15 C.F.R. Subpart E—Electronic Filing Requirements—Shipper's Export Information
Title 15 - Commerce and Foreign Trade
Source: 64 FR 40977, July 28, 1999, unless otherwise noted.
The Automated Export System (AES) transmissions by exporters or their authorized filing agents that meet the requirements of this subpart constitute the Shipper's Export Declaration (SED) for purposes of this part. This section outlines the general requirements for participating in the AES. Several filing options are available for transmitting shipper's export data. The first option is the standard paper filing of the SED. The AES also provides AES participants with three electronic filing options for submission of shipper's export data. (a) Participation. Filing using the AES is mandatory for those items identified on the CCL of the EAR (15 CFR Supplement No. 1 to part 774) or the USML of the ITAR (22 CFR, part 121) and that would otherwise require the filing of an SED. Filing using the AES also is mandatory for all exports (reexports) of rough diamonds regardless of destination, method of transport, or value. All other participation in the AES is voluntary. Information for items identified on the CCL or the USML filed via AES must be filed by the USPPI or the authorized agent. A Data Entry Center (DEC), service center, or port authority may transmit an AES record for CCL or USML items, completed by the USPPI or the authorized agent, without obtaining a power of attorney or written authorization. A DEC, service center, or port authority must have a power of attorney or written authorization from the USPPI or foreign principal party in interest if it completes any export information in AES for CCL or USML shipments. Filers may also use a software package designed by an AES certified software vendor. Certified trade participants (filing agents) can transmit to and receive data from the AES pertaining to merchandise being exported from the United States. Participants in the AES process, who may apply for AES certification, include USPPIs or the authorized agents, ocean carriers, software vendors, or any organization acting as a service center. Once becoming certified, an AES filer (filing agent) must agree to stay in complete compliance with all export rules and regulations. (b) Letter of Intent. The first requirement for all participation in AES, including approval for Option 4 filing privileges, is to submit a complete and accurate Letter of Intent to the Census Bureau. The Letter of Intent is a written statement of a company's desire to participate in AES. It must set forth a commitment to develop, maintain, and adhere to CBP and Census Bureau performance requirements and operations standards. Once the Letter of Intent is received, a U.S. CBP Client Representative and a Census Bureau Client Representative will be assigned to work with the company. The Census Bureau will forward additional information to prepare the company for filing export data using the AES. The format and content for preparing the Letter of Intent is provided in Appendix A of this part. (c) General filing and transmission requirements. The data elements required for filing shipper's export data electronically are contained in §30.63. For AES, the difference is that the certified filer must transmit the shipper's export information electronically using the AES, rather than delivering the paper SED to the carrier. When transmitting export information electronically, the AES filers must comply with the data transmission procedures determined by CBP and the Census Bureau (See §30.62 for AES certification, qualifications, and standards). (d) General responsibilities of exporters, filing agents, and sea carriers—(1) Exporter and authorized filing agent responsibilities. The exporter and/or their authorized agents, certified for AES filing, are responsible for: (i) Transmitting complete and accurate information to the AES (see §30.4 (a) and §30.7 (d)(1), (2), and (e) for a delineation of responsibilities of exporters and authorized forwarding agents); (ii) Transmitting information to the AES in a timely manner in accordance with the provisions and requirements contained in this subpart; (iii) Responding to messages identified as fatal error, warning, verify, or reminder generated by AES in accordance with the provisions contained in this subpart; (iv) Providing the exporting carrier with the required exemption statements or citations when an item or shipment is exempt from SED filing requirements in accordance with provisions contained in this subpart; (v) Transmitting corrections or cancellations to information transmitted to the AES as soon as the need for such changes is determined in accordance with provisions contained in this subpart; and (vi) Maintaining all necessary and proper documentation related to the AES export transaction in accordance with provisions contained in this subpart. (2) Sea carrier responsibilities. The exporting sea carrier also is responsible for transmitting timely, accurate, and complete manifests and bills of lading information to AES for all cargo being shipped. The exporting sea carrier is also responsible for transmitting booking, receipt of booking, departure, and manifest messages to AES. CBP and Census Bureau officials, with written agreement of the exporting sea carrier, can provide for alternative methods of filing manifest and SED information to that found in this Subpart. For exporting carrier responsibilities, see Subpart B, of this part, General Requirements—Exporting Carriers. For electronic filing of manifest information using the AES, see 19 CFR 4.76, Procedures and responsibilities for electronic filing of sea manifests through AES. [64 FR 40977, July 28, 1999, as amended at 68 FR 42540, July 17, 2003; 68 FR 59879, Oct. 20, 2003] As an alternative to filing paper SEDs (Option 1), two electronic filing options (Option 2 and 4) for transmitting shipper's export information are available to U.S. principal parties or the authorized filing agent. The electronic filing Option 4 takes into account that complete information concerning export shipments is not always available prior to exportation. Information on the export of items identified on the CCL of the EAR (15 CFR Supplement No. 1 to part 774) or the USML of the ITAR (22 CFR, part 121) that would otherwise require the filing of an SED must be filed using Option 2. Option 4 may only be used when the appropriate licensing agency has granted the USPPI authorization to use this option. The available AES electronic filing options are as follows: (a) AES with full information transmitted prior to exportation (Option 2). Option 2 provides for the electronic filing of all information required for exports to AES prior to exportation (see §30.63 for information required to be reported electronically). Full predeparture information is always required to be transmitted to AES for the following specific types of shipments: (1) Used self-propelled vehicles (except those shipped between the United States and Puerto Rico) as defined in 19 CFR 192.1 (2) Essential and precursor chemicals requiring a permit from the Drug Enforcement Administration; (3) Shipments defined as “sensitive” by Executive Order; and (4) Shipments where full export information is required prior to exportation by a federal government agency. (5) Shipments of rough diamonds exported (reexported) in accordance with the Clean Diamond Trade Act and the Rough Diamonds Control Regulations (31 CFR part 592). (b) AES with no information transmitted prior to exportation (Option 4). Option 4 is only available for approved USPPIs and requires no export information to be transmitted electronically using AES prior to exportation. For approved Option 4 filers, all shipments (other than those requiring an export license, unless specifically approved by the licensing agency for Option 4 filing, and those specifically required under electronic filing Option 2), by all methods of transportation, may be exported with transmission as soon as it is known, but no later than ten (10) working days from the date of exportation. Shipments of used vehicles between the United States and Puerto Rico may be filed using Option 4. Certified AES authorized filing agents or service centers may transmit information post departure on behalf of approved Option 4 USPPIs, or the USPPI may transmit the data. All USPPIs filing a Letter of Intent for Option 4 filing privileges will be cleared through a formal review process by CBP, the Census Bureau, and other federal government agencies participating in the AES (partnership agencies) in accordance with provisions contained in §30.62. The USPPI or the authorized agent must provide the exporting carrier with the USPPI's Option 4 AES exemption legend as described in §30.65. [64 FR 40977, July 28, 1999, as amended at 68 FR 42540, July 17, 2003; 68 FR 59879, Oct. 20, 2003] Certification for AES filing will apply to the USPPI, authorized forwarding agent, ocean carrier, or any organization acting as a service center transmitting export information electronically using the AES. (a) AES certification process. Applicants interested in AES filing must submit a Letter of Intent to the Census Bureau in accordance with the provisions contained in §30.60. CBP and the Census Bureau will assign client representatives to work with the applicant to prepare them for AES certification. The AES applicant must perform an initial two-part communication test to ascertain whether the applicant's system is capable of both transmitting data to, and receiving data from, the AES. The applicant must demonstrate specific system application capabilities. The capability to correctly handle these system applications is the prerequisite to certification for participation in the AES. The applicant must successfully transmit the AES certification test. The CBP's and Census Bureau's client representatives provide assistance during certification testing. These representatives make the sole determination as to whether or not the applicant qualifies for certification. Upon successful completion of certification testing, the applicant's status is moved from testing mode to operational mode. Upon certification, the filer will be required to maintain an acceptable level of performance in AES filings. The certified AES filer may be required to repeat the certification testing process at any time to ensure that operational standards for quality and volume of data are maintained. The Census Bureau will provide the certified AES filer with a certification notice after the applicant has been approved for operational status. The certification notice will include: (1) The date that filers may begin transmitting “live” data electronically using AES; (2) Reporting instructions; and (3) Examples of the required AES exemption legends. (b) AESDirect certification process. Applicants interested in AESDirect filing or its by-products AESWebLink, AESPCLink, or AES EDI Upload must complete the online AESDirect registration form. After submitting the registration, an AESDirect filing account is created for the filing company. The applicant will receive separate e-mails providing an AESDirect user name, temporary administrator code, and temporary password. The filer uses the temporary administrator code to create a permanent administrator code that allows the user to create a permanent password. The user name and new permanent password will allow the filer to complete certification testing. Upon successful completion of the certification testing, notification by e-mail will be sent when an account is fully activated for filing via AESDirect. Print the page congratulating the filer on passing the test for retention purposes. The activation notice will specify which AES filing status the account has been authorized. (c) Filing agent certification. Once an authorized filing agent has successfully completed the certification process, the USPPI using that agent does not need further AES certification. The certified filing agent must have a properly executed power of attorney, a written authorization from the USPPI or foreign principal party in interest, or an SED signed by the USPPI to transmit their data electronically using the AES. The USPPI or authorized agent that utilizes a service center or port authority must complete certification testing, unless the service center or port authority has a formal power of attorney or written authorization from the USPPI to file the export information on behalf of the USPPI. (d) AES filing standards. The certified AES filer's data will be monitored and reviewed for quality, timeliness, and coverage. The Census Bureau will notify the AES filer if the filer fails to maintain an acceptable level of quality, timeliness, and coverage in the transmission of export data or fails to maintain compliance with Census Bureau regulations contained in this Section. The Census Bureau, if necessary, will take appropriate action to correct the specific situation(s). In the case of AESDirect, when submitting a registration form to AESDirect, the registering company is certifying that it will be in compliance with all applicable laws and regulations. This includes complying with the following security requirements: (1) AESDirect user names, administrator codes, and passwords are to be neither written down nor disclosed to any unauthorized user or any persons outside of the registered company. Filers must change administrator codes or passwords for security purposes when prompted to do so. (2) Registered companies are responsible for those persons having a user name, administrator code, and password. If an employee with access to the user name, administrator code, and password leaves the company or otherwise is no longer an authorized user, the company must change the password, administrator code, and user name in the system and must do so immediately in order to ensure the integrity and confidentiality of Title 13 data. (3) Antivirus software must be installed and set to run automatically on all computers that access AESDirect. All AESDirect registered companies will maintain subscriptions with their antivirus software vendor to keep antivirus lists current. Registered companies are responsible for performing full scans of these systems on a regular basis and eliminating any virus contamination. If the registered company's computer system is infected with a virus, the company should refrain from using AESDirect until it is virus free. Failure to comply with these requirements will result in immediate loss of privilege to use AESDirect until the registered company can establish to the satisfaction of the Census Bureau's Foreign Trade Division Computer Security Officer that the company's computer systems accessing AESDirect are virus free. (e) Criteria for denial of applications requesting Option 4 filing status; appeal procedure. Approval for Option 4 filing privileges will apply only to exporters. However, forwarding agents may apply for Option 4 filing privileges on behalf of an individual exporter. Option 4 applicants must submit a Letter of Intent to the Census Bureau in accordance with the provisions contained in §30.60. (1) Option 4 approval process. The Census Bureau will distribute the Letters of Intent for Option 4 filing privileges to CBP and the other partnership agencies participating in the AES Option 4 approval process. Failure to meet the standards of the Census Bureau, CBP, or one of the partnership agencies is reason for nonselection or denial of the application for Option 4 filing privileges. Each partnership agency will develop its own internal Option 4 acceptance standards, and each agency will notify the Census Bureau of the applicant's failure to meet that agency's acceptance standards. If the Census Bureau does not receive either notification of denial, or a request for extension from the partnership agency within thirty (30) calendar days after the date of referral of the Letter of Intent to the partnership agency, the applicant is deemed to be approved by that agency. The Census Bureau will provide the Option 4 applicant with an approval or denial letter. If a denial letter is issued, the Census Bureau will indicate the partnership agency that denied the application. The applicant must contact the denying partnership agency for the specific reason(s) for denial. (2) Grounds for denial of Option 4 filing status. The Census Bureau may deny an exporter's application for Option 4 filing privileges for any of the following reasons: (i) Applicant is not an established exporter, as defined in this chapter, with regular operations; (ii) Applicant has failed to submit SEDs to the Census Bureau for processing in a timely and accurate manner; (iii) Applicant has a history of noncompliance with Census Bureau export laws and regulations contained in this chapter; (iv) Applicant has been indicted, convicted, or is currently under investigation for a felony involving a violation of federal export laws or regulations and the Census Bureau has evidence of probable cause supporting such violation, or the applicant is in violation of Census Bureau laws or regulations contained in this chapter; and (v) Applicant has made or caused to be made in the Letter of Intent a false or misleading statement or omission with respect to any material fact. (3) Notice of nonselection and appeal procedures for Option 4 filing. The Census Bureau will notify applicants in writing of the decision to either deny or approve the applicant for Option 4 filing privileges within thirty (30) days of receipt of the Letter of Intent by the Census Bureau, or if a decision cannot be reached at that time, the applicant will be notified of an expected date for a final decision as soon as possible after the thirty (30) calendar days. Applicants for Option 4 filing privileges denied Option 4 status by other partnership agencies must contact those agencies regarding the specific reason(s) for nonselection and for their appeal procedures. Applicants denied Option 4 status by the Census Bureau will be provided with a specific reason for nonselection and a Census Bureau point of contact in the notification letter. Option 4 applicants may appeal the Census Bureau's nonselection decision by following the appeal procedure and reapplication restriction provided in paragraph (b) (5) of this section. (4) Revocation of Option 4 filing privileges. The Census Bureau may revoke Option 4 filing privileges of approved Option 4 exporters for the following reasons: (i) The exporter has made or caused to be made in the Letter of Intent a false or misleading statement or omission with respect to material fact; (ii) The exporter submitting the Letter of Intent is indicted, convicted, or is currently under investigation for a felony involving a violation of federal export laws or regulations and the Census Bureau has evidence of probable cause supporting such violation, or the applicant is in violation of Census Bureau laws or regulations contained in this chapter; (iii) The exporter has failed to substantially comply with existing Census Bureau or other agency export regulations; or (iv) The Census Bureau determines that continued participation in Option 4 by an exporter would pose a significant threat to national security interests such that their continued participation in Option 4 should be terminated. (5) Notice of revocation; appeal procedure. Approved Option 4 filers whose Option 4 filing privileges have been revoked by other agencies must contact those agencies for their specific revocation and appeal procedures. When the Census Bureau makes a determination to revoke an approved Option 4 filer's AES Option 4 filing privileges, the exporter will be notified in writing of the reason(s) for the decision. The exporter may challenge the Census Bureau's decision by filing an appeal within thirty (30) calendar days of receipt of the notice of decision. In most cases, the revocation shall become effective when the exporter has either exhausted all appeal proceedings, or thirty (30) calendar days after receipt of the notice of revocation, if no appeal is filed. However, in cases when required by national security interests, revocations will become effective immediately upon notification. Appeals should be addressed to the Chief, Foreign Trade Division, Bureau of the Census, Washington, DC 20233. The Census Bureau will issue a written decision to the exporter within thirty (30) calendar days from the date of receipt of the appeal by the Census Bureau. If a written decision is not issued within thirty (30) calendar days, a notice of extension will be forwarded within that time period. The exporter will be provided with the reasons for the extension of this time period and an expected date of decision. Approved Option 4 exporters who have had their Option 4 filing status revoked may not reapply for this status for one year following written notification of the revocation. Such applications will not be considered before the one-year time period. [64 FR 40977, July 28, 1999, as amended at 68 FR 42541, July 17, 2003] 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] (a) The exporter or their authorized filing agent is responsible for electronically transmitting corrections, cancellations, or amendments to shipment information previously transmitted using the AES. Corrections, cancellations, or amendments should be made as soon as possible after exportation when the error or omission is discovered. (b) For shipments where the exporter or their authorized filing agent has received an error message from AES, the corrections must take place as required. A fatal error message will cause the shipment to be rejected. This error must be corrected prior to exportation of the merchandise. For shipments where a warning message is received, the correction must be made within four (4) working days of receipt of the transmission, otherwise AES will generate a reminder message to the filer. For shipments with a verify message, corrections when warranted, should be made as soon as possible after notification of the error by the AES. (a) Items identified on the USML must meet the predeparture reporting requirements identified in the ITAR (22 CFR, part 120–130) for the State Department requirements concerning AES proof of filing citations and time and place of filing. (b) The USPPI or the authorized agent is responsible for annotating the proper exemption legend or proof of filing citation on the bill of lading, air waybill, or other commercial loading document for presentation to the carrier prior to tendering the cargo to the exporting carrier. The carrier is responsible for transmitting the appropriate exemption legend or proof of filing citation to the CBP Port Director at the port of exportation as stated in §30.21 and §30.22 of this part. Such transmittal shall be without material change or amendment of the exemption legend or proof of filing citation as provided to the carrier by the USPPI or the authorized agent. The exemption legend or proof of filing citation will identify that the shipment information has been accepted as transmitted and electronically filed using the AES. The exemption legend or proof of filing citation must appear on the bill of lading, air waybill, or other commercial loading documentation and the manifest and must be clearly visible and include any of the following: (1) The exemption legend or proof of filing citation will include the statement, “NO SED REQUIRED—AES,” followed by the filer's identification number and a unique shipment reference number referred to as the External Transaction Number (XTN) or the returned confirmation number provided by AES when the transmission is accepted, referred to as the Internal Transaction Number (ITN). (2) Shipments of USML articles must meet the predeparture reporting requirements in the ITAR (22 CFR parts 120–130). (3) For shipments of rough diamonds, the proof of filing citation shall include the statement, “NO SED REQUIRED—AES,” followed by the returned confirmation number provided by the AES when the transmission is accepted, referred to as the ITN. The ITN is required to be shown on the Kimberley Process Certificate for all exports (reexports) of rough diamonds to certify that the diamonds have been controlled through the Kimberley Process Certification Scheme, as defined in section 3 of Public Law 108–19 of the Clean Diamond Trade Act and implemented in the Rough Diamonds Control Regulations (31 CFR part 592). (4) For USPPIs who have been approved to participate in Filing Option 4, the exemption statement, “NO SED REQUIRED-AES4,” followed by the USPPI's EIN followed by the filer's identification number if other than the USPPI files the data. [68 FR 42542, July 17, 2003, as amended at 68 FR 59879, Oct. 20, 2003] (a) Support. [email protected] is an online service that allows electronic filers to seek assistance pertaining to AES. AESDirect is supported by a help desk available twelve (12) hours a day, seven (7) days a week. (b) Documentation. Filers using the AESDirect are able to print out from the AESDirect a validated record of the filer's submission. Filers using AES are able to print records containing date of submission and a unique identification number for each AES record submitted. The Census Bureau will maintain an electronic file of data sent through AES to ensure that an individual is able to receive from the system, a validated record of the submission. The USPPI or the authorized agent of the USPPI or the authorized agent of the foreign principal party in interest may request a copy of the electronic record submitted as provided for in §30.91 of this part. (c) Recordkeeping. All parties to the export transaction (owners and operators of the exporting carriers and U.S. principal party and/or the authorized agents) must retain documents or records pertaining to the shipment for five (5) years from the date of export. CBP, the Census Bureau, and other participating agencies may require that these documents be produced at any time within the 5-year time period for inspection or copying. These records may be retained in an elected format, including electronic or hard copy as provided in the applicable agency's regulations. Acceptance of the documents by CBP or the Census Bureau does not relieve the USPPI or the authorized agent from providing complete and accurate information after the fact. The Department of State or other regulatory agencies may have additional recordkeeping requirements for exports. [68 FR 42542, July 17, 2003]
Title 15: Commerce and Foreign Trade
PART 30—FOREIGN TRADE STATISTICS
Subpart E—Electronic Filing Requirements—Shipper's Export Information
§ 30.60 General requirements for filing export and manifest data electronically using the Automated Export System (AES).
§ 30.61 Electronic filing options.
§ 30.62 AES Certification, qualifications, and standards.
§ 30.63 Information required to be reported electronically through AES (data elements).
§ 30.64 Transmitting and correcting AES information.
§ 30.65 Annotating the proper exemption legends or proof of filing citations for shipments transmitted electronically.
§ 30.66 Support, documentation and recordkeeping requirements.
