See Sec. 30.7(l) for detailed
information.)

[[Page 342]]

    (13) Commodity description. Report the commercial description in
sufficient detail to permit the verification of the commodity
classification number. (See Sec. 30.7(l) for more information regarding
reporting the description.)
    (14) First net quantity/unit of measure. Report the primary net
quantity in the specified unit of measure and the unit of measure as
prescribed in the Schedule B or HTS or as specified on the export
license.
    (15) Gross shipping weight. Report the gross shipping weight in
kilograms for vessel, air, truck, and rail shipments. Include the weight
of containers, but exclude the weight of carrier equipment. (See
Sec. 30.7(o) for more information.)
    (16) Value. The value shall be the selling price or cost if not
sold, including inland freight, insurance, and other charges to the U.S.
port of export. Report the value in U.S. currency. (See Sec. 30.7(q) for
more information.)
    (17) Export information code. Report the appropriate 2-character
export information code as provided in Part II of Appendix C of this
part.
    (18) Shipment reference number. The filer of the export shipment
provides a unique shipment reference number that allows for the
identification of the shipment in their system. This shipment reference
number must be unique for five years.
    (19) Line item number. Report a line number for each commodity for a
unique identification of the commodity.
    (20) Hazardous material indicator. This is a ``Yes'' or ``No''
indicator identifying the shipment as hazardous as defined by the
Department of Transportation.
    (21) In-bond code. Report one of the 2-character in-bond codes
listed in Part IV of Appendix C of this part to indicate the type of In-
Bond or Not In-Bond shipment.
    (22) License code. Report the 3-character code listed in Part III of
Appendix C of this part to indicate the type of license, permit, license
exemption, or no license required.
    (b) Conditional data elements are as follows:
    (1) Forwarding agent/forwarding agent identification--(i) Name and
address of the forwarding agent. The forwarding agent is any person in
the United States or under jurisdiction of the United States who is
authorized by the exporter to perform the services required to
facilitate the export of merchandise out of the United States or the
person named in the validated export license. (See Secs. 30.4(a) and
30.7(e) for details on responsibilities of forwarding agents).
    (ii) Forwarding agent's profile. The forwarding agent's
identification number, EIN, DUNS, or SSN and name and address must be
reported with the initial shipment. Subsequent shipments may be
identified by the identification number.
    (2) Intermediate consignee. The intermediate consignee is the
intermediary (if any) who acts in a foreign country as an agent for the
exporter or the principal party in interest or the ultimate consignee
for the purpose of effecting delivery of the export shipment to the
ultimate consignee or the person named on the export license. (See
Sec. 30.7(g) for more information.)
    (3) Foreign Trade Zone number. Report the unique 5-character code
assigned by the Foreign Trade Board that identifies the Foreign Trade
Zone from which merchandise is withdrawn for export. (See
Sec. 30.7(t)(3) for more information.)
    (4) Foreign port of unloading. For sea shipments only, the code of
the foreign port of unloading should be reported in terms of the 5-digit
codes designated in Schedule K, ``Classification of Foreign Ports by
Geographic Trade Area and Country.'' For air shipments from the United
States to Puerto Rico, report the Puerto Rico port of unloading. For air
shipments from Puerto Rico to the United States, report the United
States port of unloading. Report the code of the port of unloading in
terms of Schedule D, ``Classification of Customs Districts and Ports.''
(See Sec. 30.7(h) for more information on port of unloading.)
    (5) License number/Code of Federal Regulations (CFR) citation. For
licensable commodities, report the license number of the license issued
for the merchandise. If no license is required, report the regulatory
citation exempting the merchandise from licensing or the

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conditions under which the merchandise is being shipped that make it
exempt from licensing.
    (6) Export Control Classification Number. Report the Export Control
Classification Number for merchandise as required by the Bureau of
Export Administration (BXA) Regulations (15 CFR Parts 730 through 774).
    (7) Second net quantity/unit of measure. When Schedule B requires
two units of quantity to be reported, report the second net quantity in
the specified unit of measure and the unit of measure as prescribed in
the Schedule B or HTS. (See Sec. 30.7(n) for more information.)
    (8) Used self-propelled vehicles. Report the following items of
information for used self-propelled vehicles as defined in 19 CFR 192.1:
    (i) Vehicle Identification Number. Report the unique Vehicle
Identification Number (VIN) in the proper format;
    (ii) Product Identification Number. Report the Product
Identification Number (PIN) for those used self-propelled vehicles for
which there are no VINs;
    (iii) Vehicle title number. Report the unique title number issued by
the Motor Vehicle Administration; and
    (iv) Vehicle title state. Report the 2-character postal abbreviation
for the state or territory of the vehicle title.
    (9) Entry number. Report the Import Entry Number when the export
transaction is to be used as proof of export for import transactions
such as In-Bond, Temporary Import Bond, Drawback, and so forth.
    (10) Wavier of prior notice. This is a ``Yes'' or ``No'' indicator
to determine if the person claiming drawback received a waiver of prior
notice for the exported merchandise.
    (11) Transportation reference number. Report the booking number for
all sea shipments. The booking number is the reservation number assigned
by the carrier to hold space on the vessel for the cargo being exported.
    (12) Equipment number. Report the container number for containerized
shipments. This number may be reported in conjunction with the booking
number.
    (13) Filing option indicator. Report the 1-character filing option
that indicates Option 3 or Option 4 filing, or the AES-Post Departure
Authorized Special Status (PASS) standard or expanded IOU's, if
applicable.
    (c) Optional data elements are as follows:
    (1) Marks and numbers. The exporter or the authorized forwarding
agent in the export transaction may opt to report any special marks or
numbers that appear on the physical merchandise or its packaging that
can identify the shipment or a portion thereof. (See Sec. 30.7(j) for
more information.)
    (2) Seal number. Report the security seal number of the seal placed
on the equipment.

Sec. 30.64  Transmitting and correcting AES information.

    (a) The exporter or their authorized filing agent is responsible for
electronically transmitting corrections, cancellations, or amendments to
shipment information previously transmitted using the AES. Corrections,
cancellations, or amendments should be made as soon as possible after
exportation when the error or omission is discovered.
    (b) For shipments where the exporter or their authorized filing
agent has received an error message from AES, the corrections must take
place as required. A fatal error message will cause the shipment to be
rejected. This error must be corrected prior to exportation of the
merchandise. For shipments where a warning message is received, the
correction must be made within four (4) working days of receipt of the
transmission, otherwise AES will generate a reminder message to the
filer. For shipments with a verify message, corrections when warranted,
should be made as soon as possible after notification of the error by
the AES.

Sec. 30.65  Annotating the proper exemption legends for shipments
          transmitted electronically.

    The exporter or their authorized forwarding agent is responsible for
annotating the proper exemption legend on the bill of lading, airway
bill, or other commercial loading document for presentation to the
carrier, either on paper or electronically prior to export. The
exemption legend will identify that the shipment information has been
transmitted electronically using the AES.

[[Page 344]]

The exemption legend will include the statement ``NO SED REQUIRED--AES''
followed by the filer's identification number and a unique shipment
reference number or the returned confirmation number. For exporters who
have been approved to participate in Filing Option 4, the exemption
statement, ``NO SED REQUIRED--AES,'' should include the exporter's
identification number and the filer's identification number if other
than the exporter. The exemption legend must appear on the first page of
the bill of lading, airway bill, or other commercial loading document
and must be clearly visible.

Sec. 30.66  Recordkeeping and documentation requirements.

    All parties to the export transaction (owners and operators of the
exporting carriers and exporters and their authorized agents) must
retain documents or records verifying the shipment for five (5) years
from the date of export. Customs, the Census Bureau, and other
participating agencies may require that these documents be produced at
any time within the 5-year time period for inspection or copying. These
records may be retained in an elected format including electronic or
hard copy as provided in the applicable agency's regulations. Acceptance
of the documents by Customs or the Census Bureau does not relieve the
exporter or their authorized agent from providing complete and accurate
information after the fact.

               Subpart F--General Requirements--Importers

    Source: 41 FR 9134, Mar. 3, 1976, unless otherwise noted.
Redesignated at 64 FR 40977, July 28, 1999.

Sec. 30.70  Statistical information required on import entries.

    Information for statistics on merchandise entering the United States
from foreign countries, U.S. Foreign Trade Zones, and from the Virgin
Islands of the United States, and other nonforeign areas (except Puerto
Rico), is required to be reported by importers on the following Customs
entry and withdrawal forms respectively required by U.S. Customs
regulations for individual transactions: Custom Forms 7500, 7501, 7502,
7505, 7506, 7519, 7521, and 7535, and on Customs Form 7512 when used as
an intransit entry to document immediate exportation or transportation
and exportation. Upon request, the importer or import broker must
provide the Census Bureau with information or documentation necessary to
verify the accuracy or resolve problems regarding the reported import
transaction received by the Census Bureau. The following items of
information for statistics shall be reported on the respective forms:
\7\
---------------------------------------------------------------------------

    \7\ The information required for statistical purposes is in most
cases also required by Customs regulations for other purposes. (See
Sec. 30.80 for special reporting instructions for merchandise entering
United States Customs Territory from United States Foreign Trade Zones.)
---------------------------------------------------------------------------

    (a) District and port code. (All forms.) The Customs district code
number and the port code number (as shown in Schedule D, Classification
of Customs Districts and Ports) for the Customs port of entry or filing
shall be supplied. (Where Customs does not require that the District and
Port codes be inserted by importers, the codes will be filled in by
Customs so that all entries and withdrawals received by the Bureau of
the Census will bear these codes.)
    (b) Importing vessel or carrier. (Not required for merchandise
entering U.S. Customs territory from U.S. Foreign Trade Zones.) (1)
(Customs Forms 7501, 7502, 7512, and 7521.) Information is required as
to the carrier or means of transportation by which the merchandise was
transported from a foreign country to the first port of unloading in the
United States. If the merchandise has been further transported in bond
between ports in the United States after having been unladen from the
carrier on which it arrived in the United States, the name of the
domestic carrier shall not be substituted, and the information furnished
shall reflect the name of the carrier or means of transportation by
which the merchandise arrived in the first U.S. port of unlading.
    (2) For merchandise arriving in the United States by vessel, the
name of the importing vessel is required. The

[[Page 345]]

importing vessel is the vessel which transported the merchandise from
the foreign port of lading to the first U.S. port of unlading.
    (3) For merchandise arriving in the United States by air, the name
and nationality of the importing airline is required. The importing
airline is the airline which carried the merchandise from the foreign
port of lading to the first U.S. port of unlading, and not a domestic
airline carrying the merchandise after the initial unlading in the
United States.
    (4) For merchandise arriving in the United States by means of
transportation other than vessel or air, the means of transportation
from the foreign country is required, in such terms as ``parcel post,''
``registered mail,'' ``railroad,'' ``trucks,'' ``pipeline,'' etc.
    (c) Foreign port of lading. (1) (Customs Forms 7501, 7502, 7512 and
7521.) For merchandise arriving in the United States by vessel or air,
the name and country of the foreign port at which the merchandise was
actually loaded on the vessel or aircraft that carried the merchandise
to the United States is required. This information is not required for
merchandise entering the U.S. Customs territory from a U.S. Foreign
Trade Zone. For shipments originating in either Canada or Mexico by
rail, truck, pipeline, or other nonvessel/nonair mode of transportation,
supply the name of the province (Canada) or state (Mexico) where the
merchandise was first loaded for exportation to the United States.
    (2) For merchandise transshipped overseas in the course of shipment
to the United States, whether or not covered by a through bill of
lading, the information furnished shall reflect only the foreign port at
which the merchandise was loaded on the vessel, aircraft, or other
carrier which transported it to the first U.S. port of unlading. Neither
the foreign port of original lading nor any port of lading other than
the last foreign port of lading shall be substituted. When a single
Customs form covers merchandise loaded at more than one foreign port,
the foreign port of lading shall be indicated separately in the ``Marks
and numbers and Country of origin'' column immediately below the Country
of origin designation and on the same line as the merchandise laden at
each foreign port.
    (3) For merchandise entering the U.S. Customs territory from a U.S.
Foreign Trade Zone, the number of the Foreign Trade Zone, preceded by
the letters ``FTZ'' shall be shown in this space.
    (d) U.S. port of unlading. (Not required for merchandise entering
U.S. Customs territory from U.S. Foreign Trade Zones.) (1) (Customs
Forms 7501, 7502, 7512, and 7521.) For merchandise arriving in the
United States by vessel or air, the U.S. port (as listed in Schedule D)
at which the merchandise was unloaded from the importing vessel or
aircraft is required, whether or not such port is a Customs port of
entry. (For example, if entry is filed at the Port of Los Angeles for
merchandise unloaded from the importing vessel at Long Beach,
California, the entry should show Long Beach as the port of unlading.)
    (2) When merchandise is transported in bond from the U.S. port where
unladen from the importing vessel or carrier to another U.S. port or
ports to be entered for consumption or warehouse, the port of unlading
required to be shown on the consumption or warehouse entry is the port
or point where the merchandise was unladen from the importing vessel or
carrier before transportation in bond.
    (e) Date of importation. (All forms.) For merchandise arriving in
the United States by vessel, the month, day, and year on which the
importing vessel transporting the merchandise from the foreign country
arrived within the limits of the U.S. port at which the merchandise was
or is to be unladen is required. The date of importation to be reported
for merchandise arriving in the United States other than by vessel is
the date on which the merchandise arrives within the limits of the
United States.
    (f) Country of origin. (1) (All forms.) Country of origin shall be
reported in the ``marks and numbers and country of origin'' column on
entry and withdrawal forms (in the ``marks and numbers'' column on Forms
7512 and 7500), the ``country of origin'' space on the Special Customs
Invoice form, and in a conspicuous place on commercial invoices supplied
to Customs where the

[[Page 346]]

Special Customs Invoice form is not required. On multipage entries,
country of origin should be shown on each page.
    (2) Country of origin shall be reported in terms of the names
designated in Schedule C-I, ``Classification of Country and Territory
Designations for U.S. Import Statistics,'' unless a more specific
geographic area is required to be shown for other purposes. The country
of origin is defined as the country in which the product was mined,
grown or manufactured. Further labor, work or material added to an
article in another foreign country or the Virgin Islands of the United
States must effect a substantial transformation in order to render such
other country the ``country of origin.'' Such substantial
transformations include smelting of ores, refining of crude products,
and the like. The country of origin is not changed when the merchandise
is subjected in another country merely to minor manipulations, such as
sorting, grading, and the like. When the merchandise is invoiced in or
exported from a country other than that in which it originated, the
actual country of origin shall be specified rather than the country of
invoice or exportation. The country of origin for imports of scrap and
waste is the country in which the merchandise was reduced to scrap or
waste. In the case of such commodities as industrial diamonds or
antiques, if the origin of the merchandise is not known or cannot be
ascertained with reasonable effort, the country from which the
merchandise has been shipped shall be shown and shall be indicated as
the ``Country of Shipment.''
    (3) Except as provided below, the country of origin shown on import
entries and withdrawals should be based on information furnished by the
foreign supplier on import invoices. The importer should inform his
foreign supplier of the requirements and definitions of this section and
instruct the foreign supplier to furnish information on the invoice as
to country of origin in accordance with the above definition. If an
invoice from the foreign supplier is not available at the time of entry,
the importer shall enter the correct country of origin according to his
best knowledge. In any case where the importer has reliable knowledge
that the country of origin shown on the invoice is incorrect, he shall
enter on the form the correct country of origin according to his best
knowledge, indicating that it is a correction.
    (4) When a single Customs form covers merchandise from more than one
country of origin, the country of origin shall be indicated separately
against each item (or group of items).
    (g) Description of merchandise. (All forms.) Except on Customs Form
7512 when used as an Immediate Exportation or Transportation and
Exportation entry, the description of merchandise shall be in terms of
the Tariff Act in accordance with the Tariff Schedules of the United
States Annotated for Statistical Reporting (TSUSA) and in sufficient
detail to permit the identification of the TSUSA statistical reporting
number to which each commodity properly belongs. The name of the
commodity and any and all characteristics of the commodity which
distinguish it from commodities of the same name covered by other TSUSA
statistical reporting numbers shall be clearly and fully stated. For
merchandise classified in TSUSA classifications for which the
instruction ``specify by name'' is shown in TSUSA the specific name of
the commodity or a further identifying description in addition to the
description in the more general terms of the commodity classification
definition is required. When Customs Form 7512 is used as an Immediate
Exportation or Transportation and Exportation entry importers need only
report in terms of the first five digits of TSUSA (i.e., in terms of
TSUS).
    (h) Gross weight in pounds. (Customs Forms 7501, 7502, 7512, and
7521, for merchandise transported to the United States by vessel or air
only.) Gross shipping weight in pounds shall be reported in column (2a)
immediately below the description of merchandise (in ``Gross Weight in
Pounds'' column on Form 7512 on the same horizontal line with value).
Separate gross weight information is required for the merchandise
covered by each reporting number, but if gross weight is not available
for each reporting number included in one or more packages, approximate
shipping weight for each

[[Page 347]]

item shall be estimated and reported. The total of these estimated
weights should equal the actual gross shipping weight of the entire
package or packages. However, for containerized cargo carried in lift
vans, cargo vans, or similar substantial outer containers, the weight of
such containers should not be included in the gross shipping weight of
the merchandise covered by each reporting number.
    (i) Net quantity. (All forms except 7535.) When a unit of quantity
is specified in TSUSA for the reporting number under which the item is
reported, net quantity shall be reported in the specified unit, and
(except where the unit is ``No.'' (number)) the unit in which reported
shall also be shown on the entry following the net quantity figure. In
cases where two units of quantity are shown for the commodity in TSUSA,
net quantity shall be reported on the import entry in each of the
specified units with the unit indicated in each case. The quantity in
terms of the unit marked with a superior ``v'' in TSUSA should be shown
on the entry on the same horizontal line with the value. The quantity in
terms of any other units specified in TSUSA should be shown below the
first quantity and should be enclosed in parentheses. If no unit of
quantity is specified in TSUSA for the reporting number under which the
item is reported, net quantity is not required to be reported on the
import entry, and an ``X'' shall be entered in the ``net quantity''
column. Where the unit of quantity specified in TSUSA is ``tons,'' long
tons of 2,240 pounds shall be reported unless short tons of 2,000 pounds
are specified in TSUSA. Quantities shall be shown in whole units unless
fractions of units are required for Customs purposes.
    (j) Value. (All forms.) Except on Customs Form 7512 when used as an
Immediate Exportation or Transportation and Exportation entry, the
dollar value shall be reported on the forms in accordance with the
definitions set forth in the Tariff Schedules of the United States
Annotated (TSUSA) and sections 402 and 402a of the Tariff Act of 1930,
as amended. Moreover, the value shall be reported in accordance with the
format prescribed in the U.S. Customs Regulations. (On Customs Form 7512
when used as an Immediate Exportation entry, only the Customs value in
accordance with sections 402 and 402a of the Tariff Act of 1930, as
amended, need be reported.)
    (k) TSUSA reporting number. (All forms.) Except on Customs Form 7512
when used as an in-transit entry, the reporting number according to the
current edition of the Tariff Schedules of the United States Annotated
shall be shown in the column provided on the form. The reporting number
assigned shall reflect the correct TSUSA classification of the
merchandise and be consistent with the rate of duty applicable to the
commodity. Where correct reporting as indicated in TSUSA requires the
use of more than one TSUSA commodity number, all required reporting
numbers will be shown for an item on the Customs form. On Customs Form
7512 when used as an Immediate Exportation or Transportation and
Exportation entry, the reporting number, in terms of the first five
digits of TSUSA (TSUS), is required to be shown in the column provided
on the form for ``Description and Quantity of Merchandise.'' This code
should appear to the right of that column, on the same line as the
reported gross weight and value.

[41 FR 9134, Mar. 3, 1976, as amended at 42 FR 59839, Nov. 22, 1977; 47
FR 29829, July 9, 1982; 65 FR 42565, July 10, 2000]

      Subpart G--Special Provisions for Particular Types of Import
                              Transactions

    Source: 41 FR 9134, Mar. 3, 1976, unless otherwise noted.
Redesignated at 64 FR 40977, July 28, 1999.

Sec. 30.80  Imports from Canada.

    (a) When certain softwood lumber products described under Harmonized
Tariff Schedule of the United States (HTSUS) subheadings 4407.1000,
4409.1010, 4409.1090, and 4409.1020 are imported from Canada, import
entry records are required to show a valid Canadian Province of
Manufacture Code. The Canadian Province of Manufacture is determined on
a first mill basis (the point at which the item was first manufactured
into a covered lumber product). For purposes of determination,

[[Page 348]]

Province of Manufacture is the first province where the subject
merchandise underwent a change in tariff classification to the tariff
classes cited in this paragraph (a). The Province of Manufacture Code
should replace the Country of Origin code on the CF 7501, Entry Summary
form. For electronic Automated Broker Interface (ABI) entry summaries,
the Canadian Province Code should be transmitted in positions 6-7 of the
A40 records. These requirements apply only for imports of certain
softwood lumber products for which the Country of Origin is 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 Province of Origin to be reported
on U.S. entry summary records. This information is required only for
United States imports that under applicable Customs rules of origin are
determined to originate in Canada. For nonmanufactured goods determined
to be of Canadian origin, the Province of Origin is defined as the
Province 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 Province
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 province in which the merchandise was manufactured or
assembled or grown, mined, or otherwise produced is unknown, the
province in which the Canadian vendor is located can be reported. For
those reporting on paper forms the Province of Origin code replaces the
country of origin code on the CF 7501, Entry Summary form.
    (c) All electronic Automated Broker Interface (ABI) entry summaries
for imports originating in Canada also require the new Canadian Province
of Origin code to be transmitted for each entry summary line item in the
A40 record positions 6-7.
    (d) The Province of Origin code replaces the Country of Origin code
only for imports that have been determined, under applicable Customs
rules, to originate in Canada. Valid Canadian Province/Territory codes
are:

XA--Alberta
XB--New Brunswick
XC--British Columbia
XM--Manitoba
XN--Nova Scotia
XO--Ontario
XP--Prince Edward Island
XQ--Quebec
XS--Saskatchewan
XT--Northwest Territories
XV--Nunavut
XW--Newfoundland
XY--Yukon

[61 FR 60532, Nov. 29, 1996; 61 FR 65319, Dec. 12, 1996, as amended at
64 FR 24943, May 10, 1999]

Sec. 30.81  Imports of merchandise into Guam.

    (a) Carriers of merchandise to Guam shall not be permitted to unload
cargo in Guam until the master or other person in charge of the carrier
shall deliver to the Government of Guam at the place of unloading a
manifest, cargo list, freight list or equivalent document showing a
detailed account of merchandise destined for Guam on board such carrier,
with the numbers and description of the packages according to their
usual name or designation.
    (b) For each shipment imported into Guam except as listed in
paragraph (d) of this section, the importer in Guam shall furnish to the
Government of Guam at the port of entry of the merchandise at the time
of or prior to taking possession of such merchandise, the commercial
invoice covering the shipment attached to a copy of the bill of lading
or air waybill signed by the carrier. (Where the shipment is one for
which no bill of lading (or air waybill) is utilized only a copy of the
commercial invoice need be furnished.) In individual cases, where
warranted in the opinion of the Government of Guam, the Government of
Guam may release merchandise to the consignee prior to receipt of the
commercial invoice and/or bill of lading or air waybill in the case of
perishable articles or other merchandise, the immediate delivery of
which is necessary.

[[Page 349]]

    (c) Information concerning individual transactions furnished to the
Government of Guam pursuant to these regulations may not be disclosed by
those having possession of or access to any copies of such information
for official purposes, to anyone other than the exporter or importer
except as specifically directed by the Bureau of the Census.
    (d) The following kinds of shipments are not to be included in the
statistics on shipments from the United States to Guam and the
documentation prescribed in paragraphs (a) and (b) of this section shall
not be required for statistical purposes:
    (1) Shipments to the U.S. Armed Forces;
    (2) Shipments of office furniture, office equipment, and office
supplies, to and for the exclusive use of U.S. Government offices;
    (3) Baggage and personal effects, accompanied or unaccompanied, of
persons leaving the U.S., and tools of trade, as described in
Sec. 30.56(a) and (b).

Sec. 30.82  Identification of U.S. merchandise returned for repair and
          reexport.

    Import entries covering U.S. merchandise imported temporarily for
repair or alteration and reexport are required to show the following
statement: ``Imported for Repair and Reexport.''

Sec. 30.83  Statistical copy of mail and informal entries.

    A legible copy of all mail and informal entries is required for
statistical purposes. In addition to the information required to be
shown for customs purposes, the value is also required to be shown for
all merchandise including that not subject to duty.

              Subpart H--General Administrative Provisions

    Source: 41 FR 9134, Mar. 3, 1976, unless otherwise noted.
Redesignated at 64 FR 40977, July 28, 1999.

Sec. 30.90  Confidential information, import entries and withdrawals.

    The contents of the statistical copies of import entries and
withdrawals on file with the Bureau of the Census are treated as
confidential and will not be released without authorization by the U.S.
Customs Service, in accordance with the policy set forth in 19 CFR 103.4
(Customs Regulations) relating to the copies on file in Customs offices.

Sec. 30.91  Confidential information, Shipper's Export Declarations.

    (a) Confidential status. The Shipper's Export Declaration is an
official Department of Commerce form, prescribed jointly by the Bureau
of the Census and the Bureau of Export Administration. Information
required thereon is confidential, whether filed electronically or in any
other approved format, for use solely for official purposes authorized
by the Secretary of Commerce. Use for unauthorized purposes is not
permitted. Information required on the Shipper's Export Declarations may
not be disclosed to anyone except the exporter or his agent by those
having possession of or access to any copy for official purposes, except
as provided in paragraph (e) of this section.
    (b) Copying of information to manifests not permitted. Since certain
types of information from the outward manifests of ocean carriers can be
made public under the provisions of the Customs Regulations, carriers
are not permitted to copy information to manifests (or to bills of
lading used in lieu of a listing of cargo on a manifest) from Shipper's
Export Declarations in their possession for official purposes, except
for (1) the bill of lading number on the declaration, (2) information on
the declaration which is identical with bills of lading or other sources
of information available to the carrier, and (3) items of information
which are required by Export Administration Regulations to be identical
or consistent on both documents.
    (c) Supplying of copies by exporters for unofficial purposes not
permitted. The regulations in this part spell out precise definitions to
be followed in reporting information on Shipper's Export Declarations.
Strict adherence to these definitions is necessary if the official
purposes for which the forms are required are to be effectively
accomplished. Because of the possibility that

[[Page 350]]

for other purposes different definitions would be appropriate, the
supplying by exporters of any copies (or of the information from copies)
for any unofficial purpose is considered detrimental to official
objectives and is not permitted.
    (d) Limitations on issuance and reproduction of copies. Consistent
with the policy stated in paragraph (c) of this section, and with the
confidential status of the document generally, the following limitations
are placed upon the issuance of copies to exporters or their agents:
    (1) A copy of a Shipper's Export Declaration may be supplied to
exporters or their agents only when such a copy is needed by the
exporter to comply with: (i) Official requirements for presentation of a
copy to the exporting carrier as authorization for export, (ii) export
control requirements, or (iii) U.S. Department of Agriculture
requirements for proof of export in connection with subsidy payments.
Copies issued to exporters or their agents under paragraph (d)(1) (ii)
or (iii) of this section will be stamped as follows by the Customs
Director:

    Certified pursuant to the Export Administration Regulations or to
fulfill the requirements of a Federal Agency and not for any other
purpose. May not be reproduced in any form.

    (2) Use of copies of the Shipper's Export Declaration in connection
with claims for exemption from internal revenue taxes or state taxes is
not permitted.
    (e) Determination by the Secretary of Commerce. When the Secretary
of Commerce or delegate determines that the withholding of information
provided by an individual Shipper's Export Declaration is contrary to
the national interest, the Secretary or delegate may make such
information available, taking such safeguards and precautions to limit
dissemination as deemed appropriate under the circumstances. In
recommendations regarding such actions, the Bureau of the Census will,
in general, consider that it is not contrary to the national interest to
withhold information on Shipper's Export Declarations from private
individuals or businesses (except the exporter or the agent of the
exporter) or from state or local government agencies or officials,
regardless of the purposes for which the information may be requested.
In recommendations regarding any other requests for access to official
copies, a judgment in the light of circumstances will be made as to
whether it is contrary to the national interest to apply the exemption,
keeping in view that the maintenance of confidentiality has in itself an
important element of national interest.

(13 U.S.C.302; and 5 U.S.C. 301; Reorg. Plan No. 5 of 1950, Department
of Commerce Organization Order No. 35-2A, August 4, 1975, 40 FR 42765)

[41 FR 9134, Mar. 3, 1976, as amended at 47 FR 7213, Feb. 18, 1982; 48
FR 52701, Nov. 22, 1983; 64 FR 40981, July 28, 1999]

Sec. 30.92  Statistical classification schedules.

    The following statistical classification schedules referred to in
the regulations in this part are hereby incorporated by reference.
Information as to where copies may be obtained is indicated. Copies are
available for public inspection at the offices of local Customs
Directors and Department of Commerce District Offices.

    TSUSA--Tariff Schedules of the United States Annotated for
Statistical Reporting, as currently revised, shows the 7-digit
statistical reporting number to be used in preparing import entries and
withdrawal forms. TSUSA may be purchased from the Superintendent of
Documents, U.S. Government Printing Office, Washington, D.C. 20402,
local Customs Directors, or Department of Commerce District Offices
located in principal cities. Purchase price includes the basic schedule
plus revisions as currently issued for an indefinite period.
    Schedule B--Statistical Classification of Domestic and Foreign
Commodities Exported from the United States, as currently revised, shows
the detailed commodity classification requirements and 7-digit
statistical reporting numbers to be used in preparing Shipper's Export
Declarations, as required by these regulations. Schedule B may be
purchased from the Superintendent of Documents, U.S. Government Printing
Office, Washington, D.C. 20402, local Customs Directors, or Department
of Commerce District Offices located in principal cities. Purchase price
includes the basic schedules and supplements issued irregularly,
covering revision in the schedule for an indefinite period.

[[Page 351]]

    Schedule C-E--Classification of Country and Territory Designations
for U.S. Export Statistics. Free from the Bureau of the Census,
Washington, D.C. 20233.
    Schedule C-I--Classification of Country and Territory Designations
for U.S. Import Statistics. Free from the Bureau of the Census,
Washington, D.C. 20233.
    Schedule D--Classification of Customs Districts and Ports. Free from
the Bureau of the Census, Washington, D.C. 20233.

(13 U.S.C. 302; 5 U.S.C. 301; Reorganization Plan No. 5 of 1950;
Department of Commerce Organization Order No. 35-2A, Aug. 4, 1975, 40 FR
42765)

[41 FR 9134, Mar. 3, 1976, as amended at 42 FR 59840, Nov. 22, 1977; 43
FR 56031, Nov. 30, 1978; 44 FR 1971, Jan. 9, 1979]

Sec. 30.93  Emergency exceptions.

    In individual cases of emergency, where strict enforcement of the
regulations in this part would create undue hardship, the Foreign Trade
Division of the Bureau of the Census, with the concurrence of the Office
of Export Administration in cases where export control requirements are
also involved, may authorize such postponements of or exceptions to the
requirements of the regulation in this part as are warranted by the
circumstances and not inconsistent with the aims of this chapter.

Sec. 30.94  Instructions to Customs.

    Instructions of a continuing nature to Customs with respect to the
forwarding of statistical copies of forms and the preparation of special
statistical reports not involving requirements upon the public will not
be included in the regulations in this part, but will, instead be
transmitted to Customs through appropriate administrative channels.

Sec. 30.95  Penalties for violations.

    Any person who violates any provisions of this part, except for
violations of the provisions relating to delayed filing of documents
under bond as provided by Sec. 30.24, shall be liable to the United
States in civil penalty not exceeding $1,000 for each violation, as
authorized by section 305 of Chapter 9 of Title 13 of the United States
Code.

Sec. 30.99  OMB control numbers assigned pursuant to the Paperwork
          Reduction Act.

    (a) Purpose. This subpart will comply with the requirements of
section 3507(f) of the Paperwork Reduction Act (PRA) which requires that
agencies display a current control number assigned by the Director of
OMB for each agency information collection requirement.
    (b) Display.

------------------------------------------------------------------------
    15 CFR section where identified and
                 described                     Current OMB control no.
------------------------------------------------------------------------
30.1 through 30.7.........................  0607-0001, -0018, -0150, -
                                             0152
30.8......................................  0607-0001
30.9 through 30.11........................  0607-0001, -0018, -0152
30.12 and 30.15...........................  0607-0001, -0018, -0152
30.16.....................................  0607-0001, -0018, -0150, -
                                             0152
30.20 through 30.24.......................  0607-0001, -0018, -0150, -
                                             0152
30.30 through 30.31.......................  0607-0018, -0150, -0152
30.33 through 30.35 and 30.37.............  0607-0001, -0018, -0150, -
                                             0152
30.39.....................................  0607-0018, -0150, -0152
30.40, 30.41, and 30.50 through 30.53.....  0607-0001, -0018, -0150, -
                                             0152
30.54.....................................  0607-0018
30.55 through 30.57.......................  0607-0001, -0018, -0150, -
                                             0152
30.82.....................................  0607-0018, -0152
30.91 through 30.95.......................  0607-0001, -0018, -0150, -
                                             0152
------------------------------------------------------------------------

[48 FR 56744, Dec. 23, 1983]

  Appendix A to Part 30--Format for Letter of Intent, Automated Export
                              System (AES)

    A. Letters of Intent should be on company letterhead and must
include:

1. Company Name, Address (no P.O. Boxes), City, State, Postal Code
2. Company Contact Person, Phone Number, Fax Number, E-mail Address
3. Technical Contact Person, Phone Number, Fax Number, E-mail Address
4. Corporate Office Address, City, State, Postal Code
5. Computer Site Location Address, City, State, Postal Code
6. Type of Business--Exporter, Freight Forwarder/Broker, Carrier, NVOCC,
          Port Authority, Software Vendor, Service Center, etc.
          (Indicate all that apply.)
    (i) Are you currently an AERP Participant? What is the AERP symbol?
    (ii) Freight Forwarder/Brokers indicate the number of exporters for
whom you file export information (AERP and SEDs).
    (iii) Exporters indicate whether you are applying for AES, Option 4
filing, or both.
7. U.S. Ports of Export Currently Utilized
8. Average Monthly Volume of Export Shipments (Monthly SED volume)
9. Average Monthly Value of Export Shipments (Monthly SED volume)

[[Page 352]]

10. Filer Code--EIN, DUNS, SSN, or SCAC (Indicate all that apply.)
11. Software Vendor Name, Contact, and Phone Number (if using vendor
          provided software)
12. Look-a-Like Remote to Copy (as provided by vendor)
13. Modes of Transportation used for export shipments (Air, Vessel,
          Truck, Rail, etc.)
14. Types of Merchandise exported
15. Types of Licenses or Permits
16. Anticipated Implementation Date

    B. The following self-certification statement, signed by an officer
of the company, must be included in your letter of intent: ``I hereby
certify that Company Name is, and will continue to be, in compliance
with all applicable laws and regulations.''
    C. Send AES Letter of Intent to: Chief, Foreign Trade Division, U.S.
Census Bureau, Washington, DC 20233. Or, the copy can be faxed to: 301-
457-1159.

[64 FR 40981, July 28, 1999]

 Appendix B to Part 30--Required Pre-Departure Data Elements for Filing
                                Option 3

(1) Identifier of Exporter--EIN, etc.
(2) Forwarding Agent I.D.--EIN, etc.
(3) Carrier I.D. (SCAC or IATA).
(4) Country of Ultimate Destination--ISO code.
(5) Name of Ultimate Consignee.
(6) (a) Commodity description or (b) Optional--Schedule B No. or HTS
          code
(7) Shipment reference number (17 characters or less). The filer of the
export shipment provides a unique shipment reference number that allows
for the identification of the shipment in their system. This shipment
reference number must be unique for five years.
(8) Intended U.S. Port of Export
(9) Estimated Date of Export
(10) Transportation Reference Number, e.g., vessel booking number
(11) Method of Transportation (MOT) code
(12) HAZMAT--Y/N
(13) License code
(14) Export License Number

[64 FR 40981, July 28, 1999]

          Appendix C to Part 30--Electronic (AES) Filing Codes

                 Part I--Method of Transportation Codes

10  Sea
11  Sea Containerized
12  Sea (Barge)
20  Rail
21  Rail Containerized
30  Truck
31  Truck Containerized
32  Auto
33  Pedestrian
34  Road, Other
40  Air
41  Air Containerized
50  Mail
60  Passenger, Hand Carried
70  Fixed Transport (Pipeline and Powerhouse)

                    Part II--Export Information Codes

LC  Shipments valued $2,500 or less per classification number that are
          required to be reported
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
DB  Drawback
CH  Shipments of goods donated for charity
FS  Foreign Military Sales
OS  All other exports
HV  Shipments of personally owned vehicles
HH  Household and personal effects
SR  Ship's stores
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
LV  Shipments valued $2,500 or less that are not required to be reported
SS  Carriers' stores for use on the carrier
MS  Shipments consigned to the U.S. Armed Forces
GS  Shipments to U.S. government agencies for their use
DP  Diplomatic pouches
HR  Human remains
UG  Gift parcels under Bureau of Export Administration License Exception
          GFT
IC  Interplant correspondence
SC  Instruments of international trade
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
RJ  Inadmissible merchandise

(For Manifest Use Only by AES Carriers)

RP  Shipment information filed through Census Bureau's AERP
AE  Shipment information filed through AES

(See Secs. 30.50 through 30.58 for information on filing exemptions.)

[[Page 353]]

                         Part III--License Codes

 Department of Commerce, Bureau of Export Administration (BXA) Licenses

C30  BXA Licenses
C31  SCL
C32  NLR (CCL/NS Column 2)
C33  NLR (All Others)
C34  Future Use
C35  LVS
C36  GBS
C37  CIV
C38  TSR
C39  CTP
C40  TMP
C41  RPL
C42  GOV
C43  GFT
C44  TSU
C45  BAG
C46  AVS
C47  APR
C48  KMI
C49  TAPS
C50  ENC

                Nuclear Regulatory Commission (NRC) Codes

N01 NRC Form 250/250A
N02 NRC General License

   Department of State, Office of Defense Trade Controls (ODTC) Codes

SAG  Agreements
S00  License Exemption Citation
S05  DSP-5
S61  DSP-61
S73  DSP-73
S85  DSP-85

  Department of Treasury, Office of Foreign Assets Control (OFAC) Codes

T10  OFAC Specific License
T11  OFAC General License

                           Other License Types

OPA  Other Partnership Agency Licenses not listed above

                         Part IV--In-Bond Codes

70  Not-In-Bond
36  Warehouse Withdrawal for Immediate Exportation
37  Warehouse Withdrawal for Transportation and Exportation
62  Transportation and Exportation
63  Immediate Exportation
67  Immediate Exportation from a Foreign Trade Zone
68  Transportation and Exportation from a Foreign Trade Zone

[64 FR 40982, July 28, 1999]