title 15--commerce and foreign trade department of commerce part

January 2001

TITLE 15--COMMERCE AND FOREIGN TRADE

DEPARTMENT OF COMMERCE

PART 30--FOREIGN TRADE STATISTICS

Sec. PageSubpart A--General Requirements-Exporters

30.1 General statement of requirement for Shipper’s Export Declarations . . . . . . . . . . . . . . . . . 1

30.2 Related export control requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

30.3 Shipper’s Export Declaration forms. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

30.4 Preparation and signature of Shipper’s Export Declaration (SED). . . . . . . . . . . . . . . . . . . . 3

30.5 Number of copies of Shipper’s Export Declaration required. . . . . . . . . . . . . . . . . . . . . . . . . 7

30.6 Requirements as to separate Shipper’s Export Declarations. . . . . . . . . . . . . . . . . . . . . . . . . 8

30.7 Information required on Shipper’s Export Declarations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

30.8 Additional information required on Shipper’s Export Declaration for In-Transit Goods (Form 7513). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

30.9 Requirements for separation and alignment of items on Shipper’s Export Declarations. 15

30.10 Continuation sheets for Shipper’s Export Declaration. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

30.11 Authority to require production of documents. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

30.12 Time and place Shipper’s Export Declarations required to be presented. . . . . . . . . . . . . . 16

30.13--30.14 [Reserved] . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

30.15 Procedure for presentation of declarations covering shipments from an interior point. . 17

30.16 Corrections to Shipper’s Export Declarations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

Subpart B--General Requirements-Exporting Carriers

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30.20 General statement of requirement for the filing of manifests and Shipper’s ExportDeclarations by carriers. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

30.21 Requirements for the filing of manifests. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18

30.22 Requirements for the filing of Shipper’s Export Declarations by departing carriers. . . . 20

30.23 Requirements for the filing of Shipper’s Export Declarations by pipeline carriers. . . . . . 21

30.24 Clearance or departure of carriers under bond on incomplete manifest or Shipper’s Export Declarations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

Subpart C--Special Provisions Applicable Under Particular Circumstances

30.30 Values for certain types of transactions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22

30.31 Identification of certain nonstatistical and other unusual transactions. . . . . . . . . . . . . . . . 23

30.32 [Reserved] . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23

30.33 Vessels, planes, cargo vans, and other carriers and containers sold foreign. . . . . . . . . . . . 23

30.34 Return of exported cargo to the United States prior to reaching its final destination. . . . 24

30.35--30.36 [Reserved] . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24

30.37 Exceptions from the requirement for reporting complete commodity detail on the Shipper’s Export Declaration. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24

30.38 [Reserved] . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25

30.39 Authorization for reporting statistical information other than by means of individualShipper’s Export Declarations filed for each shipment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25

30.40 Single declaration for multiple consignees. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

30.41 ‘‘Split shipments’’ by air. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

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. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

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30.51 Government shipments not generally exempt. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27

30.52 Special exemptions for shipments to the U.S. armed services. . . . . . . . . . . . . . . . . . . . . . . . 27

30.53 Special exemptions for certain shipments to U.S. Government agencies and employees. . 27

30.54 [Reserved]. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28

30.55 Miscellaneous exemptions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28

30.56 Conditional exemptions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29

30.57 Information on export declarations for shipments of types of goods covered by Sec. 30.56 not conditionally exempt. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30

30.58 Exemption for shipments from the United States to Canada. . . . . . . . . . . . . . . . . . . . . . . . 31

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). . . . . . . . . . . . . . . . . . . . 31

30.61 Electronic filing options. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33

30.62 AES Certification, qualifications, and standards. . . . . . . . . . . . . . . . . . . . . . . . . . . . 34

30.63 Information required to be reported electronically through AES (data elements). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37

30.64 Transmitting and correcting AES information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40

30.65 Annotating the proper exemption legends for shipmentstransmitted electronically . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41

30.66 Recordkeeping and documentation requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . 41

Subpart F--General Requirements-Importers

30.70 Statistical information required on import entries. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41

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

30.80 Imports from Canada. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45

30.81 Imports of merchandise into Guam. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46

30.82 Identification of U.S. merchandise returned for repair and reexport. . . . . . . . . . . . . . . . . 47

30.83 Statistical copy of mail and informal entries. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47

Subpart H--General Administrative Provisions

30.90 Confidential information, import entries and withdrawals. . . . . . . . . . . . . . . . . . . . . . . . . 47

30.91 Confidential information, Shipper’s Export Declarations. . . . . . . . . . . . . . . . . . . . . . . . . . . 47

30.92 Statistical classification schedules. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49

30.93 Emergency exceptions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49

30.94 Instructions to Customs. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50

30.95 Penalties for violations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50

30.99 OMB control numbers assigned pursuant to the Paperwork Reduction Act. . . . . . . . . . . 50

Appendixes to Part 30

Format for Letter of Intent, Automated Export System (AES) . . . . . . . . . . . . . . . . . . . . Appendix A

Required Pre-Departure Data Elements for Filing Option 3 . . . . . . . . . . . . . . . . . . . . . . Appendix B

Electronic (AES) Filing Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Appendix C

Part I: Method of Transportation Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1Part II: Export Information Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2Part III: License Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3Part IV: In-Bond Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

Foreign Trade Statistics Regulations Title 15 Part 30 - page 1

January 2001

Authority: 5 U.S.C. 301; 13 U.S.C. 301-307;Reorganization Plan No. 5 of 1950 (3 CFR1949-1953 Comp., p. 1004), Department ofCommerce Organization Order No. 35-2A, August4, 1975, 40 FR 42765.

Source: 41 FR 9134, Mar. 3, 1976, unlessotherwise noted.

Note: The term ‘‘Customs Director’’ or‘‘District Director of Customs’’ as used in this Part30 means the Regional Commissioner of Customsif the transaction is at the port of New York City;the district director of customs if at theheadquarters port of a customs district other thanNew York City; and the customs officer in chargeof the port if at a nonheadquarters port.

Subpart A

General Requirements-Exporters

§30.1

GENERAL STATEMENT OFREQUIREMENT FOR SHIPPER'S

EXPORT DECLARATIONS

(a) Shipper’s Export Declarations shall be filed byexporters or their agents in accordance with thedefinitions, specifications, and requirements ofthese regulations for all commodities, gold andsilver, except as specifically exempted herein,shipped as follows: (1) To foreign countries or areas, includingForeign Trade Zones located therein, (see §30.58for exemptions for shipments from the UnitedStates to Canada) from any of the following:

(i) The United States, including the 50 Statesand 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 belowthen:1

(i) To Puerto Rico from the United States.

(ii) To the United States from Puerto Rico.

(iii) To the Virgin Islands of the United Statesfrom the United States or Puerto Rico.

(b) Shipper's Export Declarations shall be filed formerchandise moving as described aboveregardless of the method of transportation.Instructions for the filing of Shipper's ExportDeclarations for vessels, aircraft, railway cars,etc., when sold foreign appear in §30.33.Exemptions from these requirements andexceptions to some of the provisions of theseregulations for particular types of transactions willbe found in subparts C and D of this part.

(c) In lieu of filing paper Shipper’s ExportDeclarations as provided elsewhere in this section,exporters or their authorized agents have theoption to file shipper’s export informationelectronically, as provided in Subpart E of thispart. The Electronic filing requirements for filingshipper’s export declaration information arecontained in Subpart E of this part, ElectronicFiling Requirements - Shipper’s ExportInformation.

(d) Electronic transmissions and

1 Shipper’s Export Declarations are notrequired for shipments from the United States orPuerto Rico to the United States Possessions, exceptto the Virgin Islands of the United States, or from aU.S. Possession destined to the United States, PuertoRico, or another U.S.


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intangible transfers

Electronic transmissions to be received outsidethe United States and other intangible transfers,such as downloaded software, technical data, andtechnology, are not subject to this part, but may besubject to export control requirements under otherlaws and regulations. See 15 CFR Parts 730through 774 of the EAR.

§30.2

RELATED EXPORT CONTROLREQUIREMENTS

(a) Under the provisions of the ExportAdministration Regulations of the Office ofExport Administration in the International TradeAdministration, U.S. Department of Commerce(15 CFR Parts 368-399),2 Shipper’s ExportDeclarations are also required for shipments ofMerchandise from U.S. Possessions to foreigncountries or areas. In these regulations, the termU.S. Possessions includes the Virgin Islands ofthe United States, Guam Island, American Samoa,Wake Island, Midway Island, and Canton andEnderbury Islands.

(b) For all shipments to foreign countries or areas,the Shipper’s Export Declaration is an exportcontrol document. In preparing and filing exportdeclarations for shipments to foreign countriesand areas, therefore, the shipper must comply withall pertinent export control regulations as well asthe requirements of the statistical regulations ofthis part. For convenience, a few provisions of theExport Administration Regulations and of theCustoms regulations closely related to statistical

requirements have been incorporated in theseregulations. Information concerning export controlregulations and information concerning agenciesother than the Department of Commerceexercising export control authority for particulartypes of commodities may be obtained from theOffice of Export Administration, InternationalTrade Administration, Washington, D.C. 20230,or from Department of Commerce DistrictOffices.

§30.3

SHIPPER'S EXPORT DECLARATIONFORMS

(a) Official forms, or privately printed formsconforming in every respect to the official forms,shall be used in complying with requirements forShipper’s Export Declarations as follows:

(1) Except for shipments for which the Shipper’sExport Declaration for In transit Goods(Commerce Form 7513) is required as specifiedbelow, the Shipper’s Export Declaration shall beprepared on Commerce Form 7525-V or onCommerce Form 7525-V-Alternate (Intermodal).The arrangement of Form 7525-V-Alternate(Intermodal) conforms to and is designed forsimultaneous preparation with various othershipping documents commonly used, such as thedock receipt, short form bill of lading, etc. Form7525-V-Alternate (Intermodal) is acceptable inlieu of Form 7525-V without limitation.

(2) For merchandise shipped in transit through theUnited States, Puerto Rico, or the Virgin Islandsof the United States from one foreign country orarea to another, including such merchandisedestined from one foreign place to another andtransshipped in ports of the United States, PuertoRico, or the Virgin Islands of the United States,and for foreign merchandise exported fromGeneral Order Warehouses, the Shipper’s ExportDeclaration for Intransit Goods (Commerce Form7513) shall be filed. Form 7513 shall also be filed

2 See also the Export AdministrationRegulations of the Office of Export Administration,which may be purchased from the GovernmentPrinting Office or Department of Commerce DistrictOffices.


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for merchandise subject to government inspection,examination, or permit arriving from a foreigncountry which is rejected and exported. (AlthoughForm 7513 provides that it is to be used forforeign merchandise, it should be used also forU.S. merchandise which after having beenexported has been returned to or through theUnited States and is again being exported underany of the conditions described in this paragraph.Except for rejected merchandise, Form 7513 is notto be used for the reexportation of goods forwhich entry has been made on Customs Forms7501 or 7502.)

(b) The Shipper’s Export Declaration and theContinuation Sheet3 to the Shipper’s ExportDeclaration (both forms designated CommerceForm 7525-V), and the Shipper’s ExportDeclaration for In-transit Goods (Commerce Form7513) may be purchased for a nominal price fromCustoms Directors, Department of CommerceDistrict Offices, and the Superintendent ofDocuments, Government Printing Office,Washington, D.C. 20402, or they may be privatelyprinted. Supplies of the Alternate IntermodalShipper’s Export Declaration and the ContinuationSheet to the Alternate Intermodal Shipper’s ExportDeclaration are not available from Governmentsales offices but must be privately printed. Sampleofficial Alternate Intermodal Forms and theirContinuation Sheets may be obtained from theForeign Trade Division, Bureau of the Census, Washington, D.C. 20233. Privately printedShipper’s Export Declaration forms must conformstrictly to the respective official form in size,wording, color, quality (weight of paper stock),and arrangement, including the Office ofManagement and Budget approval number printedin the upper-right hand corner of the face of form.The quality (weight) of paper stock used inprinting the Shipper’s Export Declaration form isnot less than 16 nor more than 20 pounds

commercial substance. Occasional shippers mayobtain copies of Shipper’s Export Declarationsfree of charge from local Customs Directors, PostOffices, and Department of Commerce DistrictOffices.

§30.4

PREPARATION AND SIGNATUREOF SHIPPER'S EXPORT DECLARATION (SED)

(a) General requirements (SED)

For purposes of this part, all references topreparing and filing the paper SED also pertain topreparing and filing the AES electronic record.The SED or AES record is a dual purposedocument used by the Census Bureau forstatistical reporting purposes only, and by theBureau of Export Administration (BXA) and othergovernment agencies for export control purposes.For purposes of this part, the provisions applyonly to statistical reporting requirements. TheShipper’s Export Declaration (SED) or the AESrecord must be prepared and signed by a principalparty in interest or by a forwarding or other agentauthorized by a principal party in interest. Theperson who signs the SED must be in the UnitedStates at the time of signing. That person,whether exporter (U.S. principal party in interest)or agent, is responsible for the truth, accuracy, andcompleteness of the SED or AES record, exceptinsofar as that person can demonstrate that he orshe reasonably relied on information furnished byothers. The Census Bureau recognizes "routedexport transactions" as a subset of exporttransactions. A routed export transaction is wherethe foreign principal party in interest authorizes aU.S. forwarding or other agent to facilitate exportof items from the United States. See paragraph(c) of this section for responsibilities of parties ina routed export transaction.

(1) Exporter (U.S. principal party in interest).For purposes of completing the paper SED or

3 See Sec. 30.10 for instructions as to use ofthe continuations Sheet.


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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 orAES record. In all export transactions, the personlisted in the U.S. principal party in interest blockon the paper SED or in the U.S. principal party ininterest 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 inthe United States that receives the primarybenefit, monetary or otherwise, of the transaction.Generally that person is the U.S. seller,manufacturer, order party, or foreign entity. Theforeign entity must be listed as the U.S. principalparty in interest on the SED or AES record, if it isin the United States when the items are purchasedor obtained for export. The foreign entity mustthen follow the provisions for preparing and filingthe SED or AES record specified in §§ 30.4 and30.7 pertaining to the U.S. principal party ininterest. In most cases, the forwarding or otheragent is not a principal party in interest.

(i) If a U.S. manufacturer sells merchandisedirectly for export to a foreign principal party ininterest, the U.S. manufacturer must be listed asthe U.S. principal party in interest on the SED orAES 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 sellsthe merchandise for export to a foreign principalpar ty in interest, the U.S. buyer(wholesaler/distributor) must be listed as the U.S.principal party in interest on the SED or AESrecord.

(iii) If a U.S. order party directly arranges forthe sale and export of merchandise to a foreignbuyer, the U.S. order party must be listed as theU.S. principal party in interest on the SED or AESrecord. The order party is that person in theUnited States who conducted the directnegotiations or correspondence with the foreign

principal party in interest and who, as a result ofthese negotiations, received the order from theforeign principal party in interest.

(iv) If a foreign entity is in the United Stateswhen the items are purchased or obtained forexport, it is the exporter (U.S. principal party ininterest) and must be listed as the U.S. principalparty in interest on the SED or AES record (see§30.4(a)(1)).

Note to paragraph (a)(1): The EAR definesthe "exporter" as the person in the United Stateswho has the authority of a principal party ininterest to determine and control the sending ofitems out of the United States (see 15 CFR Part772 of the EAR). For statistical purposes theForeign Trade Statistics Regulations (FTSR) havea different definition of "exporter" from theExport Administration Regulations (EAR). Underthe FTSR the "exporter" will always be the U.S.principal party in interest. For purposes oflicensing responsibility under the EAR, the U.S.agent of the foreign principal party in interest maybe the "exporter" or applicant on the license, incertain routed export transactions (see 15 CFR§758.3).

(2) Forwarding or other agent. The forwardingor other agent is that person in the United Stateswho is authorized by a principal party in interestto perform the services required to facilitate theexport of items from the United States. Theforwarding or other agent must be authorized bythe exporter (U.S. principal party in interest) or, inthe case of a routed export transaction, the foreignprincipal party in interest to prepare and file theSED or the AES record. In a routed exporttransaction, the forwarding or other agent can bethe exporter for export control purposes under theEAR. However, the forwarding or other agent isnever the "U.S. principal party in interest" in theU.S. principal party in interest block on the paperSED or in the "U.S. principal party in interest"field of the AES record unless the forwarding or


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other agent acts as an "order party." (Seeparagraph (a)(1)(iii) for definition of order party)

(3) Principal parties in interest. Those personsin a transaction that receive the primary benefit,monetary or otherwise, of the transaction.Generally, the principals in a transaction are theseller and the buyer. In most cases, a forwardingor other agent is not a principal party in interest.

(b) Responsibilities of parties in exporttransactions

(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 toprepare and file the SED or AES record on itsbehalf. If the exporter (U.S. principal party ininterest) prepares the SED or AES record itself,the exporter (U.S. principal party in interest) isresponsible for the accuracy of all the exportinformation reported on the SED or AES record,for signing the paper SED, filing the paper SEDwith U.S. Customs, or transmitting the AESrecord to U.S. Customs.

(ii) When the exporter (U.S. principal party ininterest) authorizes a forwarding or other agent tocomplete the SED or AES record on its behalf, theexporter (U.S. principal party in interest) isresponsible for:

(A) Providing the forwarding or other agentwith the export information necessary to completethe SED or AES record;

(B) Providing the forwarding or other agentwith a power of attorney or written authorizationto complete the SED or AES record, or signingthe authorization block printed on the paper SED(block 23 on Commerce Form 7525-V and block29 on Commerce Form 7525-V-ALT); and

(C) Maintaining documentation to supportthe information provided to the forwarding orother agent for completion of the SED or AESrecord, as specified in § 30.11.

(2) Forwarding or other agent responsibilities.The forwarding or other agent, when authorizedby an exporter (U.S. principal party in interest) toprepare and sign the SED or prepare and file theAES record in an export transaction, isresponsible for:

(i) Accurately preparing the SED or AESrecord based on information received from theexporter (U.S. principal party in interest) andother parties involved in the transaction;

(ii) Obtaining a power of attorney or writtenauthorization to complete the SED or AES record,or obtaining a paper SED with a signedauthorization from the exporter (U.S. principalparty in interest);

(iii) Maintaining documentation to support theinformation reported on the SED or AES record,as specified in § 30.11; and

(iv) Upon request, providing the exporter (U.S.principal party in interest) with a copy of theexport information filed in the form of acompleted SED, an electronic facsimile, or in anyother 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 transactionwhere the foreign principal party in interestauthorizes a U.S. forwarding or other agent toprepare and file the SED or AES record, theexporter (U.S. principal party in interest) mustmaintain documentation to support theinformation provided to the forwarding or other


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agent for preparing the SED or AES record asspecified in § 30.11, and provide such forwardingor other agent with the following information toassist in preparing the SED or AES record:

(i) Name and address of the U.S. principalparty in interest;

(ii) U.S. principal party in interest’s, IRS,EIN;

(iii) Point of origin (State or FTZ);

(iv) Schedu le B desc r ip t i on o fcommodities;

(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 principalparty in interest or its agent, the Export ControlClassification Number (ECCN) or sufficienttechnical information to determine the ECCN; and

(x) Any information that it knows willaffect the determination of license authority.

Note to paragraph (c)(1): For items inparagraph (c)(1)(ix) and (x) of this section, wherethe foreign principal party in interest has assumedresponsibility for determining and obtaininglicense authority, the EAR sets forth theinformation sharing requirements that apply at 15CFR 758.3(c) of the EAR.

(2) Forwarding or other agent responsibilities.In a routed export transaction, the forwarding orother agent is responsible for; obtaining a powerof attorney or written authorization from theforeign principal party in interest to prepare and

file the SED or AES record on its behalf;preparing, signing, and filing the SED or AESrecord based on information obtained from theexporter (U.S. principal party in interest) or otherparties involved in the transaction; maintainingdocumentation to support the informationreported on the SED or AES record, and uponrequest by the exporter (U.S. principal party ininterest), provide appropriate documentation tothe exporter (U.S. principal party in interest)verifying that the information provided by theexporter (U.S. principal party in interest) wasaccurately reported on the SED or AES record.The forwarding or other agent must also providethe following export information on the SED orAES record:

(i) Date of exportation;

(ii) Bill of lading/airway bill number;

(iii) Ultimate consignee;

(iv) Intermediate consignee;

(v) Forwarding or other agent name andaddress;

(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;


January 2001

(xv) License Authority;

(xvi) Signature in the certification block onthe paper SED (block 24 on Commerce Form7525-V and block 36 on Commerce Form 7525-V-ALT). In a routed export transaction theexporter (U.S. principal party in interest) must belisted as U.S. principal party in interest on theSED or on the AES record;

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

(d) Information on the Shipper’s ExportDeclaration (SED) or Automated Export

System (AES) record

The data provided on the SED or AES electronicrecord shall be complete, correct, and based onpersonal knowledge of the facts stated or oninformation furnished by the parties involved inthe export transaction. All parties involved inexport transactions, including U.S. forwarding orother agents, should be aware that invoices andother commercial documents may not necessarilycontain all the information needed to prepare theSED or AES record. The parties must ensure thatall the information needed for completing theSED or AES record, including correct exportlicensing information, is provided to theforwarding or other agent for the purpose ofcorrectly preparing the SED or AES record asstated in this section.

(e) Authorizing a Forwarding or other agent

In a power of attorney or other writtenauthorization, authority is conferred upon an agentto perform certain specified acts or kinds of actson behalf of a principal (see 15 CFR 758.1(h) of

the EAR). In cases where a forwarding or otheragent is filing export information on the SED orAES record, the forwarding or other agent mustobtain a power of attorney or written authorizationfrom a principal party in interest to file theinformation on its behalf. A power of attorney orwritten authorization should specify theresponsibilities of the parties with particularity,and should state that the forwarding or other agenthas authority to act on behalf of a principal partyin interest as its true and lawful agent for purposesof the export transaction in accordance with thelaws and regulations of the United States.

(f) Format requirements for SEDs

The SED shall be prepared in English and shall betypewritten or prepared in ink or other permanentmedium (except indelible pencil). The use ofduplicating processes, as well as the overprintingof selected items of information, is acceptable.

(g) Copies of SEDs

All copies of the SEDs must contain all of theinformation called for in the signature space as toname of firm, address, name of signer, andcapacity of signer. The original SED must besigned in ink, but signature on other copies is notrequired. The use of signature stamps isacceptable. A signed legible carbon or other copyof the export declaration is acceptable as an"original" of the SED.

§30.5

NUMBER OF COPIES OF SHIPPER'S EXPORT DECLARATION REQUIRED

(a) Except as provided elsewhere in theseregulations the Shipper’s Export Declaration shallbe delivered to the carrier or postmasters, asspecified in §§ 30.12 and 30.15, in the followingnumber of copies:


January 2001

(1) In duplicate for shipments, except by mail,destined to all foreign countries except Canada.

(2) One copy only for shipments to Canada(see §30.58 for exemption for shipments fromtheUnited States to Canada) and nonforeign areas.

(3) One copy only for mail shipments to alldestinations.

(b) In addition to the standard requirements setforth in paragraph (a) of this section, additionalcopies of Shipper's Export Declarations may berequired for export control purposes by theregulations of the Office of Export Administrationor other Government agencies or in particularcircumstances by the Customs Director or by thepostmaster.

§30.6

REQUIREMENTS AS TO SEPARATE SHIPPER'S EXPORT DECLARATIONS

Except as specifically provided in subpart C, aseparate Shipper’s Export Declaration (in therequired number of copies--see §30.5) is requiredfor each shipment (consisting of one or morekinds of merchandise) from one consignor to oneconsignee on a single carrier. In addition, morethan one declaration is required for an individualshipment as follows:

(a) For consignments by rail, truck, or othervehicle, requiring more than one rail car, truck, orother vehicle, a separate export declaration isrequired for the merchandise carried in each suchrail car, truck, or other vehicle. However, CustomsDirectors are authorized to waive this requirementwhere multiple car shipments are made under asingle bill of lading or other loading documentand are cleared simultaneously.

(b) [Reserved]

§30.7

INFORMATION REQUIRED ON SHIPPER'S EXPORT DECLARATIONS

The following information shall be furnished inthe appropriate spaces provided on the paper copyof the Shipper’s Export Declaration and shallconform to the requirements set forth in thissection. (See §30.92 for information as to thestatistical classification Schedules C and Dreferred to in this section. Also, see §30.8 forinformation required on Form 7513 in addition tothese requirements.) For information required tobe filed electronically see §30.63.

(a) Port of export

The name of the U.S. Customs port of exportationshall be entered in terms of Schedule D,Classification of Customs Districts and Ports. (See§30.20(c) for definition of port of exportation.)For shipments by mail, the name of the PostOffice where the package is mailed shall beinserted in the space for U.S. port of export.

(b) Method of transportation

Except on Commerce Form 7513, the method oftransportation by which the goods are exported (orshipped to a nonforeign area where the declarationcovers such a shipment) i.e., vessel (includingferry), air, or other, shall be indicated by checkmark in the appropriate space. For shipments bymeans of transportation other than vessel or airthe specific method of transportation (rail, truck,pipeline, etc.) used should be entered. ``Other''should be checked for exported aircraft beingflown away, vessels exported under their ownpower or afloat, or for other vehicles exportedother than aboard another carrier, and the mannerin which exported should be specified; e.g.,``flown away,'' ``in tow,'' etc.


January 2001

(c) Exporting carrier

Information concerning the specific exportingcarrier shall be reported as follows:

(1) For shipments by vessel, the name and flagnationality of the ship and the number or name ofthe pier at which the goods were laden shall beshown.

(2) For shipments by air, the name of the airlineshall be reported.

(3) For shipments by other than vessel or air, thecarrier shall be identified by name and number orother available designation.

In all cases, the information shall be furnished asto the carrier which transports the merchandise toa foreign country or to an ultimate destination ina nonforeign area, and not as to a different carrierwhich may have transported the goods to theseaport, airport, or border port of export for finalshipment.

(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 orAES record the exporter (U.S. principal party ininterest) 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 interestand the U.S. principal party in interest’s EIN shallbe entered where requested on the SED or AESelectronic record. The EIN shall be the U.S.principal party in interest’s own and not another’sEIN.

(1) Name of the U.S. principal party in interest.In all export transactions, the person listed in theU.S. principal party in interest block on the SEDor in the U.S. principal party in interest field onthe AES record must be the exporter (U.S.

principal party in interest) in the transaction. TheU.S. principal party in interest is the person in theUnited 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 inthe United States when the items are purchased orobtained for export. The foreign entity must thenfollow the provisions for preparing and filing theSED or AES record specified in §§ 30.4 and 30.7of this part pertaining to the U.S. principal partyin interest. (See § 30.4 for details on the specificreporting responsibilities of exporter (U.S.principal party in interest)).

(2) U.S. principal party in interest’s EmployerIdentification Number (EIN) . An exporter (U.S.principal party in interest) shall report its ownInternal Revenue Service (IRS) EIN in the U.S.principal party in interest’s (IRS) EIN block/fieldon the SED or AES record. If, and only if, no IRSEIN has been assigned to the exporter (U.S.principal party in interest), the exporter’s (U.S.principal party in interest) own SSN, preceded bythe symbol "SS," must be reported on the paperSED. On the AES record the appropriate SSNsymbol must be reported. When a foreign entityis in the United States when the items arepurchased or obtained for export it is the exporter(U.S. principal party in interest). In suchsituations, when the foreign entity does not havean EIN or SSN, a border crossing number,passport number, or any number assigned by U.S.Customs must be reported on the SED or the AESrecord. On the paper SED, the appropriatenumber should be preceded by the symbol "T."On the AES record, the appropriate AES identifiercode as specified in the Automated Export SystemTrade Interface Requirements (AESTIR) must bereported. Use of another’s EIN or SSN isprohibited.

(e) Forwarding or other agent

The name and address of the duly authorized


January 2001

forwarding or other agent (if any) of a principalparty in interest must be recorded where requiredon the SED or AES record. (See §30.4 for detailson the specific reporting responsibilities offorwarding or other agents).

(f) Ultimate consignee

The name and address (place, country) of theultimate consignee whether by sale in the UnitedStates or abroad or by consignment shall be statedon the export declaration. For exports to foreigncountries, the ultimate consignee shall be the sameperson so designated in the validated exportlicense or authorized to be ultimate consigneeunder the applicable general license in conformitywith Export Administration Regulations.

(g) Intermediate consignee

The name and address of the intermediateconsignee (if any) shall be stated. For exports toforeign countries, the intermediate consignee shallbe the person named as such in the validatedexport license or authorized to act as such underthe applicable general license and in conformitywith the Export Administration Regulations. Ifthere is no intermediate consignee, the word“none” shall be entered on the Shipper's ExportDeclaration. (On Form 7513 the name and addressof the intermediate consignee (if any) in a foreigncountry must be shown below the description ofcommodities across columns 1 through 6.)

(h) Foreign port of unloading

For shipments by vessel and by air the foreignport and country of unloading (i.e., the foreignport and country at which the merchandise will beunlad-en from the exporting carrier) shall beshown on the Shipper's Export Declaration inaddition to the country of ultimate destination.The reporting of “optional” ports of unloading isnot permissible except as provided in the Export

Administration Regulations.4 Where optionalports of unloading are named on the Shipper'sExport Declaration under the permissibleconditions, a photocopy, carbon, or other legiblecopy of the originally filed Shipper's ExportDeclaration indicating the actual port of unloadingshall be filed by the exporter or his agent with theCustoms Director as soon as the actual port ofunloading is known to the exporter. (See §30.16of these regulations.) Information as to port ofunloading is required for shipments by vessel andair only.

(i) Country of destination

Country of destination shall be reported on theShipper's Export Declaration in terms of thenames designated in Schedule C-E, Classificationof 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 theexport decaration shall conform to the country ofultimate destination as shown on the license.

(2) For shipments not moving under validatedexport license, the country of ultimate destinationas known to the exporter at the time or exportationshall be shown on the export declaration.“Country of ultimate destination” means thecountry in which the goods are to be consumed orfurther processed or manufactured. The country towhich the goods are being shipped is not thecountry of ultimate destination for purposes ofpreparing the Shipper's Export Declaration if theexporter has knowledge at the time the goodsleave the United States that they are intended forreexport or transshipment in their present form toanother known country. For goods shipped toCanada, Panama, Hong Kong, Belgium or TheNetherlands for example, special care should be

4 See Export Administration Regulations.(See footnote 2 to §30.2)


January 2001

exercised before reporting these countries as theultimate destination, since these are countriesthrough which merchandise from the UnitedStates is frequently transshipped. If the shipperdoes not know the ultimate destination of thegoods, the country of destination to be shown onthe export declaration is the last country, asknown to the exporter at the time of shipmentfrom the United States, to which the goods are tobe shipped in their present form. (For instructionsas to the reporting of country of destination forvessels sold or transferred from the United Statesto foreign ownership, see §30.33.)

(j) Marks and numbers

For purposes of identification of the exportdeclaration with the merchandise it covers, themarks, numbers, or other identification shown onthe packages should be inserted. This informationis not required for shipments by mail inasmuch asthe declaration is presented to thePostmaster withthe packages being mailed.

(k) Number and kind of packages

The number and kind of packages (i.e., boxes,barrels, baskets, bales, etc.) shall be stated.

(l) Description of commodities and Schedule B number

The correct commodity number as provided inSchedule B, Statistical Classification of Domesticand Foreign Commodities Exported from theUnited States, shall be entered in the spaceprovided on the Shipper's Export Declarationform, and a description of the merchandise shallbe supplied in the “Description of Commodities”column in sufficient detail to permit theverification of the Schedule B commoditynumber. The name of the commodity, in termswhich can be identified or associated with thelanguage used in Schedule B (usually thecommercial name of the commodity), and any andall characteristics of the commodity which

distinguish it from commodities of the same namecovered by other Schedule B classifications shallbe clearly and fully stated. Careful reference tothe Schedule B classification scheme for relatedcommodities as well as for the commodity beingshipped is necessary in order to establish whichparticular characteristics must be stated in thedescription to permit verification of the correctSchedule B commodity number and to eliminateany question that some other commodity numbermight apply. A description of commodities in thekind of detail specified above is a separaterequirement, and the furnishing of the correctSchedule B commodity number does not relievethe exporter of furnishing, in addition, a completeand accurate commodity description in accordancewith this requirement. If the shipment is movingunder a validated license, the description shownon the export declaration shall conform with thatshown on the validated export license. However,where the description on the license does not stateall of the characteristics of the commodity whichare needed to completely verify the commoditynumber, as described above, the missingcharacteristics, as well as the description shownon the license, shall be stated in the commoditydescription on the Shipper's Export Declaration.

(m) Export license number and expiration date (or general license symbol)

For exports to foreign countries the export licensenumber and expiration date, or the general licensesymbol shall be shown below the description ofthe commodity.

(n) Net quantity

Where a unit of quantity is specified in ScheduleB for the commodity number in which the item isclassified, net quantity is required to be reportedin the specified unit, and the unit in whichreported should be indicated on the declarationfollowing the net quantity figure. Where the unitof quantity specified in Schedule B is “No.”


January 2001

(number), “Each” or the abbreviation “Ea.” maybe indicated on the declaration as the unit ofquantity. If no unit of quantity is specified inSchedule B for a numbered classification, but avalidated export license for the item specifies aunit of quantity, the net quantity shall be reportedon the declaration in terms of the unit of quantityspecified in the validated license. If neitherSchedule B nor an applicable validated licensespecifies a unit of quantity for the item, netquantity is not required to be reported, and an “X”should be entered in the “net quantity” column onthe Shipper's Export Declaration. Where ScheduleB calls for two units of quantity, net quantity shallbe reported in terms of both units. Where thespecified unit is in terms of weight (ounces,pounds, etc.) the net quantity should reflect thenet weight, exclusive of the weight of barrels,boxes, or other bulky coverings, and exclusive ofsalt or pickle in the case of salted or pickled fishor meats. Note, however, That for a fewcommodities where “content lb.” “dry weight,” orsome similar weight unit is specified in ScheduleB, the net quantity to be reported on the Shipper'sExport Declaration may be less than the netweight. In the expression of net quantities,fractions of one-half unit or upward will becounted as a whole unit, and fractions of less thanone-half unit will be ignored, except that wherethe total net quantity is less than one-half of theunit prescribed for the commodity in Schedule B“Less than one-half (unit)” should be reported.(For example, where the unit for a givencommodity is in terms of “M board feet,” a netquantity of 8,400 board feet would be reported as“8 M bd. ft.” and a net quantity of 900 board feetwould be reported as “1 M bd. ft.”; however, atotal net quantity of 450 board feet should not beignored but should be reported as “less thanone-half M bd. ft.”.)

(o) Gross (shipping) weight

In addition to specifying the net quantity in theunits required by Schedule B, the gross shippingweight in pounds, including the weight of

containers, shall be shown for all shipments byvessel and air. However, for containerized cargoin lift vans, cargo vans, or similar substantial outercontainers, the weight of such containers shouldnot be included in the gross weight of thecommodities. If gross shipping weight informationis not available for individual Schedule B itemsfor the reason that commodities covered by morethan one Schedule B number are contained in thesame shipping container, approximate shippingweights, estimated as accurately as is practicable,may be shown on the Shipper's ExportDeclarations for each Schedule B item in thecontainer. The total of the estimated weights mustequal the actual shipping weight of the entirecontainer or containers and contents. Grossshipping weight is not required for shipments bymail or for shipments by methods oftransportation other than vessel or air.

(p) “D” (Domestic) or “F” (Foreign)

(1) The export declaration covering exports toforeign countries shall show foreign goodsseparately from goods of domestic production.Exports of foreign merchandise include thosecommodities which are the growth, produce, ormanufacture of foreign countries which enteredthe United States, including U.S. Foreign TradeZones, as imports and which at the time ofexportation have undergone no change in form orcondition or enhancement in value by furthermanufacture in the United States, including U.S.Foreign Trade Zones, Puerto Rico, or U.S.Possessions. (2) Exports of domestic merchandise includethose commodities which are the growth, produce,or manufacture of the United States, includingU.S. Foreign Trade Zones, Puerto Rico, or U.S.Possessions (including commodities incorporatingforeign components), and those articles of foreignorigin which have been enhanced in value orchanged from the form in which imported byfurther manufacture or processing in the UnitedStates, including U.S. Foreign Trade Zones,


January 2001

Puerto Rico, or U.S. Possessions.

(3) The above distinction between domestic andforeign merchandise is intended only for use inreporting on the Shipper’s Export Declaration andis intended for statistical purposes only.

(4) On the Shipper’s Export Declaration in thecolumn headed “Specify ‘D’ or ‘F’”, domesticmerchandise shall be identified by the designation“D” and foreign merchandise shall be identifiedby the designation “F.” On the Shipper's ExportDeclaration for In-Transit Goods, Form 7513, oneof the following statements, whichever isappropriate, shall be shown across the body of theform within columns 1 through 6:

(i) For in-transit shipments of domestic (U.S.)merchandise, “The merchandise described hereinis of the growth, production or manufacture of theUnited States;” and

(ii) for in-transit shipments of foreignmerchandise, “The merchandise described hereinis of foreign origin.”

(q) Value

(1) In general, the value to be reported on theShipper’s Export Declaration or AES record shallbe the value at the U.S. port of export (sellingprice or cost if not sold, including inland freight,insurance, and other charges to U.S. port ofexport) (nearest whole dollar; omit cents figures).The "Selling price" for goods exported pursuant tosale, and the value to be reported on the SED orAES record, is the exporter’s (U.S. principal partyin interest) price to the foreign principal party ininterest, net any unconditional discounts from listprice, but without deducting any discounts whichare conditional upon a particular act orperformance on the part of the customer.Commissions to be paid by an exporter (U.S.principal party in interest) to his agent abroad, orto be deducted from the selling price by the agentabroad should be excluded. For goods shipped on

consignment without a sale actually having beenmade at the time of export, the "selling price" tobe reported on the SED or AES record is themarket value at the time of export at the UnitedStates port from which exported.

(2) The value reported on the Shippers’ ExportDeclaration shall exclude: The cost of loading onthe exporting vessel, aircraft, car or vehicle at theport of exportation; freight, insurance, and anyother charges or transportation costs beyond theport of export; and any duties, taxes, or otherassessments imposed by foreign countries. Thevalue reported shall include inland or domesticfreight or other charges to the seaport, airport, orborder 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. aU.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 theselling price (as defined above) for purposes ofreporting value on the Shipper’s ExportDeclaration. If the actual amount of such domesticcosts is not available, an estimate of the domesticcosts shall be added. Where goods are sold at a‘‘delivered’’ price, c.i.f. foreign destination, thecost of loading on the exporting carrier at the portof exportation, if any, and freight, insurance, andother costs beyond the port of exportation shouldbe subtracted from the price for purposes ofreporting value on the Shipper’s ExportDeclaration. If the actual amount of such costs isnot available, an estimate of the costs should besubtracted. Costs added to or subtracted from theselling price in accordance with the aboveinstructions should not be itemized or shownseparately on the Shipper’s Export Declaration,but the value reported should be the value afterthe making of such adjustments, where they arerequired 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 beignored, and fractions of 50 cents or upward


January 2001

should be counted as $1.

(4) For definitions of the value to be shown on theShipper’s Export Declaration for special types oftransactions where the commodities are not beingexported pursuant to commercial sales, or wheresubsidies, government financing or participation,or other unusual conditions are involved, see§30.30.

(r) Date of exportation

Information as to date of exportation is notrequired to be reported for shipments by vessel orby mail. For other shipments, the date of departure(or date of clearance, if date of departure is notknown) shall be shown on the Shipper's ExportDeclaration as the date of exportation.

(s) Designation of agent and signature

For information regarding the use of the spaceprovided on Form 7525-V and 7525-V-Alternate(Intermodal) for authorization of agent, and forrequirements as to signature, see § 30.4.

(t) Point (state) of origin or Foreign Trade Zone number

(Not required for in-transit merchandisedocumented on Form 7513.)

(1) The state in which the merchandise actuallybegins its movement in international trade; that is,the state in which the merchandise actually startsits journey to the port of export. For example, aShipper's Export Declaration coveringmerchandise laden aboard a truck at a warehousein Georgia for transport to Florida for loadingonto a vessel for export to a foreign country shallshow Georgia as the state of origin. This may notbe the state where the merchandise was produced,mined, or grown, or necessarily the state wherethe exporter is located. The state designation to beshown shall be the U.S. Postal Service's standardtwo-letter state abbreviation.

(2) For shipments of multistate origin, reported ona single SED, report state of the commodity of thegreatest value or, if such information is not knownat the time of export, the state in which thecommodities are consolidated for export.

(3) For merchandise exported from a U.S. ForeignTrade Zone, the letters “FTZ” followed by theForeign Trade Zone number shall be reported.

(u) Containerized

(Not required for in-transit merchandisedocumented on Form 7513.) This information isrequired to be shown for vessel shipments only. Acontainerized shipment is one transported in anysize van-type container such as 8' x 8' x 20' or 8' x8' x 40'. Cargo originally booked as containerizedcargo as well as that placed in containers at thevessel operator's option shall be included.

(v) Parties to transaction

(Not required for in-transit merchandisedocumented on Form 7513.) An export betweenrelated parties is one--

(1) From a U.S. person (U.S. exporter) to aforeign business enterprise (foreign consignee) inwhich at anytime during the fiscal year, the U.S.person owned or controlled, directly or indirectly,10 percent or more of the voting securities of theforeign enterprise, if an incorporated businessenterprise; or an equivalent interest, if anunincorporated business enterprise, including abranch; 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 orcontrolled, directly or indirectly, 10 percent ormore of the voting securities of the U.S. businessenterprise, if an incorporated business enterprise;or an equivalent interest if an unincorporatedbusiness enterprise, including a branch.


January 2001

§30.8

ADDITIONAL INFORMATIONREQUIRED ON SHIPPER'S EXPORTDECLARATION FOR IN-TRANSIT

GOODS (FORM 7513)

In addition to the information required under§30.7, the following information shall be shownon the Shipper's Export Declaration for In-TransitGoods, Form 7513:

(a) U.S. port of arrival

The U.S. port at which the merchandise coveredby the declaration arrived from a foreign countryshall be shown.

(b) Country from which shipped

The name of the foreign country where the goodswere loaded on the carrier which transported themerchandise to the United States from a foreigncountry shall be indicated.

(c) Date of arrival

The date on which the merchandise arrived in theUnited States shall be entered.

(d) Country of origin

The name of the country of origin as defined in§30.70(f) shall be indicated.

§30.9

REQUIREMENTS FOR SEPARATIONAND ALIGNMENT OF ITEMS ON

SHIPPER'S EXPORT DECLARATIONS

For each Schedule B classification (see §30.7(l))for which merchandise is included in theshipment, a separate item shall be shown on theShipper's Export Declaration and the separate

description of commodities, shipping weight, “D”or “F” designation, Schedule B commoditynumber, net quantity and value for the item shallbe correctly aligned horizontally, and clearlydistinguishable from information applying to otherSchedule B items on the same declaration.However, where merchandise covered by a singleSchedule B classification is moving under morethan one general license, under more than onevalidated export license, or under a validatedexport license which shows two or more listingsfor the same Schedule B number, a separate itemshall be shown on the Shipper's ExportDeclaration for each license or for each listing onthe license.5 For merchandise moving undervalidated license, information required by exportcontrol regulations as to export license numberand expiration date, and information as to whetherthe export is a partial or complete shipmentagainst the license, shall be shown immediatelybelow the corresponding description ofcommodities on the Shipper's Export Declaration.Where two or more items are classified under thesame Schedule B number and moving under thesame general license, or where no license isrequired, the quantities, values and shippingweights of such invoice items, wherever practical,should be combined and the information shown ona single horizontal line of the Shipper's ExportDeclaration. Commodities of U.S. manufactureincorporating foreign components shall bereported under the Schedule B number for theexported commodity, and a separate item shall notbe shown for the imported components. If theexporter desires to record the importedcomponents separately on the export declarationfor purposes of identification with a temporaryimport bond, a notation may be made in the“Description of Commodities” column as to theimported components that have been incorporated

5 See Sec. 30.6 for prohibition againstreporting general license commodities on the sameShipper’s Export Declaration with commoditiesmoving under a validated license.


January 2001

in the exported commodity. In the preparation ofthe export declaration, shippers shall conform tothe line spacing on all copies.

§30.10

CONTINUATION SHEETS FOR SHIPPER'S EXPORT DECLARATION

When more horizontal lines than the numberprovided on the Shipper’s Export Declaration formare required to list all of the merchandise coveredby the declaration, Continuation Sheets should beutilized.6 In lieu of official Continuation Sheets,additional copies of the Shipper’s ExportDeclaration form with no portion torn off orremoved, may be used as continuation sheets. Allcontinuation sheets shall be numbered in propersequence and securely stapled to the first sheet,which must be the export declaration itself. Eachcontinuation sheet shall show the Customs port ofexportation and the country of ultimatedestination for the shipment. The followingstatement with the blank filled in as appropriateshall be inserted on the last line of the descriptioncolumn of the Shipper’s Export Declaration itself:

§30.11

AUTHORITY TO REQUIREPRODUCTION OF DOCUMENTS

For purposes of verifying the completeness andaccuracy of the information reported as requiredunder §§30.7 and 30.8, and for other purposesunder the regulations in this part, Customs isauthorized to require the owners and operators ofexporting carriers, as well as the exporters or theiragents, either at the time of exportation or withina period of 3 years subsequent thereto, to producefor inspection or copying shipping documents,

invoices, orders, packing lists, correspondence, aswell as any other relevant documents and tofurnish other information bearing upon aparticular exportation. The Bureau of the Censusis similarly authorized to require the production ofsuch documents. Customs shall refuse to acceptShipper's Export Declarations containing knownerrors and omissions, and may require theircorrection, but acceptance by the CustomsDirector shall not be construed as evidence that allrequirements have been met, and such acceptanceshall not relieve the exporter of the responsibilityto furnish complete and correct information at alater time if all requirements have in fact not beenproperly met.

§30.12

TIME AND PLACE SHIPPER'S EXPORTDECLARATIONS REQUIRED TO BE

PRESENTED

For shipments by mail, the Shipper’s ExportDeclaration as required in §30.1 shall bepresented to the postmaster with the packages atthe time of mailing. For shipments other than bymail, except as otherwise provided, the Shipper'sExport Declaration in the number of copiesrequired by §30.5 shall be delivered to theexporting carrier prior to exportation. It is the dutyof the exporter (or his agent) to deliver therequired number of copies of the Shipper's ExportDeclaration to the exporting carrier prior toexportation; failure of the exporter (or his agent)to do so constitutes a violation of the provisions ofthese regulations, and renders such exporter (orhis agent) subject to the penalties provided for in§30.95. For shipments by pipeline, the Shipper'sExport Declaration is not required to be presentedprior to exportation, and exportation will bepermitted upon the understanding that the exporteror his agent, within 4 working days after the endof each calendar month, will file with the CustomsDirector having jurisdiction for the pipeline, aShipper's Export Declaration in the number ofcopies specified in §30.5 to cover exports to each

6 See §30.3(b). “This declaration consistsof this sheet and No. continuation sheets.”


January 2001

consignee during the calendar month.

§§30.13--30.14

[Reserved]

§30.15

PROCEDURE FOR PRESENTATION OFDECLARATIONS COVERING

SHIPMENTS FROM AN INTERIORPOINT

For shipments from an interior point, the Shipper’sExport Declaration in the number of copiesrequired in §30.5 may be prepared and deliveredby the exporter or his agent to the inland carrier toaccompany the merchandise to the exportingcarrier at the seaport, airport, or border port ofexportation, or it may be otherwise delivereddirectly to the exporting carrier. In either case, theShipper's Export Declaration must be in theexporting carrier's possession prior to exportation.(See §30.6 for requirements for a separate set ofShipper's Export Declarations, for each car, truckor other vehicle, covering only the merchandiseexported in that car, truck, or vehicle.)

§30.16

CORRECTIONS TO SHIPPER'S EXPORTDECLARATIONS

The Exporter (U.S. principal party in interest) (orits agent) must report corrections, cancellations,or amendments to information reported onShipper’s Export Declarations to the CustomsDirector at the port of exportation (or, in the caseof mail shipments directly to the U.S. CensusBureau, National Processing Center, Attention:Foreign Trade Section, 1201 East 10th Street,Jeffersonville, Indiana 47132) as soon as the needto make such correction, cancellation, oramendment is determined. Such corrections,cancellations, or amendments may be made

directly onto the originally filed Shipper’s ExportDeclaration if the originally filed declarationshave not already been mailed to the Bureau of theCensus. If the originally filed Shipper’s ExportDeclarations have already been mailed to theBureau of the Census, a photocopy, carbon, orother legible copy of the originally filed Shipper’sExport Declaration, on which the incorrect dataare neatly lined out and the corrected data enteredthereon, shall be promptly filed with the CustomsDirector at the port of exportation (or, in the caseof mail shipments, with the Postmaster at the postoffice where the shipment was mailed). Suchcorrection copies should have the words“CORRECTION COPY” conspicuously shown inthe upper right portion of the form. The provisionsof this paragraph relating to the reporting ofcorrections, amendments, or cancellations ofinformation, shall not be construed as a relaxationof the requirements of the laws and regulationspertaining to the preparation and filing ofShipper's Export Declarations.

SUBPART B

GENERALREQUIREMENTS-EXPORTING

CARRIERS

§30.20

GENERAL STATEMENT OFREQUIREMENT FOR THE FILING OFMANIFESTS AND SHIPPER'S EXPORT

DECLARATIONS BY CARRIERS

(a) Carriers transporting merchandise from theUnited States, Puerto Rico, or U.S. Possessions toforeign countries; from the United States orPuerto Rico to the Virgin Islands of the UnitedStates; or between Puerto Rico and the UnitedStates; shall not be granted clearance, whereclearance is required, and shall not depart, where


January 2001

clearance is not required, until manifests (forvessels, aircraft, and rail carriers) and Shipper’sExport Declarations have been filed with theCustoms Director as specified in paragraphs (b)through (d) of this section, except as provided in§30.24. Where for reasons beyond the control ofthe exporting carrier, a given declaration (ordeclarations) has not been received prior toexportation or departure, and the merchandise hasbeen laden, such carrier shall not as a result of thiscircumstance be required to off-load themerchandise, or to delay its clearance (whereclearance is required) or departure (if clearance isnot required). However, the provisions of §30.24remain applicable.

(b) For carriers transporting merchandise from theUnited States to Puerto Rico, the completemanifest, as required, and all required Shipper'sExport Declarations shall be filed within onebusiness day after arrival, as defined in 19 CFR4.2(b), with the Customs Director in Puerto Rico,except as provided in §30.24.

(c) Except as otherwise specifically provided,declarations should not be filed at the place wherethe shipment originates if it is to be transshippedwithin the United States area before beingdispatched to a foreign country or to its finaldestination in a nonforeign area. This applies toshipments originating in Puerto Rico or the VirginIslands of the United States being forwarded tothe United States for transshipment to anotherdestination, and to shipments originating in theUnited States and being forwarded to Puerto Ricoor the Virgin Islands of the United States fortransshipment, as well as to merchandise beingtransshipped in Customs Districts within theStates of the United States. In such cases, thedeclarations should be filed only with theCustoms Director at the actual port of exportation.

(d) For purposes of these regulations, the port ofexportation is defined as the Customs port atwhich or nearest to which the land surface carrier

transporting the merchandise crosses the border ofthe United States into foreign territory, or, in thecase of exportation by vessel or air, the Customsport where the merchandise is loaded on thevessel or aircraft which is to carry themerchandise to a foreign country or to anonforeign area of ultimate destination.

§30.21

REQUIREMENTS FOR THE FILING OFMANIFESTS

(a) Vessels

Vessels transporting merchandise as specified in§30.20 (except vessels exempted by paragraph (d)of this section) shall file a complete CargoDeclaration, Customs Form 1302, or a CargoDeclaration Outward With Commercial Forms,Customs Form 1302-A, either form with copies ofbills of lading or equivalent commercial formsrelating to all cargo encompassed by the manifestattached thereto. The manifest shall be filed withthe Customs Director at the respective ports wherethe merchandise is laden (for shipments from theUnited States to Puerto Rico, the manifest shall befiled with the Customs Director in the port wherethe merchandise is unladen in Puerto Rico), andshall show the destination of the vessel and list allthe cargo so laden. For each item of cargo, themanifest shall show a description of the articles,contents, quantities, and values; however, anotation on the Cargo Declaration that values areas stated on the Shipper's Export Declarations,copies of which are attached to such manifest, willbe accepted. There shall also be shown for eachitem of cargo the bill of lading number on theShipper's Export Declaration covering the item,except that bill of lading numbers are not requiredon manifests covering cargo destined for Canadaor a nonforeign area. If an item on a CargoDeclaration is one for which a Shipper's ExportDeclaration is not required, a notation shall beinserted on the Cargo Declaration as to the basisfor the exemption with a reference to the number


January 2001

of the section in the regulations where theparticular exemption is provided. The bills oflading, cargo lists, or other commercial formsmust be securely attached to the CargoDeclaration in such manner as to constitute onedocument; that they are incorporated by suitablereference on the face of the form such as ‘‘Cargoas per bills of lading attached,’’ or ‘‘Cargo as percommercial forms attached,’’ and that there isshown on the face of each bill the informationrequired by the Cargo Declaration for the cargocovered by that document. The manifest of vessels(including vessels taking bunker fuel to be ladenaboard vessels on the high seas) clearing forforeign countries shall also show the quantitiesand values of bunker fuel taken aboard at that portfor fueling use of the vessel, apart from suchquantities as may have been laden on vessels ascargo. The quantity of coal shall be reported inmetric tons (2240 pounds), and the quantity offuel oil shall be reported in barrels of 158.98 liters(42 gallons). Fuel oil shall be described in suchmanner as to identify diesel oil as distinguishedfrom other types of fuel oil.

(b) Aircraft

Aircraft transporting merchandise as specified in§30.20 shall file a complete manifest on CustomsForm 7509. Such manifest shall be filed with theCustoms Director at the respective ports where themerchandise is laden (for shipments from theUnited States to Puerto Rico, the manifests shallbe filed with the Customs Director in the portwhere the merchandise is unladen in Puerto Rico)aboard the aircraft that is to carry the merchandiseto the foreign country or to its ultimate destinationin a nonforeign area, and shall list all the cargo soladen and show, for each item, the air waybillnumber or marks and numbers on packages, thenumber of packages, and the nature of the goods,except as otherwise provided in this paragraph (b).In addition, for any item for which a Shipper'sExport Declaration is not required under theregulations in this part, a notation as to the basisfor the exemption with a reference to the number

of the section in this part where the particularexemption is provided, shall be inserted on themanifest, or on the waybill filed in lieu of listingon the manifest. In the case of shipments on an airwaybill, a copy of each document may be attachedto the cargo manifest, the numbers of such airwaybills listed in the body of the manifest, and thestatement ``Cargo as per Air Waybills Attached''noted on the manifest. On direct departures only,for shipments requiring a Shipper's ExportDeclaration a copy of each declaration may beattached to the cargo manifest. In such case the airwaybill numbers of such declarations shall belisted on the cargo manifest in the column for airwaybill numbers, and the statement ̀ `Cargo as perSEDs Attached'' noted on the manifest. Under thisalternative procedure, any shipments not requiringa Shipper's Export Declaration shall be listed onthe manifest, and a notation as to the basis for theexemption with a reference to the number of thesection in this part where the particular exemptionis provided, shall be shown. For aircrafttransporting merchandise between the UnitedStates and Puerto Rico, the manifest shall consistof full detail for cargo requiring Shipper's ExportDeclarations and summary information for cargoexempt for Shipper's Export Declarationrequirements. This summary information willinclude, on a single line, the total number ofpackages and the total weight, in kilograms, ofsuch exempt shipments. Additionally, the airwaybills for all shipments must be available, inthe port of arrival or departure in Puerto Rico, forinspection by Customs and/or the Census Bureau.

(c) Rail carriers

Rail carriers transporting merchandise as specifiedin §30.20 shall file a car manifest. Such manifestshall be filed with the Customs Director at theborder port of exportation, giving the marks andnumbers, the name of the shipper or consignor,description of goods and the destination thereof.The manifest may be a waybill, or a copy thereof,or a copy of the manifest prepared for foreigncustoms. For any item for which a Shipper's


January 2001

Export Declaration is not required by theseregulations, a notation on the manifest, or an oraldeclaration to the Customs Director, shall be madeby the carrier as to the basis for the exemption.

(d) Carriers not required to file manifests

These regulations do not require the filing ofmanifests by carriers other than vessels, aircraftand rail carriers, nor by vessels under 5 net tonsengaged in trade with a foreign country otherwisethan by sea, nor by vessels specifically exemptedfrom entry by section 441, Tariff Act of 1930, asamended.

§30.22

REQUIREMENTS FOR THE FILING OFSHIPPER'S EXPORT DECLARATIONS BY

DEPARTING CARRIERS

(a) To meet the requirements of §30.20 for thefiling of Shipper's Export Declarations, everydeparting carrier transporting merchandise asspecified in §30.20, including vessels, aircraft, railcarriers, trucks and other vehicles, ferries, andevery other carrier shall deliver to the CustomsDirector at the port of exportation (for shipmentsfrom the United States to Puerto Rico, at the portof arrival in Puerto Rico), with the manifest of thecarrier, if a manifest is required by the regulationsin this part, Shipper's Export Declarationsprepared and signed by the exporters, or theiragents, covering all the cargo for which suchShipper's Export Declarations are required by theregulations in this part.

(b) The exporting carrier shall be responsible forthe accuracy of the following items of information(where required) on the declaration: Name ofcarrier (including flag if vessel carrier), U.S.Customs port of exportation, method oftransportation from the United States, foreign portof unloading, the bill of lading or air waybill

number, and whether or not containerized. Forshipments to Canada exempt from Shipper'sExport Declaration filing requirements (See§30.58), the exporting carrier shall enter the U.S.Customs port of exportation and method oftransportation from the United States on the bill oflading, air waybill, or other documents that theyprepare.

(c) Except as provided in paragraph (d) of thissection, when a transportation company finds,prior to the filing of declarations and manifest asprovided in paragraph (a) of this section, that dueto circumstances beyond the control of thetransportation company or to inadvertence, aportion of the merchandise covered by anindividual Shipper's Export Declaration has notbeen exported on the intended carrier, thetransportation company shall correct thedescriptions and the quantity, value and shippingweight (if any) amounts shown on the declarationto reflect the amount actually exported on thecarrier named in the Shipper's Export Declaration.If a short shipment of this type is discovered bythe carrier after the Shipper's Export Declarationin question has been delivered to the DistrictDirector of Customs, the transportation companywill immediately notify the District Director ofCustoms so that a correction can be made by theDirector on all copies of the declaration if it isstill in his possession. If the statistical copy of thedeclaration has been transmitted by the Director tothe Bureau of the Census at the time of suchnotification, the Director will require the exporter(or his agent) to file a ``Correction Copy'' of theoriginally filed Shipper's Export Declaration asdescribed in §30.16 of these regulations. If thebalance of the short-shipped merchandise issubsequently exported, a new Shipper's ExportDeclaration, complete in all detail, will berequired. If the short-shipped merchandise isexported on a carrier of the transportationcompany named in the original declaration, and ifsuch exportation is made within a reasonableperiod, the District Director of Customs mayaccept a declaration executed by such


January 2001

transportation company; otherwise the newdeclaration shall be executed by the exporter orhis agent. In any event, the new declaration shallcontain the following statement:

These commodities or technical data wereincluded, but not shipped, on a Shipper’sExport Declaration filed at ---------- (Port)on ---------- (Date).

(d) When a shipment by air covered by a singleShipper’s Export Declaration is divided by thetransportation company and exported in more thanone aircraft of the transportation company, the‘‘split shipment'' procedure provided in §30.41shall be followed by the transportation companyin delivering manifests and Shipper's ExportDeclarations to the District Director of Customs. (e) Exporting carriers are authorized to amendincorrect shipping weights reported on Shipper'sExport Declarations, and to prorate total shippingweights among the individual commodities, wheresuch carriers are able to do so based uponinformation in their possession.

§30.23

REQUIREMENTS FOR THE FILING OFSHIPPER'S EXPORT DECLARATIONS BY

PIPELINE CARRIERS

The operator of a pipeline may transportmerchandise to a foreign country without priorfiling of Shipper’s Export Declarations, on thecondition that within 4 days following the end ofeach calendar month the pipeline operator willdeliver to the Customs Director Shipper’s ExportDeclarations prepared by the exporter or his agentcovering all exportations through the pipeline toeach consignee during the month.

§30.24

CLEARANCE OR DEPARTURE OFCARRIERS UNDER BOND ON

INCOMPLETE MANIFEST OR SHIPPER'SEXPORT DECLARATIONS

(a) For purposes of the regulations in this part,except when carriers are transporting merchandisefrom the United States to Puerto Rico, clearance(where clearance is required) or permission todepart (where clearance is not required) may begranted to any carrier by the Customs Directorprior to the filing of a complete manifest asrequired under the regulations in this part, or priorto the filing by the carrier of all required Shipper’sExport Declarations, provided that a bond asspecified in paragraph (b) of this section is filedwith the Customs Director. The condition of thebond shall be that a complete manifest, where amanifest is required by the regulations in this partand all required Shipper’s Export Declarations,shall be filed by the carrier not later than thefourth business day after clearance (whereclearance is required) or departure (whereclearance is not required) of the carrier except asotherwise specifically provided in paragraphs (a)(1) and (2) of this section. For carrierstransporting merchandise from the United Statesto Puerto Rico, if the complete manifest, asrequired, and all required Shipper’s ExportDeclarations are not available for filing with theCustoms Director in Puerto Rico within onebusiness day after arrival, a bond, as specified inparagraph (b) of this section shall be filed with theCustoms Director in Puerto Rico.

(1) For shipments aboard a U.S. flag carrierbetween the United States and Puerto Rico, orfrom the United States or Puerto Rico to theVirgin Islands of the United States, the conditionof the bond shall be that a complete manifest(where a manifest is required) and all requiredShipper’s Export Declarations shall be filed by thecarrier not later than the seventh business dayafter departure or in the case of shipments from


January 2001

the United States to Puerto Rico, the seventhbusiness day after arrival.

(2) For rail carriers to Canada, the condition of thebond shall be that the manifest and all requiredShipper’s Export Declarations shall be filed notlater than the 15th business day after departure.Inthe event that any required manifest and allrequired Shipper’s Export Declarations are notfiled by the carrier within the period provided bythe bond, then a penalty of $50 shall be exactedfor each day’s delinquency beyond the allowedperiod of 4 days, 7 days, or 15 days, asappropriate; and if the completed manifest, whererequired, and all required Shipper’s ExportDeclarations are not filed within 3 days followingthe period of 4 days, 7 days, or 15 days, allowedunder the bond, then for each succeeding day ofdelinquency a penalty of $100 shall be exacted,but no penalty shall exceed $1,000 in total.Remission or mitigation of the penalties providedherein may be granted in those cases where, in thejudgment of the administering authority providedin paragraph (b) of this section, the penalties wereincurred without willful negligence or fraud, orother circumstances justify a remission ormitigation. (b) Bonds filed in accordance with the provisionsof this §30.24 may take the form of a single entrybond on Customs Form 7567 in the amount of$1,000 or of a term or blanket bond on CustomsForm 7569 in the amount of $10,000 or suchlarger amount as the Secretary of the Treasurymay prescribe, or in other approved form. Exceptas provided below in this paragraph, there shall beshown on the bond, or on a separate listing whichrefers to and is made a part of the bond, a proforma list of shipments on board the departingcarrier for which Shipper's Export Declarationshave not been filed with the Customs Director.The list shall show for each such shipment thename of the shipper, the country to whichexported, marks and numbers of the packages, thenumber and kind of packages, a description of thegoods and the value (or estimated value).

However, where such waiver will not interferewith the ability of the Customs Director to checkon performance under the bond, or with theidentification of the shipment for purposes ofobtaining statistical information in the event offailure of performance under the bond, theCustoms Director may waive the requirement forthe pro forma list of shipments for whichdeclarations are missing, or may accept a listcontaining less than the items of informationenumerated above. Approval of bonds andadministration of the provisions of the regulationsin this part relating to performance by carriersunder such bonds, including remission andmitigation of penalties incurred by the carriers,are hereby delegated to the Commissioner ofCustoms or his delegate to be carried out inaccordance with the provisions of §623 of theTariff Act of 1930, as amended, and theregulations of the U.S. Customs Service issuedpursuant thereto.

SUBPART C

SPECIAL PROVISIONS APPLICABLEUNDER PARTICULAR

CIRCUMSTANCES

§30.30

VALUES FOR CERTAIN TYPES OFTRANSACTIONS

The following special arrangements govern thevalues to be reported for shipments of thefollowing unusual types:

(a) Subsidized exports of agricultural products

Where provision is made for the payment of anexport subsidy to the exporter for the exportationof agricultural commodities under a program ofthe Department of Agriculture, the value requiredto be shown on the export declaration is the f.a.s.


January 2001

value as defined in §30.7(q), based on the sellingprice paid by the foreign importer, excluding theamount of the subsidy.

(b) GSA exports of excess personal property

For exports of General Services Administrationexcess personal property, the value to be shownon the Shipper's Export Declaration will be thetotal of the estimated ̀ `fair value,'' if any, at whichthe property was transferred to GSA by theholding agency, plus charges, when applicable, tothe port of export, such as packing, rehabilitation,inland freight or drayage. The estimated ``fairvalue'' may be zero, or it may be a percentage ofthe original or estimated acquisition costs. (ExportDeclarations for such shipments will bear thenotation ``Excess Personal Property, GSARegulations 1-III, 303.03.'')

§30.31

IDENTIFICATION OF CERTAINNONSTATISTICAL AND OTHER

UNUSUAL TRANSACTIONS

In order to enable the Bureau of the Census tomake a judgment as to the statistical or otherstatus of certain export transactions, Shipper’sExport Declarations covering the following typesof transactions should carry a statement beneaththe commodity description clearly identifying thetransactions as such:

(a) Merchandise exported for repair only, andother temporary exports to be returned to theUnited States which are not sold and do not enterthe trade of the country to which shipped, e.g.,merchandise for exhibition (not for exhibition andpossible sale), horses or other animals forbreeding or grazing, etc.

(b) The return of merchandise previouslyimported for repair only and other returns to the

foreign shipper of temporarily importedmerchandise (declared as such on importation) onwhich no alteration or processing has beenperformed; e.g., foreign merchandise beingreturned to the country of origin after importationinto the United States for exhibition only.

(c) Shipments of material in connection withconstruction, maintenance, and related work beingdone on projects for the U.S. Armed Forces.Equipment and other material shipped fortemporary use on such projects and intended forreturn to the United States should be identifiedseparately from construction material or othergoods which will become a part of or which willbe consumed in the construction or maintenancework.

§30.32

[Reserved]

§30.33

VESSELS, PLANES, CARGO VANS, ANDOTHER CARRIERS AND CONTAINERS

SOLD FOREIGN

(a) Vessels, locomotives, rail cars, ferries, trucks,other vehicles, trailers, pallets, cargo vans, liftvans, or similar shipping containers are notconsidered ‘‘shipped’’ in terms of these regulationsin this part when they are moving, either loaded orempty, without transfer of ownership or title, intheir capacity as carriers of merchandise or asinstruments of such carriers, and Shipper’s ExportDeclarations are not required therefor when somoving.

(b) However, Shipper’s Export Declarations shallbe filed for such items, when moving asmerchandise pursuant to sale or other transferfrom ownership in the United States to ownershipabroad. When a new vessel built in the UnitedStates for foreign account clears under acertificate of record (Commerce Form 1316) a


January 2001

Shipper’s Export Declaration must be furnished bythe agents or prepared by Customs for statisticalpurposes. If a vessel, car, vehicle, or container,whether in service or newly built or manufactured,is sold or transferred to foreign ownership whilein the Customs area of the United States or at aport in such area, Shipper’s Export Declarationsshall be filed in accordance with the generalrequirements of the regulations in this part, at theport through or from which the vessel, car,vehicle, or container first leaves the United Statesafter sale or transfer. If the vessel, car, vehicle, orshipping container is outside the Customs area ofthe United States at the time of sale or transfer toforeign ownership, Shipper’s Export Declarationsshall be filed at the last port of clearance ordeparture from the United States prior to sale ortransfer. The country of destination to be shownon the Shipper’s Export Declaration for vesselssold foreign is the country of new ownership. Thecountry for which the vessel clears, or the countryof registry of the vessel, should not be reported asthe country of destination on the Shipper’s ExportDeclaration unless such country is the country ofnew ownership.

§30.34

RETURN OF EXPORTED CARGO TOTHE UNITED STATES PRIOR TO

REACHING ITS FINAL DESTINATION

(a) When a vessel carrying cargo which clearedfrom a port in the U.S. Customs area returns to theU.S. Customs area before it reaches its destinationand discharges any or all of its cargo in the UnitedStates, the Customs Director at the port ofunlading shall notify the Foreign Trade Division,Bureau of the Census, of this fact. The letter ofnotification shall contain the followinginformation: Name of the carrier, dates ofclearance, manifest numbers assigned at thevarious Customs ports at which cargo was ladenand the final disposition of all cargo. If the vessel

returns to the port at which the cargo wasoriginally laden, the letter of notification shallalso include the bill of lading numbers shown oneach export declaration filed at the time ofclearance. (b) For shipments by air where the Shipper’sExport Declarations are filed at the port of lading,if it becomes necessary because of an emergencyto unload part or all of the cargo at another port inthe U.S. Customs area (other than the port inPuerto Rico or U.S. Possession which is its finaldestination), the Shipper’s Export Declarationsfiled at the port of lading need not be cancelled ifthe merchandise is reladen on another plane at thesecond port within a reasonable time and proceedsto its country of destination. If there isunreasonable delay in reloading, the originallyfiled declarations should be cancelled and newdeclarations should be filed at the second port oflading. If for any reason, the merchandise remainspermanently in the United States, the CustomsDirector at the first port of lading must be notifiedto cancel the Shipper’s Export Declarations whichhave been filed. This provision is not intended asan exception from the requirements of §30.12 asto the place at which Shipper's ExportDeclarations are required to be filed; it is intendedonly for cases where an emergency requires anunintended unloading after the requirements of§30.12 have been met.

§§30.35--30.36

[Reserved]

§30.37

EXCEPTIONS FROM THEREQUIREMENT FOR REPORTING

COMPLETE COMMODITY DETAIL ONTHE SHIPPER'S EXPORT

DECLARATION

(a) Where it can be determined that particulartypes of U.S. Government shipments, orshipments for Government projects, are of such


January 2001

nature that they should not be included in theexport statistics, and further, where no detrimentto the export control program would be involved,special arrangements can sometimes be made towaive compliance with specific portions of therequirements of §30.7 with respect to thereporting of detailed information on the Shipper's.Export Declaration. Such exceptions will be madeonly upon application by the exporter and specificauthorization to the Customs Director and theexporter for the particular project or shipment,approved by both the Bureau of the Census andthe Office of Export Administration, and will beconditioned upon a prescribed identificationwhich must appear upon the declarations. Theparticular types of shipments for which suchexceptions may be possible are as follows:

(1) Shipments to a contractor under a Departmentof Defense or other armed service contract for theconstruction of facilities for the use of the U.S.armed services.

(2) Temporary exports by or to U.S. Governmentagencies.

(3) Shipments of supplies and material tocontractors in the Panama Canal Zone for theconstruction and/or maintenance of the PanamaCanal Zone and its facilities.

(b) Special exemptions to specific portions of therequirements of §30.7 with respect to thereporting of detailed information on the Shipper'sExport Declaration may also be granted by theBureau of the Census with the concurrence of theOffice of Export Administration for certainDepartment of Defense shipments, or shipmentsmade on behalf of the Department of Defense, toforeign governments under the cash reimbursableprovisions of the Mutual Defense AssistanceProgram (military sales), if and whenarrangements have been made for the Bureau ofthe Census to obtain the desired statisticalinformation other than through the reporting ofcomplete commodity detail on the Shipper's

Export Declaration.

§ 30.38

[Reserved]

§30.39

AUTHORIZATION FOR REPORTINGSTATISTICAL INFORMATION OTHER

THAN BY MEANS OF INDIVIDUALSHIPPER'S EXPORT DECLARATIONS

FILED FOR EACH SHIPMENT

(a) The Census Bureau, with the concurrence ofappropriate government agencies, may authorizeexemptions from the requirement of §30.6 that aseparate Shipper’s Export Declaration be filed foreach shipment.

(b) Application for certification and approval tofile shipper’s export data electronically using theAutomated Export System (AES) can be madedirectly to the Census Bureau in accordance withthe provisions specified in §30.60. Certificationand approval procedures and qualificationstandards for filing shipper’s export dataelectronically are contained in §30.62.

(c) Authorization for other alternative methods offiling shipper’s export information will be issuedonly when, in the judgment of the Census Bureau,complete and accurate information will beavailable on a prescribed basis from the records ofthe applicant and where the alternate filingmethod for shipments represents a reduction ofreporting cost or burden. Where export control isa consideration, such authorizations will begranted only when, in the judgment of theappropriate controlling government agency, theapplicant has demonstrated that it has establishedadequate internal operating procedures and hastaken other satisfactory safeguards to assurecompliance with export control regulations of theappropriate government agency or agencies.

§30.40


January 2001

SINGLE DECLARATION FOR MULTIPLECONSIGNEES

As a further exception to the requirements of§30.6, shipper's are authorized, subject to theapproval of the Customs Director, to file oneShipper's Export Declaration (in duplicate) for allshipments, other than those made to U.S.Government agencies, offices, establishments, orrepresentatives of any of these which are laden onone vessel or aircraft and destined to go to oneport in Puerto Rico, the Virgin Islands of theUnited States, or the Canal Zone. For suchshipments no consignee information needs to befurnished whether such shipments are made to oneor several consignees.

§30.41

“SPLIT SHIPMENTS” BY AIR

When a shipment by air covered by a singleShipper’s Export Declaration is divided by theexporting transportation company at the portwhere the declaration is filed, and part of theshipment is exported on one aircraft and part onanother aircraft of the same transportationcompany, the following procedure shall apply:

(a) The carrier will deliver the manifest copy ofthe declaration to the District Director of Customswith the manifest covering the flight on which thefirst part of the split shipment is exported, andwill make no changes on the declaration.However, the manifest will show in the ‘‘numberof packages’’ column the actual portion of thedeclared total quantity being carried and will carrya notation to indicate ‘‘Split Shipment.’’

(b) On each subsequent manifest covering a flighton which any part of a split shipment is exported,a prominent notation ‘‘SPLIT SHIPMENT’’ willbe made adjacent to the item on the manifest forready identification. For the last shipment thenotation will read ‘‘SPLIT SHIPMENT,

FINAL.’’Each subsequent manifest covering a partof a split shipment shall also show in the ‘‘numberof packages’’ column only the merchandise carriedon that particular flight and a reference to the totalamount originally declared for export, e.g., 5 of11, or 5/11; and immediately following the lineshowing the portion of the split shipment carriedon that flight, a notation will be made showing theair waybill number shown on the originalShipper’s Export Declaration and the portions ofthe originally declared total carried on eachprevious flight together with the number and dateof each such previous flight, e.g., originalShipper’s Export Declaration AWB 123; 2 of 11flight 36A, June 6; 4 of 11, flight 40X, June 10. (c) Export declarations will not be required forthese subsequent shipments.

SUBPART D

EXEMPTIONS FROM THEREQUIREMENTS FOR THE FILING

OF SHIPPER’SEXPORTDECLARATIONS

§30.50

PROCEDURE FOR SHIPMENTS EXEMPTFROM THE REQUIREMENTS FOR

SHIPPER'S EXPORT DECLARATIONS

Except as provided below, where an exemptionfrom the requirement for the filing of a Shipper’sExport Declaration is provided in this subpart, anotation describing the basis for the exemptionshall be made on the bill of lading, air waybill, orother loading document for carrier use, with areference to the number of the section in this partwhere the particular exemption is provided so thatthe carrier at the time of lading, and the CustomsDirector at the time of exportation, may verify thatno declaration is required. If none of the above


January 2001

named documents is used, the person transportingthe merchandise must be prepared to identify tothe Customs Director at the port of exportation, atthe time of exportation but prior to departure, anymerchandise which is exempt from therequirement for the filing of a Shippers’ ExportDeclaration and explain to the Customs Directorthe basis for the exemption. Where shipments areexempt from the requirement for Shipper’s ExportDeclarations on the basis of value and destination,the appearance of the value and destination on thebill of lading, air waybill, or other loadingdocument for carrier use, shall be acceptable asevidence of the exemption, and no reference needbe made to the particular section of theseregulations where the exemption is provided.

§30.51

GOVERNMENT SHIPMENTS NOTGENERALLY EXEMPT

Except as provided below in this subpart,Shipper’s Export Declarations are required forexports by or to U.S. Government agencies,whether or not shipped on a Government bill oflading. No general exemption is provided forGovernment shipments, as such.

§30.52

SPECIAL EXEMPTIONS FORSHIPMENTS TO THE U.S. ARMED

SERVICES

Shipper’s Export Declarations are not required forthe following types of shipments to the U.S.armed services:

(a) All commodities, whether shippedcommercially or through government channels,consigned to the U.S. armed services for theirexclusive use, including shipments to armedservices exchange systems. (This exemption does

not apply to shipments which are for the ultimateuse of the U.S. armed services but which are notconsigned to the U.S. armed services. However,special exceptions to the requirements of theseregulations which may in some circumstancesapply to shipments for the ultimate use of the U.S.armed services but not so consigned are providedin §30.37.)

(b) Department of Defense Military AssistanceProgram Grant-Aid shipments being transportedas Department of Defense cargo under theprovisions of Customs Circular LettersVES-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) andRES-20-MC, January 25, 1960 (CC 76). Underarrangements with the Department of Defense,information on these shipments for inclusion inU.S. export statistics will be furnished directly tothe Bureau of the Census by the Department ofDefense. This exception from the filing ofShipper's Export Declarations does not apply toMilitary Assistance Program Grant-Aid shipmentsto which a foreign government has taken titlebefore exportation or to any Grant-AidMilitary-Aid Program shipment moving in anymanner other than as Department of Defensecargo. (See §30.37 for possible exceptions to thefull reporting requirements of §30.7 for certainmilitary sales shipments not exempt from therequirement for the Shipper's Export Declaration.)

§30.53

SPECIAL EXEMPTIONS FOR CERTAINSHIPMENTS TO U.S. GOVERNMENT

AGENCIES AND EMPLOYEES

Shipper’s Export Declarations are not required forthe following types of shipments to U.S.Government agencies and employees:

(a) Office furniture, office equipment, and officesupplies shipped to and for the exclusive use of


January 2001

U.S. Government offices.

(b) Household goods and personal propertyshipped to and for the exclusive and personal useof U.S. Government employees.

(c) Food, medicines, and related items and othercommissary supplies shipped to U.S. Governmentoffices or employees for the exclusive use of suchemployees, or to U.S. Government employeecooperative or other associations for subsequentsale or other distribution to such employees.

(d) Books, maps, charts, pamphlets, and similararticles shipped by U.S. Government offices toU.S. or foreign libraries, governmentestablishments or similar institutions.

(e) All commodities shipped to and for theexclusive use of the Panama Canal ZoneGovernment or the Panama Canal Company.

§30.54

[RESERVED]

§30.55

MISCELLANEOUS EXEMPTIONS

Shipper’s Export Declarations are not required forthe following kinds of shipments:

(a) Diplomatic pouches and their contents.

(b) Human remains and accompanyingappropriate receptacles and flowers.

(c) Shipments from one point in the United Statesto another thereof by routes passing throughMexico.

(d) Shipments from one point in Mexico toanother point thereof by routes through the United

States.

(e) Shipments, other than by vessel, ormerchandise for which no validated exportlicenses are required, transported in bond throughthe United States, and exported from another U.S.port, or transshipped and exported directly fromthe port of arrival.

(f) Shipments to foreign libraries, governmentestablishments, or similar institutions, as providedin §30.53(d).

(g) Shipments of single gift parcels as authorizedby the Bureau of Export Administration underLicense Exception GFT, see 15 CFR 740.12 of theEAR.

(h) Except as noted in paragraph (h)(2) of thissection exports of commodities where the value ofthe commodities, shipped from one exporter toone consignee on a single exporting carrier,classified under an individual Schedule B number,is $2,500 or less.

(1) This exemption applies to individual ScheduleB commodity numbers regardless of the totalshipment value. In instances where a shipmentcontains a mixture of individual Schedule Bcommodity numbers valued $2,500 or less andindividual Schedule B commodity numbersvalued over $2,500, only those commoditynumbers valued $2,500 or more need be reportedon a Shipper’s Export Declaration or AES record.

(2) This exemption does not apply to exports:

(i) Destined for Cuba, Iran, Iraq, Libya, NorthKorea, Serbia (excluding Kosovo), Sudan andSyria.

(ii) Requiring a Department of Commercelicense (15 CFR Parts 730 through 774 of theEAR).

(iii) Requiring a Department of State, Office


January 2001

of Defense Trade Controls export license underthe International Traffic In Arms Regulations(ITAR), 22 CFR Parts 121 through 130).

(iv) Subject to the ITAR but exempt fromlicense requirements.

(v) Requiring a Department of Justice, DrugEnforcement Administration export permit (21CFR, Part 1312). This exemption shall beconditioned upon the filing of such reports as theBureau of the Census shall periodically require tocompile statistics on $2,500 and under shipments.

(i) Shipments of interplant correspondence,executed invoices and other documents, and othershipments of company business records from aU.S. firm to its subsidiary or affiliate.

(j) Shipments of pets as baggage, accompanied orunaccompanied, of persons leaving the UnitedStates, including members of crews on vessels andaircraft.

(k) Shipments for use in connection with NASAtracking systems under Office of ExportAdministration Project License DL-5355-S.

(l) Shipments of aircraft parts and equipment, andfood, saloon, slop chest, and related stores,provisions, and supplies for use on aircraft, by aU.S. airline to its own installations, aircraft, andagents abroad, under Department of Commerce,Office of Export Administration General LicenseRCS.

(m) Shipments for use in connection with NOAAoperations under the Office of ExportAdministration General License G-NOAA.

(n) Exports of technology and software as definedin 15 CFR Part 772 of the EAR that do notrequire an export license, except that an SED orAES record is required for mass market software.For purposes of the FTSR, mass market softwareis defined as software that is generally available to

the public by being sold at retail selling points, ordirectly from the software developer or supplier,by means of over the counter transactions, mailorder transactions, telephone transactions, orelectronic mail order transactions, and designedfor installation by the user without furthersubstantial technical support by the developer orsupplier.

(o) Intangible exports of software and technology,such as downloaded software and technical data,including technology and software that requiresan export license and mass market softwareexported electronically.

§30.56

CONDITIONAL EXEMPTIONS

Shipper’s Export Declarations are not required forthe following classes of commodities when theyare not shipped as cargo under a bill of lading oran air waybill and do not require a validatedexport license, but the exporter should beprepared to make oral declaration to the CustomsDirector, if required: (a) Baggage and personal effects, accompanied orunaccompanied, of persons leaving the UnitedStates, including members of crews on vessels andaircraft, such as:

(1) Usual and reasonable kinds and quantities ofwearing apparel, articles of personal adornment,toilet articles, medicinal supplies, food, souvenirs,games, and similar personal effects and theircontainers.

(2) Usual and reasonable kinds and quantities offurniture, household effects, householdfurnishings, and their containers.

(3) Usual and reasonable kinds and quantities ofvehicles, such as passenger cars, station wagons,trucks, trailers, motorcycles, bicycles, tricycles,


January 2001

perambulators, and their containers.Provided,That the above-indicated baggage and personaleffects:

(i) shall include only such articles as areowned by such person or members of hisimmediate family;

(ii) shall be in his possession at the time of orprior to his departure from the United States forthe foreign country;

(iii) are necessary and appropriate for the useof such person or his immediate family; (iv) areintended for his use or the use of his immediatefamily; and

(v) are not intended for sale.

(b) Tools of trade are usual and reasonable kindsand quantities of commodities and software, andtheir containers, that are intended for use byindividual exporters or by employees orrepresentatives of the exporting company infurthering the enterprises and undertakings of theexporter abroad. Commodities and softwareeligible for this exemption are those that do notnormally require an export license or that areexported without a license as specified in 15 CFR740.9 of the EAR (15 CFR chapter VII,subchapter C) and are subject to the followingprovisions:

(1) Are owned by the individual exporter orexporting company;

(2) Accompany the individual exporter, employeeor representative of the exporting company;

(3) Are necessary and appropriate and intendedfor the personal and/or business use of theindividual exporter, employee or representative ofthe company or business;

(4) Are not for sale; and

(5) Are returned to the United States no later thanone year from the date of export.

(c) Carriers’ stores (including merchandise carriedin ships aboard carriers for sale to passengers),supplies, and equipment for departing vessels,planes, or other carriers, including usual andreasonable kinds and quantities of bunker fuel,deck engine and steward department stores,provisions and supplies, medicinal and surgicalsupplies, food stores, slop chest articles, andsaloon stores or supplies for use or consumptionon board and not intended for unlading in aforeign country, and including usual andreasonable kinds and quantities of equipment andspare parts for permanent use on the carrier whennecessary for proper operation of such carrier andnot intended for unlading in a foreign country.Hay, straw, feed, and other appurtenancesnecessary to the care and feeding of livestockwhile enroute to a foreign destination areconsidered part of carriers’ stores of carryingvessels, trains, planes, etc.

(d) Dunnage of usual and reasonable kinds andquantities necessary and appropriate to stow orsecure cargo on the outgoing or any immediatereturn voyage of an exporting carrier, whenexported solely for use as dunnage and notintended for unlading in a foreign country.

§30.57

INFORMATION ON EXPORTDECLARATIONS FOR SHIPMENTS OFTYPES OF GOODS COVERED BY §30.56

NOT CONDITIONALLY EXEMPT

(a) In those cases where Shipper’s ExportDeclarations are required for articles enumeratedin §30.56 (a) through (d) only by virtue of theirbeing shipped under a bill of lading or an airwaybill (no validated license is required) theexport declaration should clearly show in thecolumn for commodity description, in lieu of the


January 2001

complete commodity description a statement thatthe shipment consists of baggage, personal effects,household effects, ship’s stores, crew’s effects, oras appropriate. In such cases, Schedule Bcommodity numbers should not be shown on thedeclarations.

(b) In those cases where the articles enumerated in§30.56 (a) through (d) require a validated exportlicense (whether or not shipped under a bill oflading or an air waybill) the Shipper's ExportDeclaration must identify the shipment asbaggage, personal effects, etc., and must containall the information normally required for anyexportation made under a validated export license,i.e. complete commodity description, licensenumber, Schedule B number, quantity, value, etc.

§30.58

EXEMPTION FOR SHIPMENTS FROMTHE UNITED STATES TO CANADA

(a) Except as noted in paragraph (c) of thissection, shipments originating in the United Stateswhere the country of ultimate destination (see§30.7(i)) is Canada are exempt from the Shipper'sExport Declaration requirements of this part. Thisexemption also applies to shipments from onepoint in the United States or Canada to anotherpoint thereof by routes passing through the othercountry.

(b) The Harbor Maintenance Fee applies toshipments by vessel exempt from Shipper's ExportDeclaration requirements by virtue of beingdestined to Canada.

(c) This exemption does not apply to thefollowing shipments: (The Bureau of the Censusalso reserves the right to reinstate the Shipper'sExport Declaration requirements of this part inspecific instances for the purpose of ensuringstatistical accuracy.)

(1) Requiring a Department of Commercelicense.

(2) Requiring a Department of State, Office ofDefense Trade Controls, export license under theInternational Traffic in Arms Regulations(ITAR-22 CFR parts 121-130).

(3) Subject to the ITAR but exempt fromlicense requirements.

(4) Requiring a Department of Justice, DrugEnforcement Administration, export declaration(21 CFR part 1313).

(5) For storage in Canada but ultimatelydestined for third countries, the specific countryof destination being unknown at the time of exportto Canada (see §30.39 for reporting requirements).(6) For all exports of items subject to the EAR (15CFR Parts 730 through 799) that will betranshipped through Canada to a third destination,that would require an SED, AES record, orCommerce license if shipped directly to the finaldestination from the United States (see§30.55(h)(2), including exports of items subject tothe EAR that will be transhipped through Canadato Cuba, Iran, Iraq, Libya, North Korea, Serbia(excluding Kosovo), Sudan, and Syria.

SUBPART E

ELECTRONIC FILING REQUIREMENTS -SHIPPER’S EXPORT INFORMATION

§30.60

GENERAL REQUIREMENTS FOR FILINGEXPORT AND MANIFEST DATAELECTRONICALLY USING THE

AUTOMATED EXPORT SYSTEM (AES)

The Automated Export System (AES)transmissions by exporters or their authorized


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filing agents that meet the requirements of thisSubpart constitute the Shipper’s ExportDeclaration (SED) for purposes of this part. Thissection outlines the general requirements forparticipating in the AES. Several filing optionsare available for transmitting shipper’s exportdata. The first option is the standard paper filingof the SED. The AES also provides AESparticipants with three electronic filing options forsubmission of shipper’s export data.

(a) Participation

Participation in the AES is voluntary and isdesigned to use technology available to both largeand small businesses. Companies that are notautomated can submit data through a servicecenter or port authority that provides thecapability to communicate with the Customs DataCenter in the same way as automated companies.Companies may also buy a software packagedesigned by an AES certified software vendor.Certified trade participants (filing agents) cantransmit to and receive data from the AESpertaining to merchandise being exported fromthe United States. Participants in the AESprocess, who may apply for AES certification,include exporters or their authorized forwardingagents, carriers, non-vessel operating commoncarriers (NVOCC), consolidators, port authorities,software vendors, or service centers. Oncebecoming certified, an AES filer (filing agent)must agree to stay in complete compliance withall 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 ofIntent to the Census Bureau. The Letter of Intentis a written statement of a company's desire toparticipate in AES. It must set forth acommitment to develop, maintain, and adhere toCustoms and Census Bureau performancerequirements and operations standards. Once the

Letter of Intent is received, a U.S. Customs ClientRepresentative and a Census Bureau ClientRepresentative will be assigned to work with thecompany. The Census Bureau will forwardadditional information to prepare the company forfiling export data using the AES. The format andcontent for preparing the Letter of Intent isprovided in Appendix A of this part.

(c) General filing and transmissionrequirements

The data elements required for filing shipper’sexport data electronically are contained in §30.63.For AES, the difference is that the certified filermust transmit the shipper’s export informationelectronically using the AES, rather thandelivering the paper SED to the carrier. Whentransmitting export information electronically, theAES filers must comply with the datatransmission procedures determined by Customsand the Census Bureau (See §30.62 for AEScertification, qualifications, and standards).

(d) General responsibilities of exporters, filing agents, and sea carriers

(1) Exporter and authorized filing agentresponsibilities. The exporter and/or theirauthorized agents, certified for AES filing, areresponsible for:

(i) Transmitting complete and accurateinformation to the AES (see §30.4 (a) and §30.7(d)(1), (2), and (e) for a delineation ofresponsibilities of exporters and authorizedforwarding agents);

(ii) Transmitting information to the AES in atimely manner in accordance with the provisionsand requirements contained in this Subpart;

(iii) Responding to messages identified as fatalerror, warning, verify, or reminder generated byAES in accordance with the provisions contained


January 2001

in this Subpart;

(iv) Providing the exporting carrier with therequired exemption statements or citations whenan item or shipment is exempt from SED filingrequirements in accordance with provisionscontained in this Subpart;

(v) Transmitting corrections or cancellations toinformation transmitted to the AES as soon as theneed for such changes is determined inaccordance with provisions contained in thisSubpart; and

(vi) Maintaining all necessary and properdocumentation related to the AES exporttransaction in accordance with provisionscontained in this Subpart.

(2) Sea carrier responsibilities. The exportingsea carrier also is responsible for transmittingtimely, accurate, and complete manifests and billsof lading information to AES for all cargo beingshipped. The exporting sea carrier is alsoresponsible for transmitting booking, receipt ofbooking, departure, and manifest messages toAES. Customs and Census Bureau officials, withwritten agreement of the exporting sea carrier, canprovide for alternative methods of filing manifestand SED information to that found in this Subpart.For exporting carrier responsibilities, see SubpartB, of this part, General Requirements&ExportingCarriers. For electronic filing of manifestinformation using the AES, see 19 CFR 4.76,Procedures and responsibilities for electronicfiling of sea manifests through AES.

§30.61

ELECTRONIC FILING OPTIONS

As an alternative to filing paper Shipper’s ExportDeclaration forms (Option 1), three electronicfiling options for transmitting shipper’s export

information are available to exporters or theirauthorrized filing agents. Two of the electronicfiling options (Options 3 and 4) take into accountthat complete information concerning exportshipments is not always available at the time ofshipment. The available AES electronic filingoptions are as follows:

(a) AES with full information transmitted prior to exportation (Option 2)

Option 2 provides for the electronic filing of allinformation required for exports to AES prior toexportation (see § 30.63 for information requiredto be reported electronically). Full predepartureinformation is always required to be transmittedto AES for the following specific types ofshipments: (1) Used self-propelled vehicles (except thoseshipped between the United States and PuertoRico) as defined in 19 CFR 192.1

(2) Essential and precursor chemicals requiring apermit from the Drug EnforcementAdministration;

(3) Shipments defined as "sensitive" byExecutive Order; and

(4) Shipments where full export information isrequired prior to exportation by a federalgovernment agency.

(b) AES with partial information transmittedprior to exportation (Option 3)

Option 3 provides for the electronic filing ofspecified data elements to the AES prior toexportation (see Appendix B of this part for a listof specified data elements). Filing Option 3 isavailable for all methods of transportation. Usedself-propelled vehicles shipped between theUnited States and Puerto Rico may be shippedusing filing Option 3. Option 3 is designed for


January 2001

those shipments for which full data are notavailable prior to exportation. No prior approvalfrom the Census Bureau or Customs is requiredfor certified AES filers to use Option 3. However,full predeparture information must be transmittedto the AES for certain specified transactions (asspecified in Option 2). For shipments that requirean export license, the exporter must file usingOption 2 or 3, unless the licensing agencyspecifically approves the exporter for Option 4filing for the licensed shipment under itsjurisdiction. Where partial information isprovided under Option 3, complete exportinformation must be transmitted as soon as it isknown, but no later than five (5) working daysfrom the date of exportation. The exporter ortheir authorized filing agent must provide theexporting carrier with a unique shipmentreference number prior to exportation.

(c) AES with no information transmitted prior to exportation (Option 4)

Option 4 is only available for approved exportersand requires no export information to betransmitted electronically using AES prior toexportation. For approved Option 4 filers, allshipments (other than those requiring an exportlicense, unless specifically approved by thelicensing agency for Option 4 filing, and thosespecifically required under electronic filingOptions 2 or 3) by all methods of transportationmay be exported with no information transmittedprior to exportation. Used self-propelled vehicles,shipped between the United States and PuertoRico, by an Option 4 approved exporter, may beshipped using filing Option 4. Certified AESauthorized filing agents or service centers maytransmit information post departure on behalf ofapproved Option 4 exporters. All exporters filinga Letter of Intent for Option 4 filing privilegeswill be cleared through a formal review processby Customs, the Census Bureau, and other federalgovernment agencies participating in the AES(partnership agencies) in accordance withprovisions contained in § 30.62. Where

exportation is made with no prior AES filing,complete export information should betransmitted as soon as it is known, but no laterthan ten (10) working days from the date ofexportation. The exporter or their authorizedagent must provide the exporting carrier with theexporter’s Option 4 AES identification numberprior to exportation.

§30.62

AES CERTIFICATION,QUALIFICATIONS, AND STANDARDS

(a) AES certification process

Certification for AES filing will apply to anyexporter, authorized forwarding agent, carrier,non-vessel operating common carriers (NVOCC),consolidator, port authority, software vendor, orservice center transmitting export informationelectronically using the AES. Applicantsinterested in AES filing must submit a Letter ofIntent to the Census Bureau in accordance withthe provisions contained in §30.60. Customs andthe Census Bureau will assign clientrepresentatives to work with the applicant toprepare them for AES certification. The AESapplicant must perform an initial two-partcommunication test to ascertain whether theapplicant’s system is capable of both transmittingdata to and receiving data from the AES. Theapplicant must demonstrate specific systemapplication capabilities. The capability tocorrectly handle these system applications is theprerequisite to certification for participation in theAES. The applicant must successfully transmitthe AES certification test. Assistance is providedby the Customs’ and Census Bureau’s clientrepresentatives during certification testing. Theserepresentatives make the sole determination as towhether or not the applicant qualifies forcertification. Upon successful completion ofcertification testing, the applicant’s status is


January 2001

moved from testing mode to operational mode.Upon certification, the filer will be required tomaintain an acceptable level of performance inAES filings. The certified AES filer may berequired to repeat the certification testing processat any time to ensure that operational standardsfor quality and volume of data are maintained.

(1) Filing agent certification. Once anauthorized filing agent has successfully completedthe certification process, the exporter(s) using thatagent need no further AES certification of theirown. The certified filing agent must have aproperly executed power of attorney, a writtenauthorization from the exporter, or a SED signedby the exporter to transmit the exporter’s dataelectronically using the AES. The exporter orauthorized agent that utilizes a service center orport authority must complete certification testing,unless the service center or port authority has aformal power of attorney or written authorizationfrom the exporter to submit the exportinformation on behalf of the exporter.

(2) AES certification letter. The Census Bureauwill provide the certified AES filer with acertification letter after the applicant has beenapproved for operational status. The certificationletter will include:

(i) The date that filers may begin transmitting"live" data electronically using AES;

(ii) Reporting instructions; and

(iii) Examples of the required AESexemption legends.

(3) AES filing standards. The certified AESfiler’s data will be monitored and reviewed forquality, timeliness, and coverage. The CensusBureau will notify the AES filer in writing if theyfail to maintain an acceptable level of quality,timeliness, and coverage in the transmission ofexport data or fail to maintain compliance with

Census Bureau regulations contained in thischapter. The Census Bureau will direct thatappropriate action to correct the specificsituation(s) be taken.

(b) Criteria for denial of applicationsrequesting Option 4 filing status; appeal

procedure

Approval for Option 4 filing privileges will applyonly to exporters. However, forwarding agentsmay apply for Option 4 filing privileges on behalfof an individual exporter. Option 4 applicantsmust submit a Letter of Intent to the CensusBureau in accordance with the provisionscontained in § 30.60.

(1) Option 4 approval process. The CensusBureau will distribute the Letters of Intent forOption 4 filing privileges to Customs and theother partnership agencies participating in theAES Option 4 approval process. Failure to meetthe standards of the Census Bureau, Customs, orone of the partnership agencies is reason fornonselection or denial of the application forOption 4 filing privileges. Each partnershipagency will develop its own internal Option 4acceptance standards, and each agency will notifythe Census Bureau of the applicant’s failure tomeet that agency’s acceptance standards. If theCensus Bureau does not receive either notificationof denial, or a request for extension from thepartnership agency within thirty (30) calendardays after the date of referral of the Letter ofIntent to the partnership agency, the applicant isdeemed to be approved by that agency. TheCensus Bureau will provide the Option 4applicant with an approval or denial letter. If adenial letter is issued, the Census Bureau willindicate the partnership agency that denied theapplication. The applicant must contact thedenying partnership agency for the specificreason(s) for denial.


January 2001

(2) Grounds for denial of Option 4 filing status.The Census Bureau may deny an exporter’sapplication for Option 4 filing privileges for anyof 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 tothe Census Bureau for processing in a timely andaccurate manner;

(iii) Applicant has a history ofnoncompliance with Census Bureau export lawsand regulations contained in this chapter;

(iv) Applicant has been indicted, convicted,or is currently under investigation for a felonyinvolving a violation of federal export laws orregulations and the Census Bureau has evidenceof probable cause supporting such violation, orthe applicant is in violation of Census Bureaulaws or regulations contained in this chapter; and

(v) Applicant has made or caused to be madein the Letter of Intent a false or misleadingstatement or omission with respect to any materialfact.

(3) Notice of nonselection and appealprocedures for Option 4 filing. The CensusBureau will notify applicants in writing of thedecision to either deny or approve the applicantfor Option 4 filing privileges within thirty (30)days of receipt of the Letter of Intent by theCensus Bureau, or if a decision cannot be reachedat that time, the applicant will be notified of anexpected date for a final decision as soon aspossible after the thirty (30) calendar days.Applicants for Option 4 filing privileges deniedOption 4 status by other partnership agencies mustcontact those agencies regarding the specificreason(s) for nonselection and for their appealprocedures. Applicants denied Option 4 status bythe Census Bureau will be provided with a

specific reason for nonselection and a CensusBureau point of contact in the notification letter.Option 4 applicants may appeal the Census Bureau’s nonselection decision byfollowing the appeal procedure and reapplicationrestriction provided in paragraph (b) (5) of thissection.

(4) Revocation of Option 4 filing privileges.The Census Bureau may revoke Option 4 filingprivileges of approved Option 4 exporters for thefollowing reasons:

(i) The exporter has made or caused to bemade in the Letter of Intent a false or misleadingstatement or omission with respect to materialfact;

(ii) The exporter submitting the Letter ofIntent is indicted, convicted, or is currently underinvestigation for a felony involving a violation offederal export laws or regulations and the CensusBureau has evidence of probable cause supportingsuch violation, or the applicant is in violation ofCensus Bureau laws or regulations contained inthis chapter;

(iii) The exporter has failed to substantiallycomply with existing Census Bureau or otheragency export regulations; or

(iv) The Census Bureau determines thatcontinued participation in Option 4 by an exporterwould pose a significant threat to national securityinterests such that their continued participation inOption 4 should be terminated.

(5) Notice of revocation; appeal procedure.Approved Option 4 filers whose Option 4 filingprivileges have been revoked by other agenciesmust contact those agencies for their specificrevocation and appeal procedures. When theCensus Bureau makes a determination to revokean approved Option 4 filer’s AES Option 4 filingprivileges, the exporter will be notified in writing


January 2001

of the reason(s) for the decision. The exportermay challenge the Census Bureau’s decision byfiling an appeal within thirty (30) calendar days ofreceipt of the notice of decision. In most cases,the revocation shall become effective when theexporter has either exhausted all appealproceedings, or thirty (30) calendar days afterreceipt of the notice of revocation, if no appeal isfiled. However, in cases when required bynational security interests, revocations willbecome effective immediately upon notification.Appeals should be addressed to the Chief, ForeignTrade Division, Bureau of the Census,Washington, DC 20233. The Census Bureau willissue a written decision to the exporter withinthirty (30) calendar days from the date of receiptof the appeal by the Census Bureau. If a writtendecision is not issued within thirty (30) calendardays, a notice of extension will be forwardedwithin that time period. The exporter will beprovided with the reasons for the extension of thistime period and an expected date of decision.Approved Option 4 exporters who have had theirOption 4 filing status revoked may not reapply forthis status for one year following writtennotification of the revocation. Such applicationswill not be considered before the one-year timeperiod.

§30.63

INFORMATION REQUIRED TO BEREPORTED ELECTRONICALLY

THROUGH AES (DATA ELEMENTS)

The information (data elements) listed in thissection is required for shipments transmittedelectronically through AES. The data elements asthey pertain to electronic reporting are defined asparagraphs (a), (b), and (c) of this section. Thosedata elements that are defined in more detail inother sections of the FTSR are so noted. The dataelements identified as "mandatory" must bereported for each transmission. The data elements

identified as "conditional" must be reported ifthey are required for or apply to the specificshipment. The data elements identified as"optional" may be reported at the discretion of theexporter.

(a) Mandatory data elements are as follows:

(1) Exporter/exporter identification.

(i) Name and address of the exporter. Fordetails on the reporting responsibilities ofexporters, see §30.4 and §30.7 (d)(1), (2), and (e).

(ii) Exporter’s profile. The exporter’sEmployer Identification Number (EIN) or SocialSecurity Number (SSN) and exporter name,address, contact, and telephone number must bereported with the initial shipment. Subsequentshipments may be identified by either EIN, SSN,or DUNS (Dunn and Bradstreet) number. If noEIN, SSN, or DUNS number is available for theexporter, as in the case of a foreign entity beingshown as exporter as defined in §30.7(d), theborder crossing number, passport number, or anyother number assigned by Customs is required tobe reported. (See §30.7(d)(2) for a detaileddescription of the EIN.)

(2) Date of exportation/date of arrival. Theexporter or the authorized forwarding or otheragent in the export transaction must report thedate the merchandise is scheduled to leave theUnited States for all modes of transportation. Ifthe actual date is not known, report the bestestimate of departure. The estimated date ofarrival must be reported for shipments to PuertoRico. (See §30.7(r) for additional information.)

(3) Ultimate consignee. The ultimate consigneeis the person, party, or designee on the exportlicense who is located abroad and actually


January 2001

receives the export shipment. The ultimateconsignee known at the time of export must bereported. For goods sold en route, report "SOLDEN ROUTE" and report corrected information assoon as it is known. (See §30.7(f) for moreinformation.)

(4) U.S. state of origin. Report the 2-characterpostal abbreviation for the state in which themerchandise begins its journey to the port ofexport. (See § 30.7(t)(1) and (2) for moreinformation.)

(5) Country of ultimate destination. Report the2-character International Standards Organization(ISO) code for the country of ultimate destination.The country of ultimate destination, as shown onthe export license, or the country as known to theexporter or principal party in interest in the exporttransaction at the time of export is the country inwhich the merchandise is to be consumed orfurther processed or manufactured. For goodssold en route, report the country of the first port ofcall and then report corrected information as soonas it is known. (See §30.7(i) for moreinformation.)

(6) Method of transportation. The method oftransportation is defined as that by which thegoods are exported or shipped. Report one of thecodes listed in Part I of Appendix C of this part.(See § 30.7(b) for detailed information on methodof transportation.)

(7) Conveyance name. The name of the carrier(sea&vessel name; others&carrier name) must bereported by the exporter or the exporter’s agent asknown at the time of shipment for all shipmentsleaving the country by sea, air, truck, or rail.Terms such as "airplane," "train," "truck," or"international footbridge" are not acceptable andwill generate an error message. (See § 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- or3-character International Air TransportAssociation (IATA) Code for air shipments toidentify the carrier actually transporting themerchandise out of the United States.

(9) Port of export. Report the code of theCustoms port of export in terms of Schedule D,"Classification of Customs Districts and Ports."(See §§30.7(a) and 30.20(c) and (d) for moreinformation on port of export.)

(10) Related/nonrelated indicator. Indicate ifthe shipment is between related parties. Reportthe information as defined in §30.7(v).

(11) Domestic or foreign indicator. Indicate ifthe commodities are of domestic or foreignproduction. Report the information as defined in§30.7(p).

(12) Commodity classification number. Reportthe 10-digit commodity classification number asprovided in Schedule B, "Statistical Classificationof Domestic and Foreign Commodities Exportedfrom the United States" (Schedule B). The 10-digit commodity classification number providedin the Harmonized Tariff Schedule (HTS) may bereported in lieu of the Schedule B Commodityclassification number except as noted in theheadnotes of the HTS. (See §30.7(l) for detailedinformation.)

(13) Commodity description. Report thecommercial description in sufficient detail topermit the verification of the commodityclassification number. (See §30.7(l) for moreinformation regarding reporting the description.)

(14) First net quantity/unit of measure. Reportthe primary net quantity in the specified unit ofmeasure and the unit of measure as prescribed inthe Schedule B or HTS or as specified on the


January 2001

export license.

(15) Gross shipping weight. Report the grossshipping weight in kilograms for vessel, air, truck,and rail shipments. Include the weight ofcontainers, but exclude the weight of carrierequipment. (See §30.7(o) for more information.)

(16) Value. The value shall be the selling price orcost if not sold, including inland freight,insurance, and other charges to the U.S. port ofexport. Report the value in U.S. currency. (See§30.7(q) for more information.)

(17) Export information code. Report theappropriate 2-character export information codeas provided in Part II of Appendix C of this part.

(18) Shipment reference number. The filer ofthe export shipment provides a unique shipmentreference number that allows for the identificationof the shipment in their system. This shipmentreference number must be unique for five years.

(19) Line item number. Report a line numberfor each commodity for a unique identification ofthe commodity.

(20) Hazardous material indicator. This is a"Yes" or "No" indicator identifying the shipmentas hazardous as defined by the Department ofTransportation.

(21) In-bond code. Report one of the 2-characterin-bond codes listed in Part IV of Appendix C ofthis part to indicate the type of In-Bond or Not In-Bond shipment.

(22) License code. Report the 3-character codelisted in Part III of Appendix C of this part toindicate the type of license, permit, licenseexemption, or no license required.

(b) Conditional data elements are as follows:

(1) Forwarding agent/forwarding agentidentification.

(i) Name and address of the forwardingagent. The forwarding agent is any person in theUnited States or under jurisdiction of the UnitedStates who is authorized by the exporter toperform the services required to facilitate theexport of merchandise out of the United States orthe person named in the validated export license.(See §§30.4(a) and 30.7(e) for details onresponsibilities of forwarding agents).

(ii) Forwarding agent’s profile. Theforwarding agent’s identification number, EIN,DUNS, or SSN and name and address must bereported with the initial shipment. Subsequentshipments may be identified by the identificationnumber.

(2) Intermediate consignee. The intermediateconsignee is the intermediary (if any) who acts ina foreign country as an agent for the exporter orthe principal party in interest or the ultimateconsignee for the purpose of effecting delivery ofthe export shipment to the ultimate consignee orthe person named on the export license. (See§30.7(g) for more information.)

(3) Foreign Trade Zone number. Report theunique 5-character code assigned by the ForeignTrade Board that identifies the Foreign TradeZone from which merchandise is withdrawn forexport. (See §30.7(t)(3) for more information.)

(4) Foreign port of unloading. For seashipments only, the code of the foreign port ofunloading should be reported in terms of the 5-digit codes designated in Schedule K,"Classification of Foreign Ports by GeographicTrade Area and Country." For air shipmentsfrom the United States to Puerto Rico, report thePuerto Rico port of unloading. For air shipmentsfrom Puerto Rico to the United States, report theUnited States port of unloading. Report the code


January 2001

of the port of unloading in terms of Schedule D,"Classification of Customs Districts and Ports." (See §30.7(h) for more information on port ofunloading.)

(5) License number/Code of FederalRegulations (CFR) citation. For licensablecommodities, report the license number of thelicense issued for the merchandise. If no licenseis required, report the regulatory citationexempting the merchandise from licensing or theconditions under which the merchandise is beingshipped that make it exempt from licensing.

(6) Export Control Classification Number.Report the Export Control Classification Numberfor merchandise as required by the Bureau ofExport Administration (BXA) Regulations (15CFR Parts 730 through 774).

(7) Second net quantity/unit of measure. WhenSchedule B requires two units of quantity to bereported, report the second net quantity in thespecified unit of measure and the unit of measureas prescribed in the Schedule B or HTS. (See§30.7(n) for more information.)

(8) Used self-propelled vehicles. Report thefollowing items of information for used self-propelled vehicles as defined in 19 CFR 192.1:

(i) Vehicle Identification Number. Report theunique Vehicle Identification Number (VIN) inthe proper format;

(ii) Product Identification Number. Reportthe Product Identification Number (PIN) for thoseused self-propelled vehicles for which there are noVINs;

(iii) Vehicle title number. Report the uniquetitle number issued by the Motor VehicleAdministration; and

(iv) Vehicle title state. Report the 2-character

postal abbreviation for the state or territory of thevehicle title.

(9) Entry number. Report the Import EntryNumber when the export transaction is to be usedas proof of export for import transactions such asIn-Bond, Temporary Import Bond, Drawback, andso forth.

(10) Wavier of prior notice. This is a "Yes" or"No" indicator to determine if the person claimingdrawback received a waiver of prior notice for theexported merchandise.

(11) Transportation reference number. Reportthe booking number for all sea shipments. Thebooking number is the reservation numberassigned by the carrier to hold space on the vesselfor the cargo being exported.

(12) Equipment number. Report the containernumber for containerized shipments. This numbermay be reported in conjunction with the bookingnumber.

(13) Filing option indicator. Report the 1-character filing option that indicates Option 3 orOption 4 filing, or the AES-Post DepartureAuthorized Special Status (PASS) standard orexpanded IOU’s, if applicable.

(c) Optional data elements are as follows:

(1) Marks and numbers. The exporter or theauthorized forwarding agent in the exporttransaction may opt to report any special marks ornumbers that appear on the physical merchandiseor its packaging that can identify the shipment ora portion thereof. (See § 30.7(j) for moreinformation.)

(2) Seal number. Report the security sealnumber of the seal placed on the equipment.


January 2001

§30.64

TRANSMITTING AND CORRECTINGAES INFORMATION

(a) The exporter or their authorized filing agent isresponsible for electronically transmittingcorrections, cancellations, or amendments toshipment information previously transmittedusing the AES. Corrections, cancellations, oramendments should be made as soon as possibleafter exportation when the error or omission isdiscovered.

(b) For shipments where the exporter or theirauthorized filing agent has received an errormessage from AES, the corrections must takeplace as required. A fatal error message willcause the shipment to be rejected. This error mustbe corrected prior to exportation of themerchandise. For shipments where a warningmessage is received, the correction must be madewithin four (4) working days of receipt of thetransmission, otherwise AES will generate areminder message to the filer. For shipments witha verify message, corrections when warranted,should be made as soon as possible afternotification of the error by the AES.

§30.65

ANNOTATING THE PROPEREXEMPTION LEGENDS FORSHIPMENTS TRANSMITTED

ELECTRONICALLY.

The exporter or their authorized forwarding agentis responsible for annotating the proper exemptionlegend on the bill of lading, airway bill, or othercommercial loading document for presentation tothe carrier, either on paper or electronically priorto export. The exemption legend will identify thatthe shipment information has been transmittedelectronically using the AES. The exemption

legend will include the statement "NO SEDREQUIRED-AES" followed by the filer’sidentification number and a unique shipmentreference number or the returned confirmationnumber. For exporters who have been approvedto participate in Filing Option 4, the exemptionstatement, "NO SED REQUIRED-AES," shouldinclude the exporter’s identification number andthe filer’s identification number if other than theexporter. The exemption legend must appear onthe first page of the bill of lading, airway bill, orother commercial loading document and must beclearly visible.

§30.66

RECORDKEEPING ANDDOCUMENTATION REQUIREMENTS

All parties to the export transaction (owners andoperators of the exporting carriers and exportersand their authorized agents) must retaindocuments or records verifying the shipment forfive (5) years from the date of export. Customs,the Census Bureau, and other participatingagencies may require that these documents beproduced at any time within the 5-year timeperiod for inspection or copying. These recordsmay be retained in an elected format includingelectronic or hard copy as provided in theapplicable agency’s regulations. Acceptance ofthe documents by Customs or the Census Bureaudoes not relieve the exporter or their authorizedagent from providing complete and accurateinformation after the fact.

SUBPART F

GENERAL


January 2001

REQUIREMENTS-IMPORTERS

§30.70

STATISTICAL INFORMATIONREQUIRED ON

IMPORT ENTRIES

Information for statistics on merchandise enteringthe United States from foreign countries, U.S.Foreign Trade Zones, and from the Virgin Islandsof the United States, and other nonforeign areas(except Puerto Rico), is required to be reported byimporters on the following Customs entry andwithdrawal forms respectively required by U.S.Customs regulations for individual transactions:Custom Forms 7500, 7501, 7502, 7505, 7506,7519, 7521, and 7535, and on Customs Form 7512when used as an intransit entry to documentimmediate exportation or transportation andexportation. Upon request, the importer or importbroker must provide the Census Bureau withinformation or documentation necessary to verifythe accuracy or resolve problems regarding thereported import transaction received by theCensus Bureau. The following items ofinformation for statistics shall be reported on therespective forms:7

(a) District and port code. (All forms.) TheCustoms district code number and the port codenumber (as shown in Schedule D, Classificationof Customs Districts and Ports) for the Customsport of entry or filing shall be supplied. (WhereCustoms does not require that the District andPort codes be inserted by importers, the codes willbe filled in by Customs so that all entries and

withdrawals received by the Bureau of the Censuswill bear these codes.)

(b) Importing vessel or carrier

(Not required for merchandise entering U.S.Customs territory from U.S. Foreign TradeZones.)

(1) (Customs Forms 7501, 7502, 7512, and 7521.)Information is required as to the carrier or meansof transportation by which the merchandise wastransported from a foreign country to the first portof unloading in the United States. If themerchandise has been further transported in bondbetween ports in the United States after havingbeen unladen from the carrier on which it arrivedin the United States, the name of the domesticcarrier shall not be substituted, and theinformation furnished shall reflect the name of thecarrier or means of transportation by which themerchandise arrived in the first U.S. port ofunlading.

(2) For merchandise arriving in the United Statesby vessel, the name of the importing vessel isrequired. The importing vessel is the vessel whichtransported the merchandise from the foreign portof lading to the first U.S. port of unlading.

(3) For merchandise arriving in the United Statesby air, the name and nationality of the importingairline is required. The importing airline is theairline which carried the merchandise from theforeign port of lading to the first U.S. port ofunlading, and not a domestic airline carrying themerchandise after the initial unlading in theUnited States.

(4) For merchandise arriving in the United Statesby means of transportation other than vessel orair, the means of transportation from the foreigncountry is required, in such terms as ‘‘parcelpost,’’ ‘‘registered mail,’’ ‘‘railroad,’’ ‘‘trucks,’’‘‘pipeline,’’ etc.

7 The information required for statisticalpurposes is in most cases also required by Customsregulations for other purposes. (See §30.80 forspecial reporting instructions for merchandiseentering United States Customs Territory fromUnited States Foreign Trade Zones.)


January 2001

(c) Foreign port of lading

(1) (Customs Forms 7501, 7502, 7512 and 7521.)For merchandise arriving in the United States byvessel or air, the name and country of the foreignport at which the merchandise was actually loadedon the vessel or aircraft that carried themerchandise to the United States is required. Thisinformation is not required for merchandiseentering the U.S. Customs territory from a U.S.Foreign Trade Zone. For shipments originating ineither 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 loadedfor exportation to the United States.

(2) For merchandise transshipped overseas in thecourse of shipment to the United States, whetheror not covered by a through bill of lading, theinformation furnished shall reflect only theforeign port at which the merchandise was loadedon the vessel, aircraft, or other carrier whichtransported it to the first U.S. port of unlading.Neither the foreign port of original lading nor anyport of lading other than the last foreign port oflading shall be substituted. When a singleCustoms form covers merchandise loaded at morethan one foreign port, the foreign port of ladingshall be indicated separately in the ‘‘Marks andnumbers and Country of origin’’ columnimmediately below the Country of origindesignation and on the same line as themerchandise laden at each foreign port.

(3) For merchandise entering the U.S. Customsterritory from a U.S. Foreign Trade Zone, thenumber of the Foreign Trade Zone, preceded bythe letters ‘‘FTZ’’ shall be shown in this space.

(d) U.S. port of unlading

(Not required for merchandise entering U.S.Customs territory from U.S. Foreign TradeZones.)

(1) (Customs Forms 7501, 7502, 7512, and 7521.)For merchandise arriving in the United States byvessel or air, the U.S. port (as listed in ScheduleD) at which the merchandise was unloaded fromthe importing vessel or aircraft is required,whether or not such port is a Customs port ofentry. (For example, if entry is filed at the Port ofLos Angeles for merchandise unloaded from theimporting vessel at Long Beach, California, theentry should show Long Beach as the port ofunlading.)

(2) When merchandise is transported in bond fromthe U.S. port where unladen from the importingvessel or carrier to another U.S. port or ports to beentered for consumption or warehouse, the port ofunlading required to be shown on the consumptionor warehouse entry is the port or point where themerchandise was unladen from the importingvessel or carrier before transportation in bond.

(e) Date of importation

(All forms.) For merchandise arriving in theUnited States by vessel, the month, day, and yearon which the importing vessel transporting themerchandise from the foreign country arrivedwithin the limits of the U.S. port at which themerchandise was or is to be unladen is required.The date of importation to be reported formerchandise arriving in the United States otherthan by vessel is the date on which themerchandise arrives within the limits of theUnited States.

(f) Country of origin

(1) (All forms.) Country of origin shall bereported in the ‘‘marks and numbers and countryof origin’’ column on entry and withdrawal forms(in the ‘‘marks and numbers’’ column on Forms7512 and 7500), the ‘‘country of origin’’ space onthe Special Customs Invoice form, and in aconspicuous place on commercial invoicessupplied to Customs where the Special CustomsInvoice form is not required. On multipage


January 2001

entries, country of origin should be shown on eachpage. (2) Country of origin shall be reported in terms ofthe names designated in Schedule C-I,‘‘Classification of Country and TerritoryDesignations for U.S. Import Statistics,’’ unless amore specific geographic area is required to beshown for other purposes. The country of origin isdefined as the country in which the product wasmined, grown or manufactured. Further labor,work or material added to an article in anotherforeign country or the Virgin Islands of the UnitedStates must effect a substantial transformation inorder to render such other country the ‘‘country oforigin.’’ Such substantial transformations includesmelting of ores, refining of crude products, andthe like. The country of origin is not changedwhen the merchandise is subjected in anothercountry merely to minor manipulations, such assorting, grading, and the like. When themerchandise is invoiced in or exported from acountry other than that in which it originated, theactual country of origin shall be specified ratherthan the country of invoice or exportation. Thecountry of origin for imports of scrap and waste isthe country in which the merchandise was reducedto scrap or waste. In the case of such commoditiesas industrial diamonds or antiques, if the origin ofthe merchandise is not known or cannot beascertained with reasonable effort, the countryfrom which the merchandise has been shippedshall be shown and shall be indicated as the“Country of Shipment.”

(3) Except as provided below, the country oforigin shown on import entries and withdrawalsshould be based on information furnished by theforeign supplier on import invoices. The importershould inform his foreign supplier of therequirements and definitions of this section andinstruct the foreign supplier to furnish informationon the invoice as to country of origin inaccordance with the above definition. If aninvoice from the foreign supplier is not availableat the time of entry, the importer shall enter thecorrect country of origin according to his best

knowledge. In any case where the importer hasreliable knowledge that the country of originshown on the invoice is incorrect, he shall enteron the form the correct country of originaccording to his best knowledge, indicating that itis a correction.

(4) When a single Customs form coversmerchandise from more than one country oforigin, the country of origin shall be indicatedseparately against each item (or group of items).

(g) Description of merchandise

(All forms.) Except on Customs Form 7512 whenused as an Immediate Exportation orTransportation and Exportation entry, thedescription of merchandise shall be in terms of theTariff Act in accordance with the Tariff Schedulesof the United States Annotated for StatisticalReporting (TSUSA) and in sufficient detail topermit the identification of the TSUSA statisticalreporting number to which each commodityproperly belongs. The name of the commodity andany and all characteristics of the commoditywhich distinguish it from commodities of thesame name covered by other TSUSA statisticalreporting numbers shall be clearly and fullystated. For merchandise classified in TSUSAclassifications for which the instruction “specifyby name” is shown in TSUSA the specific nameof the commodity or a further identifyingdescription in addition to the description in themore general terms of the commodityclassification definition is required. WhenCustoms Form 7512 is used as an ImmediateExportation or Transportation and Exportationentry importers need only report in terms of thefirst five digits of TSUSA (i.e., in terms ofTSUS).

(h) Gross weight in pounds

(Customs Forms 7501, 7502, 7512, and 7521, formerchandise transported to the United States byvessel or air only.) Gross shipping weight inpounds shall be reported in column (2a)


January 2001

immediately below the description of merchandise(in “Gross Weight in Pounds” column on Form7512 on the same horizontal line with value).Separate gross weight information is required forthe merchandise covered by each reportingnumber, but if gross weight is not available foreach reporting number included in one or morepackages, approximate shipping weight for eachitem shall be estimated and reported. The total ofthese estimated weights should equal the actualgross shipping weight of the entire package orpackages. However, for containerized cargocarried in lift vans, cargo vans, or similarsubstantial outer containers, the weight of suchcontainers should not be included in the grossshipping weight of the merchandise covered byeach reporting number.

(i) Net quantity

(All forms except 7535.) When a unit of quantityis specified in TSUSA for the reporting numberunder which the item is reported, net quantityshall be reported in the specified unit, and (exceptwhere the unit is “No.” (number)) the unit inwhich reported shall also be shown on the entryfollowing the net quantity figure. In cases wheretwo units of quantity are shown for thecommodity in TSUSA, net quantity shall bereported on the import entry in each of thespecified units with the unit indicated in eachcase. The quantity in terms of the unit markedwith a superior “v” in TSUSA should be shown onthe entry on the same horizontal line with thevalue. The quantity in terms of any other unitsspecified in TSUSA should be shown below thefirst quantity and should be enclosed inparentheses. If no unit of quantity is specified inTSUSA for the reporting number under which theitem is reported, net quantity is not required to bereported on the import entry, and an “X” shall beentered in the “net quantity” column. Where theunit of quantity specified in TSUSA is “tons,”long tons of 2,240 pounds shall be reported unlessshort tons of 2,000 pounds are specified inTSUSA. Quantities shall be shown in whole units

unless fractions of units are required for Customspurposes.

(j) Value

(All forms.) Except on Customs Form 7512 whenused as an Immediate Exportation orTransportation and Exportation entry, the dollarvalue shall be reported on the forms in accordancewith the definitions set forth in the TariffSchedules of the United States Annotated(TSUSA) and sections 402 and 402a of the TariffAct of 1930, as amended. Moreover, the valueshall be reported in accordance with the formatprescribed in the U.S. Customs Regulations. (OnCustoms Form 7512 when used as an ImmediateExportation entry, only the Customs value inaccordance with sections 402 and 402a of theTariff Act of 1930, as amended, need bereported.)

(k) TSUSA reporting number

(All forms.) Except on Customs Form 7512 whenused as an in-transit entry, the reporting numberaccording to the current edition of the TariffSchedules of the United States Annotated shall beshown in the column provided on the form. Thereporting number assigned shall reflect the correctTSUSA classification of the merchandise and beconsistent with the rate of duty applicable to thecommodity. Where correct reporting as indicatedin TSUSA requires the use of more than oneTSUSA commodity number, all required reportingnumbers will be shown for an item on theCustoms form. On Customs Form 7512 when usedas an Immediate Exportation or Transportationand Exportation entry, the reporting number, interms of the first five digits of TSUSA (TSUS), isrequired to be shown in the column provided onthe form for “Description and Quantity ofMerchandise.” This code should appear to theright of that column, on the same line as thereported gross weight and value.


January 2001

SUBPART G

SPECIAL PROVISIONS FORPARTICULAR TYPES OF IMPORT

TRANSACTIONS

§30.80

IMPORTS FROM CANADA

(a) When certain softwood lumber productsdescribed under Harmonized Tariff Schedule ofthe United States (HTSUS) subheadings4407.1000, 4409.1010, 4409.1090, and 4409.1020are imported from Canada, import entry recordsare required to show a valid Canadian Province ofManufacture Code. The Canadian Province ofManufacture is determined on a first mill basis(the point at which the item was firstmanufactured into a covered lumber product). Forpurposes of determination, Province ofManufacture is the first province where thesubject merchandise underwent a change in tariffclassification to the tariff classes cited in thisparagraph (a). The Province of Manufacture Codeshould replace the Country of Origin code on theCF 7501, Entry Summary form. For electronicAutomated Broker Interface (ABI) entrysummaries, the Canadian Province Code shouldbe transmitted in positions 6-7 of the A40 records.These requirements apply only for imports ofcertain softwood lumber products for which theCountry of Origin is Canada.

(b) All other imports from Canada, includingcertain softwood lumber products not covered inparagraph (a) of this section, will require thetwo-letter designation of the Canadian Province ofOrigin to be reported on U.S. entry summaryrecords. This information is required only forUnited States imports that under applicableCustoms rules of origin are determined tooriginate in Canada. For nonmanufactured goodsdetermined to be of Canadian origin, the Provinceof Origin is defined as the Province where the

exported goods were originally grown, mined, orotherwise produced. For goods of Canadian originthat are manufactured or assembled in Canada,with the exception of the certain softwood lumberproducts described in paragraph (a) of thissection, the Province of Origin is that in which thefinal manufacture or assembly is performed priorto exporting that good to the United States. Incases where the province in which themerchandise was manufactured or assembled orgrown, mined, or otherwise produced is unknown,the province in which the Canadian vendor islocated can be reported. For those reporting onpaper forms the Province of Origin code replacesthe country of origin code on the CF 7501, EntrySummary form. (c) All electronic Automated Broker Interface(ABI) entry summaries for imports originating inCanada also require the new Canadian Province ofOrigin code to be transmitted for each entrysummary line item in the A40 record positions6-7.

(d) The Province of Origin code replaces theCountry of Origin code only for imports that havebeen determined, under applicable Customs rules,to originate in Canada. Valid CanadianProvince/Territory Codes are:

XA--AlbertaXB--New BrunswickXC--British ColumbiaXM--ManitobaXN--Nova ScotiaXO--OntarioXP--Prince Edward IslandXQ--QuebecXS--SaskatchewanXT--Northwest TerritoriesXW--NewfoundlandXY--Yukon Territory

§30.81

IMPORTS OF MERCHANDISE INTO


January 2001

GUAM

(a) Carriers of merchandise to Guam shall not bepermitted to unload cargo in Guam until themaster or other person in charge of the carriershall deliver to the Government of Guam at theplace of unloading a manifest, cargo list, freightlist or equivalent document showing a detailedaccount of merchandise destined for Guam onboard such carrier, with the numbers anddescription of the packages according to theirusual name or designation.

(b) For each shipment imported into Guam exceptas listed in paragraph (d) of this section, theimporter in Guam shall furnish to the Governmentof Guam at the port of entry of the merchandise atthe time of or prior to taking possession of suchmerchandise, the commercial invoice covering theshipment attached to a copy of the bill of lading orair waybill signed by the carrier. (Where theshipment is one for which no bill of lading (or airwaybill) is utilized only a copy of the commercialinvoice need be furnished.) In individual cases,where warranted in the opinion of the Governmentof Guam, the Government of Guam may releasemerchandise to the consignee prior to receipt ofthe commercial invoice and/or bill of lading or airwaybill in the case of perishable articles or othermerchandise, the immediate delivery of which isnecessary. (c) Information concerning individual transactionsfurnished to the Government of Guam pursuant tothese regulations may not be disclosed by thosehaving possession of or access to any copies ofsuch information for official purposes, to anyoneother than the exporter or importer except asspecifically directed by the Bureau of the Census. (d) The following kinds of shipments are not to beincluded in the statistics on shipments from theUnited States to Guam and the documentationprescribed in paragraphs (a) and (b) of this sectionshall not be required for statistical purposes:

(1) Shipments to the U.S. Armed Forces;

(2) Shipments of office furniture, officeequipment, and office supplies, to and for theexclusive use of U.S. Government offices;

(3) Baggage and personal effects,accompanied or unaccompanied, of personsleaving the U.S., and tools of trade, as describedin §30.56(a) and (b).

§30.82

IDENTIFICATION OF U.S.MERCHANDISE RETURNED FOR

REPAIR AND REEXPORT

Import entries covering U.S. merchandiseimported temporarily for repair or alteration andreexport are required to show the followingstatement: “Imported for Repair and Reexport.”

§30.83

STATISTICAL COPY OF MAIL ANDINFORMAL ENTRIES

A legible copy of all mail and informal entries isrequired for statistical purposes. In addition to theinformation required to be shown for customspurposes, the value is also required to be shownfor all merchandise including that not subject toduty.

SUBPART H

GENERAL ADMINISTRATIVEPROVISIONS

§30.90

CONFIDENTIAL INFORMATION,IMPORT ENTRIES AND WITHDRAWALS


January 2001

The contents of the statistical copies of importentries and withdrawals on file with the Bureau ofthe Census are treated as confidential and will notbe released without authorization by the U.S.Customs Service, in accordance with the policyset forth in 19 CFR 103.4 (Customs Regulations)relating to the copies on file in Customs offices.

§30.91

CONFIDENTIAL INFORMATION,SHIPPER'S EXPORT DECLARATIONS

(a) Confidential status

The Shipper’s Export Declaration is an officialDepartment of Commerce form, prescribed jointlyby the Bureau of the Census and the Bureau ofExport Administration. Information requiredthereon is confidential, whether filedelectronically or in any other approved format, foruse solely for official purposes authorized by theSecretary of Commerce. Use for unauthorizedpurposes is not permitted. Information requiredon the Shipper’s Export Declarations may not bedisclosed to anyone except the exporter or hisagent by those having possession of or access toany copy for official purposes, except as providedin paragraph (e) of this section.

b) Copying of information to manifests not permitted

Since certain types of information from theoutward manifests of ocean carriers can be madepublic under the provisions of the CustomsRegulations, carriers are not permitted to copyinformation to manifests (or to bills of lading usedin lieu of a listing of cargo on a manifest) fromShipper's Export Declarations in their possessionfor official purposes, except for

(1) the bill of lading number on thedeclaration,

(2) information on the declaration which isidentical with bills of lading or other sources ofinformation available to the carrier, and

(3) items of information which are required byExport Administration Regulations to be identicalor consistent on both documents.

(c) Supplying of copies by exporters for unofficial purposes not permitted

The regulations in this part spell out precisedefinitions to be followed in reporting informationon Shipper's Export Declarations. Strict adherenceto these definitions is necessary if the officialpurposes for which the forms are required are tobe effectively accomplished. Because of thepossibility that for other purposes differentdefinitions would be appropriate, the supplying byexporters of any copies (or of the informationfrom copies) for any unofficial purpose isconsidered detrimental to official objectives andis 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 ofthe document generally, the following limitationsare placed upon the issuance of copies toexporters or their agents:

(1) A copy of a Shipper's Export Declaration maybe supplied to exporters or their agents only whensuch a copy is needed by the exporter to complywith:

(i) Official requirements for presentation of acopy to the exporting carrier as authorization forexport,

(ii) export control requirements, or

(iii) U.S. Department of Agriculturerequirements for proof of export in connection


January 2001

with subsidy payments. Copies issued to exportersor their agents under paragraph (d)(1) (ii) or (iii)of this section will be stamped as follows by theCustoms Director: Certified pursuant to theExport Administration Regulations or to fulfill therequirements of a Federal Agency and not for anyother purpose. May not be reproduced in anyform.

(2) Use of copies of the Shipper’s ExportDeclaration in connection with claims forexemption from internal revenue taxes or statetaxes is not permitted.

(e) Determination by the Secretary of Commerce

When the Secretary of Commerce or delegatedetermines that the withholding of informationprovided by an individual Shipper’s ExportDeclaration is contrary to the national interest, theSecretary or delegate may make such informationavailable, taking such safeguards and precautionsto limit dissemination as deemed appropriateunder the circumstances. In recommendationsregarding such actions, the Bureau of the Censuswill, in general, consider that it is not contrary tothe national interest to withhold information onShipper’s Export Declarations from privateindividuals or businesses (except the exporter orthe agent of the exporter) or from state or localgovernment agencies or officials, regardless of thepurposes for which the information may berequested. In recommendations regarding anyother requests for access to official copies, ajudgment in the light of circumstances will bemade as to whether it is contrary to the nationalinterest to apply the exemption, keeping in viewthat the maintenance of confidentiality has initself an important element of national interest.

§30.92

STATISTICAL CLASSIFICATIONSCHEDULES

The following statistical classification schedulesreferred to in the regulations in this part arehereby incorporated by reference. Information asto where copies may be obtained is indicated.Copies are available for public inspection at theoffices of local Customs Directors andDepartment of Commerce District Offices.TSUSA--Tariff Schedules of the United StatesAnnotated for Statistical Reporting, as currentlyrevised, shows the 7-digit statistical reportingnumber to be used in preparing import entries andwithdrawal forms. TSUSA may be purchasedfrom the Superintendent of Documents, U.S.Government Printing Office, Washington, D.C.20402, local Customs Directors, or Department ofCommerce District Offices located in principalcities. Purchase price includes the basic scheduleplus revisions as currently issued for an indefiniteperiod. Schedule B--Statistical Classification ofDomestic and Foreign Commodities Exportedfrom the United States, as currently revised,shows the detailed commodity classificationrequirements and 7-digit statistical reportingnumbers to be used in preparing Shipper’s ExportDeclarations, as required by these regulations.

Schedule B may be purchased from theSuperintendent of Documents, U.S. GovernmentPrinting Office, Washington, D.C. 20402, localCustoms Directors, or Department of CommerceDistrict Offices located in principal cities.Purchase price includes the basic schedules andsupplements issued irregularly, covering revisionin the schedule for an indefinite period.

Schedule C-E--Classification of Country andTerritory Designations for U.S. Export Statistics.Free from the Bureau of the Census, Washington,D.C. 20233.

Schedule C-I--Classification of Country and


January 2001

Territory Designations for U.S. Import Statistics.Free from the Bureau of the Census, Washington,D.C. 20233.

Schedule D--Classification of Customs Districtsand Ports. Free from the Bureau of the Census,Washington, D.C. 20233.

§30.93

EMERGENCY EXCEPTIONS

In individual cases of emergency, where strictenforcement of the regulations in this part wouldcreate undue hardship, the Foreign Trade Divisionof the Bureau of the Census, with the concurrenceof the Office of Export Administration in caseswhere export control requirements are alsoinvolved, may authorize such postponements of orexceptions to the requirements of the regulation inthis part as are warranted by the circumstancesand not inconsistent with the aims of this chapter.

§30.94

INSTRUCTIONS TO CUSTOMS

Instructions of a continuing nature to Customswith respect to the forwarding of statistical copiesof forms and the preparation of special statisticalreports not involving requirements upon thepublic will not be included in the regulations inthis part, but will, instead be transmitted toCustoms through appropriate administrativechannels.

§30.95

PENALTIES FOR VIOLATIONS

Any person who violates any provisions of thispart, except for violations of the provisionsrelating to delayed filing of documents under bondas provided by §30.24, shall be liable to theUnited States in civil penalty not exceeding$1,000 for each violation, as authorized by section305 of Chapter 9 of Title 13 of the United StatesCode.

§30.99

OMB CONTROL NUMBERS ASSIGNEDPURSUANT TO THE PAPERWORK

REDUCTION ACT

(a) Purpose

This subpart will comply with the requirements of§3507(f) of the Paperwork Reduction Act (PRA)which requires that agencies display a currentcontrol number assigned by the Director of OMBfor each agency information collectionrequirement.


January 2001

(b) 15 CFR section and Current OMB control no.

30.1 through 30.7 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0607-0001, -0018, -0150, -015230.8 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0607-000130.9 through 30.11 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0607-0001, -0018, -015230.12 and 30.15 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0607-0001, -0018, -015230.16 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0607-0001, -0018, -0150, -015230.20 through 30.24 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0607-0001, -0018, -0150, -015230.30 through 30.31 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0607-0018, -0150, -015230.33 through 30.35 and 30.37 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0607-0001, -0018, -0150, -015230.39 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0607-0018, -0150, -015230.40, 30.41, and 30.50 through 30.53 . . . . . . . . . . . . . . . . . . . . . . . . . . . 0607-0001, -0018, -0150, -015230.54 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0607-001830.55 through 30.57 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0607-0001, -0018, -0150, -015230.82 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0607-0018, -015230.91 through 30.95 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0607-0001, -0018, -0150, -0152

[48 FR 56744, Dec. 23, 1983]

Foreign Trade Statistics Regulations Appendix A to Title 15 Part 30 - page 1

January 2001

Format for Letter of Intent, Automated Export System (AES)

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

1. Company Name, Address (no P.O. Boxes), City, State, Postal Code

2. Company Contact Person, Phone Number, Fax Number, E-mail Address

3. Technical Contact Person, Phone Number, Fax Number, E-mail Address

4. Corporate Office Address, City, State, Postal Code

5. Computer Site Location Address, City, State, Postal Code

6. Type of Business — Exporter, Freight Forwarder/Broker, Carrier, NVOCC, Port Authority,

Software Vendor, Service Center, etc. (Indicate all that apply.)

(i) Are you currently an AERP Participant? What is the AERP symbol?

(ii) Freight Forwarder/Brokers indicate the number of exporters for whom you file export

information (AERP and SEDs).

(iii) Exporters indicate whether you are applying for AES, Option 4 filing, or both.

7. U.S. Ports of Export Currently Utilized

8. Average Monthly Volume of Export Shipments (Monthly SED volume)

9. Average Monthly Value of Export Shipments (Monthly SED volume)

10. Filer Code — EIN, DUNS, SSN, or SCAC (Indicate all that apply.)

11. Software Vendor Name, Contact, and Phone Number (if using vendor provided software)

12. Look-a-Like Remote to Copy (as provided by vendor)

13. Modes of Transportation used for export shipments (Air, Vessel, Truck, Rail, etc.)

14. Types of Merchandise exported

15. Types of Licenses or Permits

16. Anticipated Implementation Date

B. The following self-certification statement, signed by an officer of the company, must be included in

your letter of intent: “I hereby certify that Company Name is, and will continue to be, in compliance

with all applicable laws and regulations.”

C. Send AES Letter of Intent to: Chief, Foreign Trade Division, U.S. Census Bureau, Washington,

DC 20233. Or, the copy can be faxed to: 301-457-1159.

Foreign Trade Statistics Regulations Appendix B to Title 15 Part 30 - page 1

January 2001

Required Pre-Departure Data Elements for Filing Option 3

(1) Identifier of Exporter - EIN, etc.

(2) Forwarding Agent I.D. - EIN, etc.

(3) Carrier I.D. (SCAC or IATA).

(4) Country of Ultimate Destination - ISO code.

(5) Name of Ultimate Consignee.

(6) (a) Commodity description or

(b) Optional - Schedule B No. or HTS code

(7) Shipment reference number (17 characters or less). The filer of the export shipmentprovides a unique shipment reference number that allows for the identification of theshipment in their system. This shipment reference number must be unique for five years.

(8) Intended U.S. Port of Export

(9) Estimated Date of Export

(10) Transportation Reference Number, e.g., vessel booking number

(11) Method of Transportation (MOT) code

(12) HAZMAT - Y/N

(13) License code

(14) Export License Number

Electronic (AES) Filing Codes

Foreign Trade Statistics Regulations Appendix C to Title 15 Part 30 - page 1

January 2001

PART I & METHOD OF TRANSPORTATION CODES

10 Sea11 Sea Containerized12 Sea (Barge)20 Rail21 Rail Containerized30 Truck31 Truck Containerized

32 Auto33 Pedestrian34 Road, Other40 Air41 Air Containerized50 Mail60 Passenger, Hand Carried70 Fixed Transport (Pipeline and Powerhouse)


January 2001

PART II & EXPORT INFORMATION CODES

LC Shipments valued $2,500 or less per classification number that are required to bereported

TP Temporary exports of domestic merchandiseIP Shipments of merchandise imported under a Temporary Import Bond for

further manufacturing or processingIR Shipments of merchandise imported under a Temporary Import Bond for repairDB DrawbackCH Shipments of goods donated for charityFS Foreign Military SalesOS All other exportsHV Shipments of personally owned vehiclesHH Household and personal effectsSR Ship’s storesTE Temporary exports to be returned to the United StatesTL Merchandise leased for less than a yearIS Shipments of merchandise imported under a Temporary Import Bond for return in the

same conditionCR Shipments moving under a carnetGP U.S. government shipmentsLV Shipments valued $2,500 or less that are not required to be reportedSS Carriers’ stores for use on the carrierMS Shipments consigned to the U.S. Armed ForcesGS Shipments to U.S. government agencies for their useDP Diplomatic pouchesHR Human remainsUG Gift parcels under Bureau of Export Administration License Exception GFTIC Interplant correspondenceSC Instruments of international tradeDD Other exemptions:

CurrencyAirline ticketsBank notesInternal revenue stampsState liquor stampsAdvertising literatureShipments 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 AERPAE Shipment information filed through AES

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


January 2001

PART III — LICENSE CODES

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

C30 BXA LicensesC31 SCLC32 NLR (CCL/NS Column 2)C33 NLR (All Others)C34 Future UseC35 LVSC36 GBSC37 CIVC38 TSRC39 CTPC40 TMP

C41 RPLC42 GOVC43 GFTC44 TSUC45 BAGC46 AVSC47 APRC48 KMIC49 TAPSC50 ENC

Nuclear Regulatory Commission (NRC) Codes

N01 NRC Form 250/250AN02 NRC General License

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

SAG AgreementsS00 License Exemption CitationS05 DSP-5S61 DSP-61S73 DSP-73S85 DSP-85

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

T10 OFAC Specific LicenseT11 OFAC General License

Other License Types

OPA Other Partnership Agency Licenses not listed above


January 2001

PART IV — IN-BOND CODES

70 Not-In-Bond36 Warehouse Withdrawal for Immediate Exportation37 Warehouse Withdrawal for Transportation and Exportation62 Transportation and Exportation63 Immediate Exportation67 Immediate Exportation from a Foreign Trade Zone68 Transportation and Exportation from a Foreign Trade Zone