______________________________________________________________________
WAIS Document Retrieval[Code of Federal Regulations]
[Title 15, Volume 1]
[Revised as of January 1, 2004]
From the U.S. Government Printing Office via GPO Access
[CITE: 15CFR30]

[Page 303-351]
 
______________________________________________________________________

                  TITLE 15--COMMERCE AND FOREIGN TRADE
 
         CHAPTER I--BUREAU OF THE CENSUS, DEPARTMENT OF COMMERCE
______________________________________________________________________


 
PART 30_FOREIGN TRADE STATISTICS


______________________________________________________________________
 Subpart A_General Requirements_U.S. Principal Party In Interest (USPPI)
______________________________________________________________________

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 for presenting the SED, exemption legends or proof 
          of filing citations.
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 SEDs or AES exemption legends and 
          AES proof of filing citations 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 or proof of filing 
          citations for shipments transmitted electronically.
30.66 Support, documentation and recordkeeping requirements.


______________________________________________________________________
                Subpart F_General Requirements_Importers
______________________________________________________________________

30.70 Statistical information required on import entries.

[[Page 304]]

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 CBP.
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 [Reserved]
Appendix C to Part 30--Electronic (AES) Filing Codes

    Authority: 5 U.S.C. 301; 13 U.S.C. 301-307; 19 U.S.C. 3901-3913; 
Reorganization Plan 5 of 1950 (3 CFR 1949-1953 Comp., 1004); E.O. 13312; 
and Department of Commerce Organization Order No. 35-2A, July 22, 1987, 
as amended, and No. 35-2B, December 20, 1996, as amended.

    Source: 41 FR 9134, Mar. 3, 1976, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 30 appear at 68 FR 
42538, July 17, 2003.
    Note: The term ``CBP Director'' or ``District Director of CBP'' as 
used in this part 30 means the Regional Commissioner of CBP 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_U.S. Principal Party In Interest (USPPI)
______________________________________________________________________

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

    (a) Shipper's Export Declarations shall be filed by U.S. principal 
party in interest or the authorized agent 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\
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    \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) SEDs shall be filed for merchandise moving as described above 
regardless of the method of transportation. Instructions for the filing 
of SEDs for vessels, aircraft, railway cars, etc., when sold foreign 
appear in Sec. 30.33. Export information that is required to be filed 
for items identified on the Commerce Control List (CCL) of the Export 
Administration Regulations (EAR) (15 CFR Supplement No. 1 to part 774) 
or the State Department's U.S. Munitions List (USML) of the 
International Traffic in Arms Regulations (ITAR) (22 CFR, part 121) is 
to be filed electronically through AES. This requirement to file 
information via AES applies to those items that would otherwise require 
the filing of an SED. Exemptions from these requirements and exceptions 
to some of the provisions of these regulations for particular types of 
transactions are found in subparts C and D of this part.
    (c) In lieu of filing paper SEDs as provided elsewhere in this 
section, when an SED would be required, the USPPI or the authorized 
agent is required to

[[Page 305]]

file shipper's export information electronically through the AES for the 
export of items identified on the CCL of the EAR (15 CFR Supp. No. 1 to 
part 774) or the USML of the ITAR (22 CFR part 121) as provided for in 
subpart E of this part, Electronic Filing Requirements--Shipper's Export 
Information. Information for items identified on the USML, including 
those exported under an export license exemption, must be filed 
electronically prior to export, unless exempted from the AES filing 
requirement by the State Department. For USML shipments, refer to the 
ITAR (22 CFR parts 120-130) for requirements concerning the AES proof of 
filing citation and filing time requirements. USPPIs or their authorized 
agents are required to file export information through the AES for 
shipments of rough diamonds classified under Harmonized System 
subheadings 7102.10, 7102.21, and 7102.31 and exported (reexported) in 
accordance with the Clean Diamond Trade Act and the Rough Diamonds 
Control Regulations (31 CFR part 592) as provided for in subpart E of 
this part. Use of the SED form is not permitted for reporting exports of 
rough diamonds. Entities serving as data entry and other forms of 
processing centers are not authorized to either collect or file export 
information on shipments of rough diamonds using any export reporting 
option. The USPPI or the authorized agent filing SEDs for the export of 
items not on the CCL, the USML, or exported (reexported) under the 
provisions of the Clean Diamond Trade Act and the Rough Diamonds Control 
Regulations (31 CFR part 592) has the option of filing this information 
electronically as provided for in subpart E of this part.
    (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 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; 68 FR 
42538, July 17, 2003; 68 FR 59878, Oct. 20, 2003]

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 CBP 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

[[Page 306]]

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.
    (c) Export shipments to all foreign destinations, including those 
filed electronically through the AES, are subject to export control 
regulations. This applies to mandatory, as well as voluntary AES filing. 
Executive Order 13312, signed July 29, 2003, implements the Clean 
Diamond Trade Act, which authorizes the President to implement the 
Kimberley Process Certification scheme in the United States. The 
Kimberley Process was developed to stem the worldwide movement of rough 
diamond exports linked to the finance of armed conflicts in certain 
world areas (``conflict'' diamonds), specifically in some Southern 
African countries. The Kimberley Process Certificate serves as the 
mechanism to verify the absence of ``conflict'' diamonds from diamonds 
exported (reexported) from the United States.

(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; 68 
FR 59878, Oct. 20, 2003]

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 7513 is not to be used for the reexportation of goods for which 
entry has been made on CBP 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 CBP 
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

[[Page 307]]

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 CBP 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 Industry and Security 
(BIS) 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 foreign entity must then follow the provisions for 
preparing and filing the SED or AES record specified in Sec. Sec. 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.

[[Page 308]]

    (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. 
CBP, or transmitting the AES record to U.S. CBP.
    (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:
    (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

[[Page 309]]

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;
    (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

[[Page 310]]

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 Sec. Sec. 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 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 CBP 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, CBP 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.

[[Page 311]]

    (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. CBP port of exportation 
shall be entered in terms of Schedule D, Classification of CBP 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 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 Sec. Sec. 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

[[Page 312]]

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. CBP 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.
    (3) Address (number, street, city, state, Zip Code) of the USPPI. In 
all export transactions, the USPPI shall report the address location 
from which the merchandise actually starts its journey to the port of 
export. For example, an SED 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 the address of the 
warehouse in Georgia. If the USPPI does not have a facility (processing 
plant, warehouse, distribution center, or retail outlet, etc.) at the 
location from which the goods began their export journey, report the 
USPPI address from which the export was directed. For shipments of 
multiple origins reported on a single SED, report the address from which 
the greatest value begins its export journey or, if such information is 
not known at the time of export, the address from which the export is 
directed.
    (e) Forwarding or other agent. The name, address, and EIN or Social 
Security Number (SSN) 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 Shipper's Export Declaration indicating the actual port of 
unloading shall be filed by the exporter or his agent with the CBP 
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

[[Page 313]]

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) Transportation Reference Number. Enter the Transportation 
Reference Number as follows:
    (1) Vessel shipments. 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 cargo being exported. This 
number is required to be reported for all vessel shipments.
    (2 ) Air shipments. Report the master air waybill number for all air 
shipments. The air waybill number is the reservation number assigned by 
the carrier to hold space on the airplane for cargo being exported. The 
reporting of this number is optional.
    (3) Rail shipments. Report the bill of lading (BOL) number for all 
rail shipments. The BOL number is the reservation number assigned by the 
carrier to hold space on the rail car for cargo being exported. The 
reporting of this number is optional.
    (4) Truck shipments. Report the Freight or Pro Bill number for all 
truck shipments. The Freight or Pro Bill number is the number assigned 
by the carrier to hold space on the truck for cargo being exported. The 
Freight or Pro Bill number correlates to a bill of lading number, air 
waybill number or Trip number for multi-modal shipments. The reporting 
of this number is optional.
    (k) [Reserved]
    (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. Include 
marks, numbers, or other identification shown on packages and the number 
and kinds of packages (i.e., boxes, barrels, baskets, bales, etc.). 
Careful reference to the Schedule B classification scheme for related 
commodities as well as for the commodity being shipped is necessary in 
order to

[[Page 314]]

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 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. Enter the gross shipping weight in 
kilograms on the SED or the AES record, including the weight of 
containers, for air, vessel, truck, and rail methods of transportation. 
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 the gross 
shipping weight information is not available for individual Schedule B 
items because commodities covered by more than one Schedule B number are 
contained in the same shipping container, approximate shipping weights 
should be used for each Schedule B item in the container. The total 
estimated weights must equal the actual shipping weight of the entire 
container or containers and contents.

[[Page 315]]

    (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 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,

[[Page 316]]

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 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[foot]x8[foot]x20[foot] or 
8[foot]x8[foot]x40[foot]. 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

[[Page 317]]

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
    (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; 68 FR 42538, July 17, 2003]

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

[[Page 318]]

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]

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 CBP 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 Sec. Sec. 30.7 and 30.8, and for 
other purposes under the regulations in this part, CBP 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. CBP shall refuse to accept Shipper's Export Declarations 
containing known errors and omissions, and may require their correction, 
but acceptance by the CBP 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 for presenting the SED, exemption legends or 
          proof of filing citations.

    The following conditions govern the time and place to present paper 
SEDs, exemption legends, or proof of filing citations. It is the duty of 
the USPPI or the authorized agent to deliver the required number of 
copies of the SED, the exemption legends, or the proof of filing 
citations when the cargo is tendered to the exporting carrier. 
Information on items identified on the CCL of the EAR (15 CFR Supp. No. 
1 to Part 774) or the USML of the ITAR (22 CFR part 121) that would 
otherwise require the filing of an SED, must be filed through the AES. 
Information for items identified on the USML, including those exported 
under an export license exemption, must be filed electronically prior to 
export, unless exempted from the SED filing requirements by the State 
Department. For State Department USML shipments, refer to the ITAR (22 
CFR parts 120-130) for more specific requirements concerning the AES 
proof of filing citation and filing time. Failure of the USPPI or the 
authorized agent of either the USPPI or foreign principal party in 
interest to comply with these requirements constitutes a violation of 
the provisions of these regulations, and renders such principal party or 
the authorized agent subject to the penalties provided for in Sec. 
30.95 of this part.
    (a) Postal exports. SEDs for exports of items being sent by mail, as 
required in Sec. 30.1 of this part, shall be presented to

[[Page 319]]

the postmaster with the packages at the time of mailing.
    (b) Pipeline exports. SEDs for exports being sent by pipeline are 
not required to be presented prior to exportation; however, they are 
required to be filed within four (4) working days after the end of each 
calendar month. These SEDs must be filed with the CBP Port Director 
having jurisdiction for the pipeline, and the filer must deliver the SED 
in the number of copies specified in Sec. 30.5 of this part to cover 
exports to each consignee during the calendar month.
    (c) Exports by other methods of transportation. For exports sent 
other than by mail or pipeline, the required number of copies of SEDs as 
prescribed in Sec. 30.5 of this part shall be delivered to the 
exporting carrier when the cargo is tendered to the exporting carrier.
    (d) Exports filed via AES. For exports filed through the AES, it is 
the duty of the USPPI or the authorized agent to deliver to the 
exporting carrier, the AES exemption legends as provided for in Sec. 
30.65 of this part or the AES proof of filing citation as provided for 
in 22 CFR (parts 120-130) of the ITAR when the cargo is tendered to the 
exporting carrier for transport to the foreign country.

[68 FR 42539, July 17, 2003]

Sec. Sec. 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. (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 CBP 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 CBP 
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

[[Page 320]]

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 CBP 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 CBP 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, 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 CBP Districts within the States of the United States. In 
such cases, the declarations should be filed only with the CBP Director 
at the actual port of exportation.
    (d) For purposes of these regulations, the port of exportation is 
defined as the CBP 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 CBP 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.

    Carriers transporting merchandise via vessel, aircraft, or rail are 
required to file an outbound manifest (along with the required SEDs, 
supporting documentation and/or the exemption statement or the proof of 
filing citation) to the CBP Port Director at the port of exportation. 
Outbound vessel manifests may be filed via paper or electronically 
through the vessel transportation module, a component of the AES, as 
provided in CBP Regulations, 19 CFR, Sec. Sec. 4.63 and 4.76. SEDs may 
be filed via paper or electronically via the AES.
    (a) Paper SED--paper manifest. If filing paper SEDs and paper 
manifest, attach the copies of the SEDs to the manifest. For each item 
of cargo transported via vessel, the Transportation Reference Number on 
the SED covering the item must be shown on the manifest.
    (b) Paper SED--electronic manifest. If filing paper SEDs and the 
electronic outbound vessel manifest, carriers are responsible for 
submitting paper SEDs directly to the CBP Port Director.
    (c) Electronic SED (AES)--paper manifest. If filing the SED 
information electronically (AES) and paper outbound manifest, carriers 
must annotate the outbound manifest with the appropriate AES exemption 
legends as provided in Sec. 30.65 of this part.
    (d) Electronic SED (AES) and manifest. If filing the SED information 
and outbound vessel manifest electronically through the AES, the carrier 
must adhere to the instructions specified in CBP Regulations (19 CFR, 
Sec. 4.76) and Sec. 30.60 of this part and transmit the appropriate 
AES proof of filing citation as provided in Sec. 30.65 of this part.

[[Page 321]]

    (e) When an SED is not required. If an item does not require the 
filing of an SED, the appropriate exemption legends must be annotated on 
the outbound manifest or other appropriate commercial documents as 
provided in Sec. 30.50 of this part.
    (f) Exports to Puerto Rico. When filing paper manifests for 
shipments from the United States to Puerto Rico, the manifest shall be 
filed with the CBP Port Director where the merchandise is unladen in 
Puerto Rico.
    (1) Vessels. Vessels transporting merchandise as specified in Sec. 
30.20 of this part (except vessels exempted by paragraph (f)(4) of this 
section) shall file a complete Cargo Declaration Outward With Commercial 
Forms, CBP Form 1302-A. In addition, vessel carriers are required to 
perform the following:
    (i) Bunker fuel. The manifest for vessels (including vessels 
carrying bunker fuel to be laden aboard vessels on the high seas) 
clearing for foreign countries shall show 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.
    (ii) Coal and fuel oil. 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.
    (2) Aircraft. Aircraft transporting merchandise as specified in 
Sec. 30.20 of this part, shall file a complete manifest on CBP Form 
7509, as required in CBP Regulations, 19 CFR 122.72 through 122.76. All 
the cargo so laden shall be listed and shall show, for each item, the 
air waybill number or marks and numbers on packages, the number of 
packages, and the description of the goods.
    (3) Rail carriers. Rail carriers transporting merchandise as 
specified in Sec. 30.20 of this part shall file a car manifest. Such 
manifest shall be filed with the CBP Port Director at the 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 copy thereof, or a copy of the manifest 
prepared for foreign customers.
    (4) Carriers not required to file manifests. Carriers exempted from 
filing manifests are required, upon request, to present to the CBP Port 
Director the proof of filing citations, SED exemption legends, or AES 
exemption legends for each shipment. Failure of the carrier to do so 
constitutes a violation of the provisions of these regulations, and 
renders such carrier subject to the penalties provided for in Sec. 
30.95 of this part.

[68 FR 42539, July 17, 2003]

Sec. 30.22  Requirements for the filing of SEDs or AES exemption 
          legends and AES proof of filing citations 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 CBP 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. When the export information 
for a shipment is filed electronically via the AES, the carrier is 
responsible for transmitting the appropriate AES exemption legend as 
provided in Sec. 30.65 of this part and the AES proof of filing 
citation as provided in the ITAR (22 CFR, part 121) for USML shipments. 
Such transmittal shall be without material change or amendment of the 
proof of filing citation as provided to the carrier by the USPPI or the 
authorized agent.
    (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. CBP port of 
exportation, method of transportation from the United States, foreign 
port of unloading, the

[[Page 322]]

bill of lading or air waybill number, and whether or not containerized. 
If the export information is filed electronically via the AES, the 
carrier is responsible for transmitting to the CBP Port Director at the 
port of exportation the appropriate AES exemption legend as provided in 
Sec. 30.65 of this part and the AES proof of filing citation as 
provided in ITAR (22 CFR, part 121) for USML shipments. Such transmittal 
shall be without material change or amendment of the exemption legend or 
the proof of filing citation as provided to the carrier by the USPPI or 
the authorized agent. For shipments to Canada exempt from Shipper's 
Export Declaration filing requirements (See Sec. 30.58), the exporting 
carrier shall enter the U.S. CBP 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 CBP, the 
transportation company will immediately notify the District Director of 
CBP 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 CBP 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 CBP.
    (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.
    (f) Information on items identified on the CCL of the EAR (15 CFR 
Supp. No. 1 to part 774) or the USML of the ITAR (22 CFR, part 121) that 
would otherwise require the filing of an SED, must be filed through AES. 
The exporting carrier must not accept paper SEDs or cargo that does not 
have the appropriate AES filing exemption legend as set forth in Sec. 
30.65 of this part and the AES proof of filing citation as provided for 
in the ITAR (22 CFR, part 121) for USML shipments. Acceptance of paper 
SEDs or cargo for items on the CCL or USML without the appropriate 
exemption legend or proof of filing citation constitutes a violation of 
the provisions of these regulations, and renders

[[Page 323]]

such carrier subject to the penalties provided for in Sec. 30.95 of 
this part.

(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; 68 FR 42540, July 17, 2003]

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 CBP Director Shipper's Export 
Declarations prepared by the exporter or his agent covering all 
exportations through the pipeline to each consignee during the month. If 
the merchandise transported by pipeline is identified on the CCL of the 
EAR (15 CFR Supplement No. 1 to part 774) or the USML of the ITAR (22 
CFR, Part 121), and requires an SED, the data regarding the shipment 
must be filed electronically through the AES.

[41 FR 9134, Mar. 3, 1976, as amended at 68 FR 42540, July 17, 2003]

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 
CBP Director prior 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 CBP 
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 CBP 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 CBP 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

[[Page 324]]

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 CBP Form 7567 in the 
amount of $1,000 or of a term or blanket bond on CBP 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 CBP 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 CBP 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 
CBP 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 CBP 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 Bureau of 
Customs and Border Protection 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

[[Page 325]]

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 CBP for 
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 CBP 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 CBP 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. CBP area returns to the U.S. CBP area before it reaches its 
destination and discharges any or all of its cargo in the United States, 
the CBP 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 CBP 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. 
CBP area (other than the port in Puerto Rico or U.S. Possession which is 
its final destination), the

[[Page 326]]

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 CBP 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.

Sec. Sec. 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 CBP 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 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

[[Page 327]]

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 CBP 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 CBP 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 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 CBP 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 CBP Director at the port of exportation, at 
the time of exportation

[[Page 328]]

but prior to departure, any merchandise which is exempt from the 
requirement for the filing of a Shippers' Export Declaration and explain 
to the CBP 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 CBP 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 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.

[[Page 329]]

    (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 
Industry and Security 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.
    (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.
    (vi) Classified as rough diamonds under 6-digit Harmonized System 
subheadings 7102.10, 7102.21, and 7102.31, regardless of value.
    (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

[[Page 330]]

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; 68 FR 59879, Oct. 20, 2003]

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 CBP 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 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]

[[Page 331]]

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.)
    (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) Shipments of rough diamonds exported (reexported) to Canada for 
use or consumption in Canada.
    (7) 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; 
68 FR 59879, Oct. 20, 2003]

  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

[[Page 332]]

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. Filing using the AES is mandatory for those items 
identified on the CCL of the EAR (15 CFR Supplement No. 1 to part 774) 
or the USML of the ITAR (22 CFR, part 121) and that would otherwise 
require the filing of an SED. Filing using the AES also is mandatory for 
all exports (reexports) of rough diamonds regardless of destination, 
method of transport, or value. All other participation in the AES is 
voluntary. Information for items identified on the CCL or the USML filed 
via AES must be filed by the USPPI or the authorized agent. A Data Entry 
Center (DEC), service center, or port authority may transmit an AES 
record for CCL or USML items, completed by the USPPI or the authorized 
agent, without obtaining a power of attorney or written authorization. A 
DEC, service center, or port authority must have a power of attorney or 
written authorization from the USPPI or foreign principal party in 
interest if it completes any export information in AES for CCL or USML 
shipments. Filers may also use 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 USPPIs or the authorized 
agents, ocean carriers, software vendors, or any organization acting as 
a service center. 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 
CBP and Census Bureau performance requirements and operations standards. 
Once the Letter of Intent is received, a U.S. CBP 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 paper SED to the carrier. When transmitting 
export information electronically, the AES filers must comply with the 
data transmission procedures determined by CBP 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

[[Page 333]]

    (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. CBP 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.

[64 FR 40977, July 28, 1999, as amended at 68 FR 42540, July 17, 2003; 
68 FR 59879, Oct. 20, 2003]

Sec. 30.61  Electronic filing options.

    As an alternative to filing paper SEDs (Option 1), two electronic 
filing options (Option 2 and 4) for transmitting shipper's export 
information are available to U.S. principal parties or the authorized 
filing agent. The electronic filing Option 4 takes into account that 
complete information concerning export shipments is not always available 
prior to exportation. Information on the export of items identified on 
the CCL of the EAR (15 CFR Supplement No. 1 to part 774) or the USML of 
the ITAR (22 CFR, part 121) that would otherwise require the filing of 
an SED must be filed using Option 2. Option 4 may only be used when the 
appropriate licensing agency has granted the USPPI authorization to use 
this option. 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.
    (5) Shipments of rough diamonds exported (reexported) in accordance 
with the Clean Diamond Trade Act and the Rough Diamonds Control 
Regulations (31 CFR part 592).
    (b) AES with no information transmitted prior to exportation (Option 
4). Option 4 is only available for approved USPPIs 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 Option 2), by all methods of transportation, may 
be exported with transmission as soon as it is known, but no later than 
ten (10) working days from the date of exportation. Shipments of used 
vehicles between the United States and Puerto Rico may be filed using 
Option 4. Certified AES authorized filing agents or service centers may 
transmit information post departure on behalf of approved Option 4 
USPPIs, or the USPPI may transmit the data. All USPPIs filing a Letter 
of Intent for Option 4 filing privileges will be cleared through a 
formal review process by CBP, the Census Bureau, and other federal 
government agencies participating in the AES (partnership agencies) in 
accordance with provisions contained in Sec. 30.62. The USPPI or the 
authorized agent must provide the exporting carrier with the USPPI's 
Option 4 AES exemption legend as described in Sec. 30.65.

[64 FR 40977, July 28, 1999, as amended at 68 FR 42540, July 17, 2003; 
68 FR 59879, Oct. 20, 2003]

[[Page 334]]

Sec. 30.62  AES Certification, qualifications, and standards.

    Certification for AES filing will apply to the USPPI, authorized 
forwarding agent, ocean carrier, or any organization acting as a service 
center transmitting export information electronically using the AES.
    (a) AES certification process. 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. CBP 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. The 
CBP's and Census Bureau's client representatives provide assistance 
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. The Census Bureau will provide the certified AES filer with 
a certification notice after the applicant has been approved for 
operational status. The certification notice will include:
    (1) The date that filers may begin transmitting ``live'' data 
electronically using AES;
    (2) Reporting instructions; and
    (3) Examples of the required AES exemption legends.
    (b) AESDirect certification process. Applicants interested in 
AESDirect filing or its by-products AESWebLink, AESPCLink, or AES EDI 
Upload must complete the online AESDirect registration form. After 
submitting the registration, an AESDirect filing account is created for 
the filing company. The applicant will receive separate e-mails 
providing an AESDirect user name, temporary administrator code, and 
temporary password. The filer uses the temporary administrator code to 
create a permanent administrator code that allows the user to create a 
permanent password. The user name and new permanent password will allow 
the filer to complete certification testing. Upon successful completion 
of the certification testing, notification by e-mail will be sent when 
an account is fully activated for filing via AESDirect. Print the page 
congratulating the filer on passing the test for retention purposes. The 
activation notice will specify which AES filing status the account has 
been authorized.
    (c) Filing agent certification. Once an authorized filing agent has 
successfully completed the certification process, the USPPI using that 
agent does not need further AES certification. The certified filing 
agent must have a properly executed power of attorney, a written 
authorization from the USPPI or foreign principal party in interest, or 
an SED signed by the USPPI to transmit their data electronically using 
the AES. The USPPI 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 USPPI to file the export information on behalf of 
the USPPI.
    (d) 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 if the filer fails to maintain an 
acceptable level of quality, timeliness, and coverage in the 
transmission of export data or fails to maintain compliance with Census 
Bureau regulations contained in this Section. The Census Bureau, if 
necessary, will take appropriate action to correct the specific 
situation(s). In the case of AESDirect, when submitting a registration 
form to AESDirect, the registering

[[Page 335]]

company is certifying that it will be in compliance with all applicable 
laws and regulations. This includes complying with the following 
security requirements:
    (1) AESDirect user names, administrator codes, and passwords are to 
be neither written down nor disclosed to any unauthorized user or any 
persons outside of the registered company. Filers must change 
administrator codes or passwords for security purposes when prompted to 
do so.
    (2) Registered companies are responsible for those persons having a 
user name, administrator code, and password. If an employee with access 
to the user name, administrator code, and password leaves the company or 
otherwise is no longer an authorized user, the company must change the 
password, administrator code, and user name in the system and must do so 
immediately in order to ensure the integrity and confidentiality of 
Title 13 data.
    (3) Antivirus software must be installed and set to run 
automatically on all computers that access AESDirect. All AESDirect 
registered companies will maintain subscriptions with their antivirus 
software vendor to keep antivirus lists current. Registered companies 
are responsible for performing full scans of these systems on a regular 
basis and eliminating any virus contamination. If the registered 
company's computer system is infected with a virus, the company should 
refrain from using AESDirect until it is virus free. Failure to comply 
with these requirements will result in immediate loss of privilege to 
use AESDirect until the registered company can establish to the 
satisfaction of the Census Bureau's Foreign Trade Division Computer 
Security Officer that the company's computer systems accessing AESDirect 
are virus free.
    (e) 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 CBP and the other 
partnership agencies participating in the AES Option 4 approval process. 
Failure to meet the standards of the Census Bureau, CBP, 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

[[Page 336]]

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 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.

[64 FR 40977, July 28, 1999, as amended at 68 FR 42541, July 17, 2003]

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

[[Page 337]]

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) USPPI/USPPI identification--(i) Name and address of the USPPI. 
For details on the reporting responsibilities of USPPIs, see Sec. 30.4 
and Sec. 30.7 (d)(1), (2), (3), and (e).
    (ii) USPPI's profile. The USPPI's EIN or Social Security Number 
(SSN) and the USPPI's name, address, contact, and telephone number must 
be reported with every shipment. If neither EIN or SSN is available for 
the USPPI, as in the case of a foreign entity being shown as the USPPI 
as defined in Sec. 30.7(d), the border crossing number, passport 
number, or any other number assigned by CBP 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 CBP port of export in 
terms of Schedule D, ``Classification of CBP Districts and Ports.'' (See 
Sec. Sec. 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).

[[Page 338]]

    (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. Shipments of rough diamonds at the 
10-digit Schedule B level that are classified under 6-digit Harmonized 
System subheadings 7102.10, 7102.21, and 7102.31 must be reported 
electronically through the AES. (See Sec. 30.7(l) for detailed 
information.)
    (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 Sec. Sec. 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

[[Page 339]]

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 CBP 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 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 
Industry and Security (BIS) 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 2 or 4 filing.
    (14) Directorate of Defense Trade Controls (DDTC) registration 
number. The number assigned by DDTC to persons who are required to 
register per Part 122 of the ITAR (22 CFR, 120-130), that has an 
authorization (license or exemption) from DDTC to export the article.
    (15) DDTC Significant Military Equipment (SME) indicator. A term 
used to designate articles on the USML for which special export controls 
are warranted because of their capacity for substantial military utility 
or capability. See Sec. 120.7 of the ITAR 22 CFR, parts 120-130, for a 
definition of SME and Sec. 121.1 for items designated as SME articles.
    (16) DDTC eligible party certification indicator. Certification by 
the U.S. exporter that the exporter is an eligible party to participate 
in defense trade. See ITAR 22 CFR 120.1(c). This certification is 
required only when an exemption is claimed.
    (17) DDTC USML category code. The USML category of the article being 
exported (22 CFR, part 121).
    (18) DDTC Unit of Measure (UOM). This unit of measure is the UOM 
covering the article being shipped as described on the export 
authorization or declared under an ITAR exemption.
    (19) DDTC quantity. This quantity is for the article being shipped. 
The quantity is the total number of units that corresponds to the DDTC 
Unit of Measure Code.
    (20) DDTC exemption number. The exemption number is the specific 
citation from the Code of Federal Regulations

[[Page 340]]

(22 CFR, parts 120-130) that exempts the shipment from the requirements 
for a license or other written authorization from DDTC.
    (21) DDTC export license line number. The line number of the State 
Department export license that corresponds to the article being 
exported.
    (c) Optional data elements are as follows:
    (1) Transportation Reference Number for other than vessel shipments.
    (i) Air shipments. Report the master air waybill for air shipments. 
The air waybill number is the reservation number assigned by the carrier 
to hold space on the airplane for cargo being exported.
    (ii) Rail shipments. Report the bill of lading (BOL) number for all 
rail shipments. The BOL number is the reservation number assigned by the 
carrier to hold space on the rail car for cargo being exported.
    (iii) Truck shipments. Report the Freight or Pro Bill number for all 
truck shipments. The Freight or Pro Bill number is the number assigned 
by the carrier to hold space on the truck for cargo being exported. The 
Freight or Pro Bill number correlates to a bill of lading number, air 
waybill number of Trip number for multi-modal shipments.
    (2) Seal number. Report the security seal number of the seal placed 
on the equipment.

[64 FR 40977, July 28, 1999, as amended at 68 FR 42541, July 17, 2003; 
68 FR 59879, Oct. 20, 2003]

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 or proof of filing 
          citations for shipments transmitted electronically.

    (a) Items identified on the USML must meet the predeparture 
reporting requirements identified in the ITAR (22 CFR, part 120-130) for 
the State Department requirements concerning AES proof of filing 
citations and time and place of filing.
    (b) The USPPI or the authorized agent is responsible for annotating 
the proper exemption legend or proof of filing citation on the bill of 
lading, air waybill, or other commercial loading document for 
presentation to the carrier prior to tendering the cargo to the 
exporting carrier. The carrier is responsible for transmitting the 
appropriate exemption legend or proof of filing citation to the CBP Port 
Director at the port of exportation as stated in Sec. 30.21 and Sec. 
30.22 of this part. Such transmittal shall be without material change or 
amendment of the exemption legend or proof of filing citation as 
provided to the carrier by the USPPI or the authorized agent. The 
exemption legend or proof of filing citation will identify that the 
shipment information has been accepted as transmitted and electronically 
filed using the AES. The exemption legend or proof of filing citation 
must appear on the bill of lading, air waybill, or other commercial 
loading documentation and the manifest and must be clearly visible and 
include any of the following:
    (1) The exemption legend or proof of filing citation will include 
the statement, ``NO SED REQUIRED--AES,'' followed by the filer's 
identification number and a unique shipment reference number referred to 
as the External Transaction Number (XTN) or the

[[Page 341]]

returned confirmation number provided by AES when the transmission is 
accepted, referred to as the Internal Transaction Number (ITN).
    (2) Shipments of USML articles must meet the predeparture reporting 
requirements in the ITAR (22 CFR parts 120-130).
    (3) For shipments of rough diamonds, the proof of filing citation 
shall include the statement, ``NO SED REQUIRED--AES,'' followed by the 
returned confirmation number provided by the AES when the transmission 
is accepted, referred to as the ITN. The ITN is required to be shown on 
the Kimberley Process Certificate for all exports (reexports) of rough 
diamonds to certify that the diamonds have been controlled through the 
Kimberley Process Certification Scheme, as defined in section 3 of 
Public Law 108-19 of the Clean Diamond Trade Act and implemented in the 
Rough Diamonds Control Regulations (31 CFR part 592).
    (4) For USPPIs who have been approved to participate in Filing 
Option 4, the exemption statement, ``NO SED REQUIRED-AES4,'' followed by 
the USPPI's EIN followed by the filer's identification number if other 
than the USPPI files the data.

[68 FR 42542, July 17, 2003, as amended at 68 FR 59879, Oct. 20, 2003]

Sec. 30.66  Support, documentation and record keeping requirements.

    (a) Support. ``ASKAES@census.gov'' is an online service that allows 
electronic filers to seek assistance pertaining to AES. AESDirect is 
supported by a help desk available twelve (12) hours a day, seven (7) 
days a week.
    (b) Documentation. Filers using the AESDirect are able to print out 
from the AESDirect a validated record of the filer's submission. Filers 
using AES are able to print records containing date of submission and a 
unique identification number for each AES record submitted. The Census 
Bureau will maintain an electronic file of data sent through AES to 
ensure that an individual is able to receive from the system, a 
validated record of the submission. The USPPI or the authorized agent of 
the USPPI or the authorized agent of the foreign principal party in 
interest may request a copy of the electronic record submitted as 
provided for in Sec. 30.91 of this part.
    (c) Recordkeeping. All parties to the export transaction (owners and 
operators of the exporting carriers and U.S. principal party and/or the 
authorized agents) must retain documents or records pertaining to the 
shipment for five (5) years from the date of export. CBP, 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 CBP or the Census 
Bureau does not relieve the USPPI or the authorized agent from providing 
complete and accurate information after the fact. The Department of 
State or other regulatory agencies may have additional recordkeeping 
requirements for exports.

[68 FR 42542, July 17, 2003]

                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 CBP 
entry and withdrawal forms respectively required by U.S. CBP regulations 
for individual transactions: Custom Forms 7500, 7501, 7502, 7505, 7506, 
7519, 7521, and 7535, and on CBP 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

[[Page 342]]

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 CBP regulations for other purposes. (See Sec. 
30.80 for special reporting instructions for merchandise entering United 
States CBP Territory from United States Foreign Trade Zones.)
---------------------------------------------------------------------------

    (a) District and port code. (All forms.) The CBP district code 
number and the port code number (as shown in Schedule D, Classification 
of CBP Districts and Ports) for the CBP port of entry or filing shall be 
supplied. (Where CBP does not require that the District and Port codes 
be inserted by importers, the codes will be filled in by CBP 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. CBP territory from U.S. Foreign Trade Zones.) (1) (CBP 
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 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) (CBP 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. CBP 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 CBP 
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. CBP 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. CBP territory from U.S. Foreign Trade Zones.) (1) (CBP Forms 7501, 
7502, 7512, and 7521.) For merchandise arriving in

[[Page 343]]

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 CBP 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 CBP 
Invoice form, and in a conspicuous place on commercial invoices supplied 
to CBP where the Special CBP 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 CBP 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 CBP Form 7512 
when used as an Immediate Exportation or

[[Page 344]]

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 CBP 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. (CBP 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 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 CBP purposes.
    (j) Value. (All forms.) Except on CBP 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. CBP Regulations. (On CBP Form 7512 when 
used as an Immediate Exportation entry, only the CBP 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 CBP 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

[[Page 345]]

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 CBP form. On CBP 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, 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 CBP 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 CBP 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

[[Page 346]]

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.
    (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 
Bureau of Customs and Border Protection, in accordance with the policy 
set forth in 19 CFR 103.4 (CBP Regulations) relating to the copies on 
file in CBP 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

[[Page 347]]

Census and the Bureau of Industry and Security. 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 CBP 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 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 CBP 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

[[Page 348]]

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 CBP 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 CBP 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 CBP 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.
    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 CBP 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 CBP.

    Instructions of a continuing nature to CBP 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 CBP through appropriate administrative channels.

Sec. 30.95  Penalties for violations.

    (a) Exports (reexports) of rough diamonds. The Clean Diamond Trade 
Act, section 8(c), authorizes the Bureau of Customs and Border 
Protection (CBP) and the Bureau of Immigration and Customs Enforcement 
(BICE), as appropriate, to enforce the laws and regulations governing 
exports of rough diamonds, including with respect to the validation of 
the Kimberley Process Certificate by the exporting authority. The 
Treasury Department's Office of Foreign Assets Control (OFAC) also has 
enforcement authority pursuant to section 5(a) of the Clean Diamond 
Trade Act (the Act), Executive Order 13312, and the Rough Diamonds 
Control Regulations (31 CFR part 592). The CBP, the BICE, and OFAC, 
pursuant to

[[Page 349]]

section 5(a) of the Act, are further authorized to enforce provisions of 
section 8(a) of the Act that provide for the following civil and 
criminal penalties:
    (1) A civil penalty not to exceed $10,000 may be imposed on any 
person who violates, or attempts to violate, any order or regulation 
issued under the Act.
    (2) A criminal penalty not to exceed $50,000, or;
    (i) If a natural person, imprisonment for not more than 10 years, or 
both, may be imposed for willful violation of any license, order, or 
regulation issued under the Act.
    (ii) If a corporation, imprisonment for not more than 10 years, or 
both may be imposed on any officer, director, or agent of the 
corporation for willful violation of any license, order, or regulation 
issued under the Act.
    (b) Exports of other than rough diamonds. 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 and violations of section 8 of Public Law 108-19, the Clean 
Diamond Trade Act, shall be liable to the United States in an amount not 
exceeding $1,000 for each violation, as authorized by section 305, 
chapter 9, title 13 U.S.C.

[68 FR 59879, Oct. 20, 2003]

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)

    The first requirement for participation in AES is a Letter of 
Intent. The Letter of Intent is a written statement of a company's 
desire to participate in the AES. It must set forth a commitment to 
develop, maintain, and adhere to CBP and Census performance requirements 
and operations standards. Once the letter of intent is received, a CBP 
Client Representative and U.S. Census Bureau Client Representative will 
be assigned to the company. Census will forward additional information 
to prepare the company for participation in 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 (Where 
          transmissions will be initiated)
6. Type of Business--USPPI, Freight Forwarder/Broker, Ocean Carrier, 
          Software Vendor, Service Center, etc. (Indicate all that 
          apply)
    (i) Freight Forwarders/Brokers, indicate the number of USPPIs for 
whom you file export information (SEDs)
    (ii) USPPIs, indicate whether you are applying for AES Option 2 or 
Option 4
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)
10. Filer Code--EIN, 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


[[Page 350]]


    B. The following self-certification statement, signed by an officer 
of the company, must be included in your letter of intent: ``We (COMPANY 
NAME) certify that all statements made and all information provided 
herein are true and correct. I understand that civil and criminal 
penalties, including forfeiture and sale, may be imposed for making 
false or fraudulent statements herein, failing to provide the requested 
information or for violation of U.S. laws on exportation (13 U.S.C. 305; 
22 U.S.C. 401; 18 U.S.C. 1001; 50 U.S.C. App. 2410).''
    C. The AES Option 4 privilege allows a USPPI to submit complete data 
at any time prior to or after exportation provided complete data are 
submitted within 10 working days after exportation. Participants will be 
reviewed by several government agencies prior to acceptance into the 
Option 4 program.
    D. Send AES or Option 4 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, as amended at 68 FR 42543, July 17, 2003]

                    Appendix B to Part 30 [Reserved]

          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 Industry and Security 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
ZD Duty deferred shipments filed via AES
FI Impelled foreign military sales
CI Impelled goods donated for charity
OI All other impelled exports

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

                         Part III--License Codes

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

C30 BIS 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

[[Page 351]]

C45 BAG
C46 AVS
C47 APR
C48 KMI
C49 TAPS
C50 ENC
C51 AGR

                Nuclear Regulatory Commission (NRC) Codes

N01 NRC Form 250/250A
N02 NRC General License

 Department of State, Directorate of Defense Trade Controls (DDTC) Codes

SAG Agreements
S00 License Exemption Citation
S05 DSP-5
S61 DSP-61
S73 DSP-73
S85 DSP-85
S94 DSP-94

  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
SCA Canadian ITAR Exemption

    For export license exemptions under International Traffic in Arms 
Regulations, refer to 22 CFR, Parts 120--130 of the ITAR for the list of 
export license exemptions.

                         Part IV--In-Bond Codes

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

[64 FR 40982, July 28, 1999, as amended at 68 FR 42543, July 17, 2003]