15 C.F.R. § 30.63 Information required to be reported electronically through AES (data elements).
Title 15 - Commerce and Foreign Trade
The information (data elements) listed in this section is required for shipments transmitted electronically through AES. The data elements as they pertain to electronic reporting are defined as paragraphs (a), (b), and (c) of this section. Those data elements that are defined in more detail in other sections of the FTSR are so noted. The data elements identified as “mandatory” must be reported for each transmission. The data elements identified as “conditional” must be reported if they are required for or apply to the specific shipment. The data elements identified as “optional” may be reported at the discretion of the exporter. (a) Mandatory data elements are as follows: (1) USPPI/USPPI identification—(i) Name and address of the USPPI. For details on the reporting responsibilities of USPPIs, see §30.4 and §30.7 (d)(1), (2), (3), and (e). (ii) USPPI's profile. The USPPI's EIN or Social Security Number (SSN) and the USPPI's name, address, contact, and telephone number must be reported with every shipment. If neither EIN or SSN is available for the USPPI, as in the case of a foreign entity being shown as the USPPI as defined in §30.7(d), the border crossing number, passport number, or any other number assigned by CBP is required to be reported. (See §30.7(d)(2) for a detailed description of the EIN.) (2) Date of exportation/date of arrival. The exporter or the authorized forwarding or other agent in the export transaction must report the date the merchandise is scheduled to leave the United States for all modes of transportation. If the actual date is not known, report the best estimate of departure. The estimated date of arrival must be reported for shipments to Puerto Rico. (See §30.7(r) for additional information.) (3) Ultimate consignee. The ultimate consignee is the person, party, or designee on the export license who is located abroad and actually receives the export shipment. The ultimate consignee known at the time of export must be reported. For goods sold en route, report “SOLD EN ROUTE” and report corrected information as soon as it is known. (See §30.7(f) for more information.) (4) U.S. state of origin. Report the 2-character postal abbreviation for the state in which the merchandise begins its journey to the port of export. (See §30.7(t)(1) and (2) for more information.) (5) Country of ultimate destination. Report the 2-character International Standards Organization (ISO) code for the country of ultimate destination. The country of ultimate destination, as shown on the export license, or the country as known to the exporter or principal party in interest in the export transaction at the time of export is the country in which the merchandise is to be consumed or further processed or manufactured. For goods sold en route, report the country of the first port of call and then report corrected information as soon as it is known. (See §30.7(i) for more information.) (6) Method of transportation. The method of transportation is defined as that by which the goods are exported or shipped. Report one of the codes listed in Part I of Appendix C of this part. (See §30.7(b) for detailed information on method of transportation.) (7) Conveyance name. The name of the carrier (sea—vessel name; others—carrier name) must be reported by the exporter or the exporter's agent as known at the time of shipment for all shipments leaving the country by sea, air, truck, or rail. Terms such as “airplane,” “train,” “truck,” or “international footbridge” are not acceptable and will generate an error message. (See §30.7(c) for more information.) (8) Carrier identification. Report the 4-character Standard Carrier Alpha Code (SCAC) for vessel, rail, and truck shipments and the 2-or 3-character International Air Transport Association (IATA) Code for air shipments to identify the carrier actually transporting the merchandise out of the United States. (9) Port of export. Report the code of the CBP port of export in terms of Schedule D, “Classification of CBP Districts and Ports.” (See §§30.7(a) and 30.20(c) and (d) for more information on port of export.) (10) Related/nonrelated indicator. Indicate if the shipment is between related parties. Report the information as defined in §30.7(v). (11) Domestic or foreign indicator. Indicate if the commodities are of domestic or foreign production. Report the information as defined in §30.7(p). (12) Commodity classification number. Report the 10-digit commodity classification number as provided in Schedule B, “Statistical Classification of Domestic and Foreign Commodities Exported from the United States” (Schedule B). The 10-digit commodity classification number provided in the Harmonized Tariff Schedule (HTS) may be reported in lieu of the Schedule B Commodity classification number except as noted in the headnotes of the HTS. Shipments of rough diamonds at the 10-digit Schedule B level that are classified under 6-digit Harmonized System subheadings 7102.10, 7102.21, and 7102.31 must be reported electronically through the AES. (See §30.7(l) for detailed information.) (13) Commodity description. Report the commercial description in sufficient detail to permit the verification of the commodity classification number. (See §30.7(l) for more information regarding reporting the description.) (14) First net quantity/unit of measure. Report the primary net quantity in the specified unit of measure and the unit of measure as prescribed in the Schedule B or HTS or as specified on the export license. (15) Gross shipping weight. Report the gross shipping weight in kilograms for vessel, air, truck, and rail shipments. Include the weight of containers, but exclude the weight of carrier equipment. (See §30.7(o) for more information.) (16) Value. The value shall be the selling price or cost if not sold, including inland freight, insurance, and other charges to the U.S. port of export. Report the value in U.S. currency. (See §30.7(q) for more information.) (17) Export information code. Report the appropriate 2-character export information code as provided in Part II of Appendix C of this part. (18) Shipment reference number. The filer of the export shipment provides a unique shipment reference number that allows for the identification of the shipment in their system. This shipment reference number must be unique for five years. (19) Line item number. Report a line number for each commodity for a unique identification of the commodity. (20) Hazardous material indicator. This is a “Yes” or “No” indicator identifying the shipment as hazardous as defined by the Department of Transportation. (21) In-bond code. Report one of the 2-character in-bond codes listed in Part IV of Appendix C of this part to indicate the type of In-Bond or Not In-Bond shipment. (22) License code. Report the 3-character code listed in Part III of Appendix C of this part to indicate the type of license, permit, license exemption, or no license required. (b) Conditional data elements are as follows: (1) Forwarding agent/forwarding agent identification—(i) Name and address of the forwarding agent. The forwarding agent is any person in the United States or under jurisdiction of the United States who is authorized by the exporter to perform the services required to facilitate the export of merchandise out of the United States or the person named in the validated export license. (See §§30.4(a) and 30.7(e) for details on responsibilities of forwarding agents). (ii) Forwarding agent's profile. The forwarding agent's identification number, EIN, DUNS, or SSN and name and address must be reported with the initial shipment. Subsequent shipments may be identified by the identification number. (2) Intermediate consignee. The intermediate consignee is the intermediary (if any) who acts in a foreign country as an agent for the exporter or the principal party in interest or the ultimate consignee for the purpose of effecting delivery of the export shipment to the ultimate consignee or the person named on the export license. (See §30.7(g) for more information.) (3) Foreign Trade Zone number. Report the unique 5-character code assigned by the Foreign Trade Board that identifies the Foreign Trade Zone from which merchandise is withdrawn for export. (See §30.7(t)(3) for more information.) (4) Foreign port of unloading. For sea shipments only, the code of the foreign port of unloading should be reported in terms of the 5-digit codes designated in Schedule K, “Classification of Foreign Ports by Geographic Trade Area and Country.” For air shipments from the United States to Puerto Rico, report the Puerto Rico port of unloading. For air shipments from Puerto Rico to the United States, report the United States port of unloading. Report the code of the port of unloading in terms of Schedule D, “Classification of CBP Districts and Ports.” (See §30.7(h) for more information on port of unloading.) (5) License number/Code of Federal Regulations (CFR) citation. For licensable commodities, report the license number of the license issued for the merchandise. If no license is required, report the regulatory citation exempting the merchandise from licensing or the conditions under which the merchandise is being shipped that make it exempt from licensing. (6) Export Control Classification Number. Report the Export Control Classification Number for merchandise as required by the Bureau of Industry and Security (BIS) Regulations (15 CFR Parts 730 through 774). (7) Second net quantity/unit of measure. When Schedule B requires two units of quantity to be reported, report the second net quantity in the specified unit of measure and the unit of measure as prescribed in the Schedule B or HTS. (See §30.7(n) for more information.) (8) Used self-propelled vehicles. Report the following items of information for used self-propelled vehicles as defined in 19 CFR 192.1: (i) Vehicle Identification Number. Report the unique Vehicle Identification Number (VIN) in the proper format; (ii) Product Identification Number. Report the Product Identification Number (PIN) for those used self-propelled vehicles for which there are no VINs; (iii) Vehicle title number. Report the unique title number issued by the Motor Vehicle Administration; and (iv) Vehicle title state. Report the 2-character postal abbreviation for the state or territory of the vehicle title. (9) Entry number. Report the Import Entry Number when the export transaction is to be used as proof of export for import transactions such as In-Bond, Temporary Import Bond, Drawback, and so forth. (10) Wavier of prior notice. This is a “Yes” or “No” indicator to determine if the person claiming drawback received a waiver of prior notice for the exported merchandise. (11) Transportation reference number. Report the booking number for all sea shipments. The booking number is the reservation number assigned by the carrier to hold space on the vessel for the cargo being exported. (12) Equipment number. Report the container number for containerized shipments. This number may be reported in conjunction with the booking number. (13) Filing option indicator. Report the 1-character filing option that indicates Option 2 or 4 filing. (14) Directorate of Defense Trade Controls (DDTC) registration number. The number assigned by DDTC to persons who are required to register per Part 122 of the ITAR (22 CFR, 120–130), that has an authorization (license or exemption) from DDTC to export the article. (15) DDTC Significant Military Equipment (SME) indicator. A term used to designate articles on the USML for which special export controls are warranted because of their capacity for substantial military utility or capability. See §120.7 of the ITAR 22 CFR, parts 120–130, for a definition of SME and §121.1 for items designated as SME articles. (16) DDTC eligible party certification indicator. Certification by the U.S. exporter that the exporter is an eligible party to participate in defense trade. See ITAR 22 CFR 120.1(c). This certification is required only when an exemption is claimed. (17) DDTC USML category code. The USML category of the article being exported (22 CFR, part 121). (18) DDTC Unit of Measure (UOM). This unit of measure is the UOM covering the article being shipped as described on the export authorization or declared under an ITAR exemption. (19) DDTC quantity. This quantity is for the article being shipped. The quantity is the total number of units that corresponds to the DDTC Unit of Measure Code. (20) DDTC exemption number. The exemption number is the specific citation from the Code of Federal Regulations (22 CFR, parts 120–130) that exempts the shipment from the requirements for a license or other written authorization from DDTC. (21) DDTC export license line number. The line number of the State Department export license that corresponds to the article being exported. (22) Kimberley Process Certificate (KPC) number. The unique identifying number of the KPC issued by the United States Kimberley Process Authority that must accompany any export shipment of rough diamonds. Rough diamonds are classified under 6-digit Harmonized System subheadings 7102.10, 7102.21, and 7102.31. Enter the KPC number in the license number field excluding the 2-digit U.S. ISO country code. (c) Optional data elements are as follows: (1) Transportation Reference Number for other than vessel shipments. (i) Air shipments. Report the master air waybill for air shipments. The air waybill number is the reservation number assigned by the carrier to hold space on the airplane for cargo being exported. (ii) Rail shipments. Report the bill of lading (BOL) number for all rail shipments. The BOL number is the reservation number assigned by the carrier to hold space on the rail car for cargo being exported. (iii) Truck shipments. Report the Freight or Pro Bill number for all truck shipments. The Freight or Pro Bill number is the number assigned by the carrier to hold space on the truck for cargo being exported. The Freight or Pro Bill number correlates to a bill of lading number, air waybill number of Trip number for multi-modal shipments. (2) Seal number. Report the security seal number of the seal placed on the equipment. [64 FR 40977, July 28, 1999, as amended at 68 FR 42541, July 17, 2003; 68 FR 59879, Oct. 20, 2003; 70 FR 25774, May 16, 2005]
Title 15: Commerce and Foreign Trade
PART 30—FOREIGN TRADE STATISTICS
Subpart E—Electronic Filing Requirements—Shipper's Export Information
§ 30.63 Information required to be reported electronically through AES (data elements).
