CFR / Title 15 / Part 30 / Sec. 30.74 Voluntary self-disclosure.

(a) General policy. The Census Bureau strongly encourages disclosure of any violation or suspected violation of the FTR. Voluntary self-disclosure is a mitigating factor in determining what administrative sanctions, if any, will be sought. The Secretary of Commerce has delegated all enforcement authority under 13 U.S.C. Chapter 9, to the BIS and the DHS.

(b) Limitations. (1) The provisions of this section apply only when information is provided to the Census Bureau for its review in determining whether to seek administrative action for violations of the FTR.

(1) The provisions of this section apply only when information is provided to the Census Bureau for its review in determining whether to seek administrative action for violations of the FTR.

(2) The provisions of this section apply only when information is received by the Census Bureau for review prior to the time that the Census Bureau, or any other agency of the United States Government, has learned the same or substantially similar information from another source and has commenced an investigation or inquiry in connection with that information.

(3) While voluntary self-disclosure is a mitigating factor in determining what corrective actions will be required by the Census Bureau and/or whether the violation will be referred to the BIS to determine what administrative sanctions, if any, will be sought, it is a factor that is considered together with all other factors in a case. The weight given to voluntary self-disclosure is within the discretion of the Census Bureau and the BIS, and the mitigating effect of voluntary self-disclosure may be outweighed by aggravating factors. Voluntary self-disclosure does not prevent transactions from being referred to the Department of Justice (DOJ) for criminal prosecution. In such a case, the BIS or the DHS would notify the DOJ of the voluntary self-disclosure, but the consideration of that factor is within the discretion of the DOJ.

(4) Any person, including USPPIs, authorized agents, or carriers, will not be deemed to have made a voluntary self-disclosure under this section unless the individual making the disclosure did so with the full knowledge and authorization of senior management.

(5) The provisions of this section do not, nor should they be relied on to, create, confer, or grant any rights, benefits, privileges, or protection enforceable at law or in equity by any person, business, or entity in any civil, criminal, administrative, or other matter.

(c) Information to be provided--(1) General. Any person disclosing information that constitutes a voluntary self-disclosure should, in the manner outlined below, if a violation is suspected or a violation is discovered, conduct a thorough review of all export transactions for the past five years where violations of the FTR are suspected and notify the Census Bureau as soon as possible.

(1) General. Any person disclosing information that constitutes a voluntary self-disclosure should, in the manner outlined below, if a violation is suspected or a violation is discovered, conduct a thorough review of all export transactions for the past five years where violations of the FTR are suspected and notify the Census Bureau as soon as possible.

(2) Initial notification. (i) The initial notification must be in writing and be sent to the address in paragraph (c)(5) of this section. The notification must include the name of the person making the disclosure and a brief description of the suspected violations. The notification should describe the general nature, circumstances, and extent of the violations. If the person making the disclosure subsequently completes the narrative account required by paragraph (c)(3) of this section, the disclosure will be deemed to have been made on the date of the initial notification for purposes of paragraph (b)(2) of this section.

(i) The initial notification must be in writing and be sent to the address in paragraph (c)(5) of this section. The notification must include the name of the person making the disclosure and a brief description of the suspected violations. The notification should describe the general nature, circumstances, and extent of the violations. If the person making the disclosure subsequently completes the narrative account required by paragraph (c)(3) of this section, the disclosure will be deemed to have been made on the date of the initial notification for purposes of paragraph (b)(2) of this section.

(ii) Disclosure of suspected violations that involve export of items controlled, licensed, or otherwise subject to the jurisdiction by a department or agency of the federal government should be made to the appropriate federal department or agency.

(3) Narrative account. After the initial notification, a thorough review should be conducted of all export transactions where possible violations of the FTR are suspected. The Census Bureau recommends that the review cover a period of five years prior to the date of the initial notification. If the review goes back less than five years, there is a risk that violations may not be discovered that later could become the subject of an investigation. Any violations not voluntarily disclosed do not receive consideration under this section. However, the failure to make such disclosures will not be treated as a separate violation unless some other section of the FTR or other provision of law requires disclosure. Upon completion of the review, the Census Bureau should be furnished with a narrative account that sufficiently describes the suspected violations so that their nature and gravity can be assessed. The narrative account should also describe the nature of the review conducted and measures that may have been taken to minimize the likelihood that violations will occur in the future. The narrative account should include:

(i) The kind of violation involved, for example, failure to file EEI, failure to correct fatal errors, failure to file timely corrections;

(ii) Describe all data required to be reported under the FTR that was either not reported or reported incorrectly;

(iii) An explanation of when and how the violations occurred;

(iv) The complete identities and addresses of all individuals and organizations, whether foreign or domestic, involved in the activities giving rise to the violations;

(v) A description of any mitigating circumstances;

(vi) Corrective measures taken; and

(vii) ITNs of the missed and/or corrected shipments.

(4) Electronic export information. Report all data required under the FTR that was not reported. Report corrections for all data reported incorrectly. All reporting of unreported data or corrections to previously reported data shall be made through the AES.

(5) Where to make voluntary self-disclosures. With the exception of voluntary disclosures of manifest violations under Sec. 30.47(c), the information constituting a Voluntary Self-Disclosures or any other correspondence pertaining to a Voluntary Self-Disclosures may be submitted to: Chief, Foreign Trade Division, U.S. Census Bureau, Room 6K032, Washington, DC 20233-6700, or by fax on (301) 763-8835. Additional instructions are found at www.census.gov/trade.

(d) Action by the Census Bureau. After the Census Bureau has been provided with the required narrative, it will promptly notify CBP, ICE, and the OEE of the voluntary disclosure, acknowledge the disclosure by letter, provide the person making the disclosure with a point of contact, and take whatever additional action, including further investigation, it deems appropriate. As quickly as the facts and circumstances of a given case permit, the Census Bureau may take any of the following actions:

(1) Inform the person or company making the voluntary self-disclosure of the action to be taken.

(2) Issue a warning letter or letter setting forth corrective measures required.

(3) Refer the matter, if necessary, to the OEE for the appropriate action. [73 FR 31555, June 2, 2008, as amended at 78 FR 16382, Mar. 14, 2013] Sec. Sec. 30.75-30.99 [Reserved]

Sec. Appendix A to Part 30--Sample for Power of Attorney and Written

Authorization[GRAPHIC] [TIFF OMITTED] TR02JN08.000 [GRAPHIC] [TIFF OMITTED] TR02JN08.001

Sec. Appendix B to Part 30--AES Filing Codes

Part I--Method of Transportation Codes 10 Vessel11 Vessel Containerized12 Vessel (Barge)20 Rail21 Rail Containerized30 Truck31 Truck Containerized32 Auto33 Pedestrian34 Road, Other40 Air41 Air Containerized50 Mail60 Passenger, Hand Carried70 Fixed Transport (Pipeline and Powerhouse)

Part II--Export Information Codes 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

repairCH--Shipments of goods donated for charityFS--Foreign Military SalesZD--North American Free Trade Agreements (NAFTA) duty deferral shipmentsOS--All other exportsHV--Shipments of personally owned vehiclesHH--Household and personal effectsTE--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 shipmentsMS--Shipments consigned to the U.S. Armed ForcesGS--Shipments to U.S. Government agencies for their useUG--Gift parcels under Bureau of Industry and Security License Exception

GFTDD--Other exemptions:

Currency

Airline tickets

Bank notes

Internal revenue stamps

State liquor stamps

Advertising literature

Shipments of temporary imports by foreign entities for their useIW--International water shipmentsCI--Impelled shipments of goods donated for relief or charityFI--Impelled Foreign Military Sales ProgramOI--All other exports (impelled)(For Manifest Use Only by AES Carriers)AE Shipment information filed through AES(See Sec. Sec. 30.50 through 30.58 for information on filing

exemptions.)

Part III--License Codes

Department of Commerce, Bureau of Industry and Security (BIS), Licenses C30 Licenses issued by BIS authorizing an export, reexport, or other regulated activity.C31 SCL--Special Comprehensive LicenseC32 NLR--No License Required (controlled for other than or in addition to Anti-Terrorism)C33 NLR--No License Required (All others, including Anti-Terrorism controls ONLY)C35 LVS--Limited Value ShipmentsC36 GBS--Shipments to B CountriesC37 CIV--Civil End UsersC38 TSR--Restricted Technology and SoftwareC39 CTP--ComputersC40 TMP--Temporary Imports, Exports, and Re-exportsC41 RPL--Servicing and Replacement of Parts and EquipmentC42 GOV--Government and International OrganizationsC43 GFT--Gift Parcels and Humanitarian DonationsC44 TSU--Technology and Software--UnrestrictedC45 BAG--BaggageC46 AVS--Aircraft and Vessels (AES not required)C49 TAPS --Trans-Alaska Pipeline Authorization ActC50 ENC--Encryption Commodities and SoftwareC51 AGR--License Exception Agricultural CommoditiesC53 APP--Adjusted Peak Performance (Computers)C54 SS-WRC--Western Red CedarC55 SS-Sample--Crude Oil SamplesC56 SS-SPR--Strategic Petroleum ReservesC57 VEU--Validated End User AuthorizationC58 CCD--Consumer Communication DevicesC59 STA--Strategic Trade Authorization Department of Energy/National Nuclear Security Administration (DOE/NNSA)

Codes E01--DOE/NNSA

Nuclear Regulatory Commission (NRC) Codes N01 NRC Form 250/250A--NRC Form 250/250AN02 NRC General License--NRC `General' Export License

Department of State, Directorate of Defense Trade Controls (DDTC) Codes SAG--AgreementsSCA--Canadian ITAR ExemptionS00--License Exemption CitationS05 DSP-5--Permanent export of unclassified defense articles and servicesS61 DSP-61--Temporary import of unclassified articlesS73 DSP-73--Temporary export of unclassified articlesS85 DSP-85--Temporary or permanent import or export of classified articlesS94 DSP-94--Foreign Military Sales

Department of Treasury, Office of Foreign Assets Control (OFAC) Codes T10--OFAC Specific LicenseT11--OFAC General LicenseT12--Kimberley Process Certificate Number

Other License Types OPA--Other Partnership Agency License

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

Part IV--In-Bond Codes 70 Not In Bond36 Warehouse Withdrawal for Immediate Exportation37 Warehouse Withdrawal for Transportation and Exportation67 Immediate Exportation from a Foreign Trade Zone68 Transportation and Exportation from a Foreign Trade Zone [73 FR 31555, June 2, 2008, as amended at 78 FR 16383, Mar. 14, 2013]

Sec. Appendix C to Part 30--Summary of Exemptions and Exclusions From

EEI Filing

A. Except as noted in Sec. 30.2 (a)(1)(iv), filing EEI is not required for the following types of shipments:\1\---------------------------------------------------------------------------

\1\ Exemption from the requirements for reporting complete commodity information is covered in Sec. 30.38; Special exemptions for shipments to the U.S. Armed Services are covered in Sec. 30.39; and special exemptions for certain shipments to U.S. Government agencies and employees are covered in Sec. 30.40.---------------------------------------------------------------------------

1. Exemption for shipments destined to Canada (Sec. 30.36).

2. Valued $2,500 or less per Schedule B/HTSUSA classification for commodities shipped from one USPPI to one consignee on a single carrier (Sec. 30.37(a)).

3. Tools of the trade and their containers that are usual and reasonable kinds and quantities of commodities and software intended for use by individual USPPIs or by employees or representatives of the exporting company in furthering the enterprises and undertakings of the USPPI abroad (Sec. 30.37(b)).

4. Shipments from one point in the United States to another point in the United States by routes passing through Canada or Mexico (Sec. 30.37(c)).

5. Shipments from one point in Canada or Mexico to another point in the same country by routes through the United States (Sec. 30.37(d)).

6. Exports of technology and software as defined in 15 CFR part 772 of the EAR that do not require an export license. However, EEI is required for mass-market software (Sec. 30.37(f)).

7. Shipments of books, maps, charts, pamphlets, and similar articles to foreign libraries, government establishments, or similar institutions (Sec. 30.37(g)).

8. Shipments as authorized under License Exception GFT for gift parcels and humanitarian donations (15 CFR 740.12(a) and (b)); Sec. 30.37(h).

9. Diplomatic pouches and their contents (Sec. 30.37(i)).

10. Human remains and accompanying appropriate receptacles and flowers (Sec. 30.37(j)).

11. Shipments of interplant correspondence, executed invoices and other documents, and other shipments of company business records from a U.S. firm to its subsidiary or affiliate. This excludes highly technical plans, correspondence, etc. that could be licensed (Sec. 30.37(k)).

12. Shipments of pets as baggage (Sec. 30.37(l)).

13. Carrier's stores, not shipped under a bill of lading or an air waybill, supplies and equipment, including usual and reasonable kinds and quantities of bunker fuel, deck engine and steward department stores, provisions and supplies, medicinal and surgical supplies, food stores, slop chest articles, and saloon stores or supplies for use or consumption on board and not intended for unlading in a foreign country (Sec. 30.37(m)).

14. Dunnage not shipped under a bill of lading or an air waybill, of usual and reasonable kinds and quantities not intended for unlading in a foreign country (Sec. 30.37(n)).

15. Shipments of aircraft parts and equipment; food, saloon, slop chest, and related stores; and provisions and supplies for use on aircraft by a U.S. airline. (EAR license exception (AVS) for aircraft and vessels 15 CFR 740.15(c); Sec. 30.37(o)).

16. Baggage and personal effects, accompanied or unaccompanied, of persons leaving the United States including members of crews on vessels and aircraft, when they are not shipped as cargo under a bill of lading or an air waybill or other commercial loading documents and do not require an export license (Sec. 30.37(p)).

17. Issued banknotes and securities and coins in circulation exported as evidence of financial claims. The EEI must be filed for unissued bank notes and securities and coins not in circulation (such as bank notes printed in the United States and exported in fulfillment of the printing contract or as part of collections), which should be reported at their commercial or current value (Sec. 30.37(s)).

18. Documents used in international transactions, documents moving out of the United States to facilitate international transactions including airline tickets, internal revenue stamps, liquor stamps, and advertising literature. Export of such documents in fulfillment of a contract for their production, however, are not exempt and must be reported at the transaction value for their production (Sec. 30.37(t)).

19. Exports of technical data and defense service exemptions as defined in 22 CFR 123.22(b)(3)(iii) of the ITAR (Sec. 30.37(u)).

20. Vessels, locomotives, aircraft, rail cars, trucks, other vehicles, trailers, pallets, cargo vans, lift vans, or similar shipping containers not considered ``shipped'' in terms of the regulations in this part, when they are moving, either loaded or empty, without transfer of ownership or title, in their capacity as carriers of goods or as instruments of such carriers, and EEI filing is not required. (Sec. 30.37(v)).

21. Shipments to APO/DPO/FPO (Sec. 30.37(w))

22. Shipments exported under license exception BAG (Sec. 30.37(x))

23. Certain shipments destined to Country Group E:1 (Sec. 30.37(y))

B. The following types of transactions are outside the scope of the FTR and shall be excluded from EEI filing:

1. Goods shipped under CBP bond through the United States, Puerto Rico, or the U.S. Virgin Islands from one foreign country or area to another where such goods do not enter the consumption channels of the United States.

2. Except Puerto Rico and U.S. Virgin Islands, goods shipped from the U.S. territories, and goods shipped between the United States and these territories do not require EEI filing. However, goods transiting U.S. territories to foreign destinations require EEI filing.

3. Electronic transmissions and intangible transfers. (See Subpart B of this part for export control requirements for these types of transactions.)

4. Goods shipped to Guantanamo Bay Naval Base in Cuba from the United States, Puerto Rico, or the U.S. Virgin Islands and from Guantanamo Bay Naval Base to the United States, Puerto Rico, or the U.S. Virgin Islands. (See Sec. 30.39 for filing requirements for shipments exported to the U.S. Armed Services.)

5. Goods licensed by a U.S. Federal Government agency where the country of ultimate destination is the United States or goods destined to international waters where the person(s) or entity assuming control of the item(s) is a citizen or permanent resident alien of the United States or a juridical entity organized under the laws of the United States or a jurisdiction within the United States. [78 FR 16383, Mar. 14, 2013]

Appendix D to Part 30--AES Filing Citation and Exemption Legends ------------------------------------------------------------------------

------------------------------------------------------------------------I. USML Proof of Filing Citation....... AES ITN; Example: AES

X20100101987654.II. AES Proof of Filing Citation AES ITN; Example: AES

subpart A Sec. 30.7. X20100101987654.III. AES Postdeparture Citation--USPPI; AESPOST USPPI EIN mm/dd/yyyy;

USPPI is filing the EEI. Example: AESPOST 12345678912

01/01/2010.IV. Postdeparture Citation--Agent; AESPOST USPPI EIN--Filer ID mm/

Agent is filing the EEI. dd/yyyy; Example: AESPOST

12345678912--987654321 01/01/

2010.V. AES Downtime Citation--Use only when AESDOWN Filer ID mm/dd/yyyy;

AES or AESDirect is unavailable. Example: AESDOWN 123456789 01/

01/2010.VI. Exemption for Shipments to Canada.. NOEEI Sec. 30.36.VII. Exemption for Low-Value Shipments. NOEEI Sec. 30.37(a).VIII. Miscellaneous Exemption NOEEI Sec. 30.37 (site

Statements are found in 15 CFR 30 corresponding alphabet).

Subpart D Sec. 30.37(b) through Sec.

30.37(y).IX. Special Exemption for Shipments to NOEEI Sec. 30.39.

the U.S. Armed Forces.X. Special Exemptions for Certain NOEEI Sec. 30.40 (site

Shipments to U.S. Government Agencies corresponding alphabet).

and Employees (Exemption Statements

are found in 15 CFR 30 Subpart D Sec.

30.40(a) through Sec. 30.40(d).XI. Split Shipments. Split Shipments AES ITN SS; Example: AES

should be referenced as such on the X20100101987654 SS.

manifest in accordance with provisions

contained in Sec. 30.28, Split

Shipments. The notation should be

easily identifiable on the manifest.

It is preferable to include a

reference to a split shipment in the

exemption statements cited in the

example, the notation SS should be

included at the end of the appropriate

exemption statement.XII. Proof of filing citations by NOEEI Sec. 30.8(b).

pipeline.------------------------------------------------------------------------ [78 FR 16384, Mar. 14, 2013]

Sec. Appendix E to Part 30--FTSR to FTR Concordance ----------------------------------------------------------------------------------------------------------------

FTSR FTSR Regulatory topic FTR FTR Regulatory topic----------------------------------------------------------------------------------------------------------------

Subpart A--General Requirements--USPPI----------------------------------------------------------------------------------------------------------------30.1............................... General statement of 30.2 General requirements for

requirement for Shipper's filing Electronic Export

Export Declarations (SEDs). Information (EEI).30.1(a)............................ General requirements for ........... General requirements for

filing SEDs. filing EEI.30.1(b)............................ General requirements for ........... NA.

reporting regarding method of

transportation.30.1(c)............................ AES as an alternative to SED ........... NA.

reporting.30.1(d)............................ Electronic transmissions and 30.2 (d)(3) Exclusions from filing EEI.

intangible transfers.30.2............................... Related export control 30.15 Export control and licensing

requirements. requirements introduction.

30.16 EAR requirements for export

information on shipments from

U.S. Possessions to foreign

destinations or areas.

30.17 Customs and Border Protection

Regulations.30.3............................... Shipper's Export Declaration ........... NA.

forms.30.4............................... Preparation and signature of 30.3 Electronic Export Information

Shipper's Export Declarations filer requirements, parties

(SED). to export transactions,

responsibilities of parties

to export transactions.30.4(a)............................ General requirements (SED).... 30.3(a) General Requirements.

30.3(b) Parties to the export

transaction.

30.4(b)............................ Responsibilities of parties in 30.3(c) General responsibilities of

export transactions. parties in export

transactions.

30.3(d) Filer responsibilities.30.4(c)............................ Responsibilities of parties in 30.3(e) Responsibilities of parties in

a routed export transactions. a routed export transaction.30.4(d)............................ Information on the Shipper's 30.3(a) General requirements.

Export Declaration (SED) or

Automated Export System (AES)

record.30.4(e)............................ Authorizing a forwarding or 30.3(f) Authorizing an agent.

other agent.30.4(f)............................ Format requirements for SEDs.. ........... NA.30.5............................... Number and copies of Shipper's ........... NA.

Export Declaration required.30.6............................... Requirements as to separate ........... NA.

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

Shipper's Export Declarations.30.8............................... Additional information ........... NA.

required on Shipper's Export

Declaration for In-Transit

Goods (ENG Form 7513).30.9............................... Requirements for separation ........... NA.

and alignment of items on

Shipper's Export Declarations.30.10.............................. Continuation sheets for ........... NA.

Shipper's Export Declaration.30.11.............................. Authority to require 30.10(b) Authority to require

production of document. production of documents and

retaining electronic data.30.12.............................. Time and place for presenting 30.4 Electronic export information

the SED, exemption legends or filing procedures, deadlines,

proof of filing citations. and certification statements.

30.8 Time and place for presenting

proof of filing citations,

postdeparture filing

citations, AES downtime

citations, and exemption

legends.30.15.............................. Procedure for presentation of ........... NA.

declarations covering

shipments from an interior

point.30.16.............................. Corrections to Shipper's 30.9 Transmitting and correcting

Export Declarations. Electronic Export

Information.----------------------------------------------------------------------------------------------------------------

Subpart B--General Requirements--Exporting Carriers----------------------------------------------------------------------------------------------------------------30.20.............................. General statement of 30.45 General statement of

requirement for the filing of requirements for the filing

manifests. of carrier manifests with

proof of filing citations.30.20(a)........................... Carriers transporting 30.45(a) Requirements for filing

merchandise from the United carrier manifest.

States, Puerto Rico, or U.S.

territories to foreign

countries.30.20(b)........................... For carriers transporting 30.45(a) Requirements for filing

merchandise from the United carrier manifest.

States to Puerto Rico.30.20(c)........................... Except as otherwise 30.45(a) Requirements for filing

specifically provided, carrier manifest.

declarations should not be

filed at the place where the

shipment originates.30.20(d)........................... For purposes of these 30.1(c) Definition used with EEI.

regulations, the port of

exportation is defined as.30.21.............................. Requirements for the filing of 30.45 General statement of

Manifests. requirements for the filing

of carrier manifests with

proof of filing citations for

the electronic submission of

export information or

exemption legends when EEI is

not required.30.21(a)........................... Vessel........................ 30.45(a)(1) Vessel.30.21(b)........................... Aircraft...................... 30.45(a)(2) Aircraft.30.21(c)........................... Rail Carrier.................. 30.45(a)(3) Rail Carrier.30.21(d)........................... Carriers not required to file 30.45(a)(4) Carriers not required to file

manifests. manifests.30.22(a)........................... Requirements for the filing of 30.8 Time and place for presenting

SEDs or AES exemption legends proof of filing citation, and

and AES proof of filing exemption legends.

citations by departing

carriers.30.22(b)........................... The exporting carrier shall be ........... NA.

responsible for the accuracy

of the following items of

information.30.22(c)........................... Except as provided in ........... NA.

paragraph (d) of this

section, when a

transportation company finds,

prior to the filing of

declarations and manifest as

provided in paragraph (a) of

this section, that due to

circumstances beyond the

control of the transportation

company or to inadvertence, a

portion of the merchandise

covered by an individual

Shipper's Export Declaration

has not been exported on the

intended carrier.

30.22(d)........................... When a shipment by air covered 30.45(c) Split shipments.

by a single Shipper's Export

Declaration is divided by the

transportation company and

exported in more than one

aircraft of the

transportation.30.22(e)........................... Exporting carriers are ........... NA.

authorized to amend incorrect

shipping weights reported on

Shipper's Export Declarations.30.23.............................. Requirements for the filing of 30.46 Requirements for the filing of

Shipper's Export Declarations export information by

by pipeline carriers.. pipeline carriers.30.24.............................. Clearance or departure of 30.47 Clearance or departure of

carriers under bond on carriers under bond on

incomplete manifest on incomplete manifests.

Shipper's Export Declarations.----------------------------------------------------------------------------------------------------------------

Subpart C--Special Provisions Applicable Under Particular Circumstances----------------------------------------------------------------------------------------------------------------30.30.............................. Values for certain types of 30.25 Values for certain types of

transactions. transactions.30.31.............................. Identification of certain 30.29 Reporting of repairs and

nonstatistical and other replacements.

unusual transactions.30.31(a)........................... Merchandise exported for 30.29(a) The return of goods previously

repair only, and other imported for repair.

temporary exports.30.31(b)........................... The return of merchandise 30.29(b) Goods that are covered under

previously imported for warranty and other temporary

repair only. exports.30.31(c)........................... Shipments of material in ........... NA.

connection with construction,

maintenance, and related work

being done on projects for

the U.S. Armed Forces.30.33.............................. Vessels, planes, cargo vans, 30.26 Reporting of vessels,

and other carriers and aircraft, cargo vans, and

containers sold foreign. other carriers and

containers.30.34.............................. Return of exported cargo to 30.27 Return of exported cargo to

the United States prior to the United States prior to

reaching its final reaching its final

destination. destination.30.37.............................. Exceptions from the 30.38 Exemption from the

requirement for reporting requirements for reporting

complete commodity detail on complete commodity

the Shipper's Export information.

Declaration.30.37(a)........................... Where it can be determined 30.39 Special exemptions for

that particular types of U.S. shipments to the U.S. Armed

Government shipments, or Services. (Note, this section

shipments for government does not specifically address

projects, are of such nature construction materials nor

that they should not be related work being done on

included in the export projects).

statistics.30.37(b)........................... Special exemptions to specific ........... NA.

portions of the requirements

of Sec. 30.7 with respect

to the reporting of detailed

information.30.39.............................. Authorization for reporting ........... NA.

statistical information other

than by means of individual

Shipper's Export Declarations

filed for each shipment.30.40.............................. Single declaration for ........... NA.

multiple consignees.30.41.............................. ``Split shipments'' by air.... 30.28 Split shipments.----------------------------------------------------------------------------------------------------------------

Subpart D--Exemptions from the requirements for the Filing of Shipper's Export Declarations----------------------------------------------------------------------------------------------------------------30.50.............................. Procedure for shipments exempt 30.35 Procedure for shipments exempt

from the requirements for from filing requirements.

Shipper's Export Declarations.30.51.............................. Government shipments not 30.39 Special exemption for

generally exempt. shipments to the U.S. Armed

Services.30.52.............................. Special exemptions for 30.39 Special exemptions for

shipments to the U.S. Armed shipments to the U.S. Armed

Services. Services.30.53.............................. Special exemptions for certain 30.40 Special exemptions for certain

shipments to U.S. Government shipments to U.S. Government

agencies and employees. agencies and employees.30.53(e)........................... All commodities shipped to and ........... NA.

for the exclusive use of the

Panama Canal Zone Government

or the Panama Canal Company.30.55.............................. Miscellaneous exemptions...... 30.37 Miscellaneous exemptions.30.55(a)........................... Diplomatic pouches and their 30.37(i) Diplomatic pouches and their

contents. contents.30.55(b)........................... Human remains and accompanying 30.37(j) Human remains and accompanying

appropriate receptacles and appropriate receptacles and

flowers. flowers.30.55(c)........................... Shipments from one point in 30.37(c) Shipments from one point in

the United States to another the United States to another

thereof by routes passing point in the United States by

through Mexico. routes passing through Canada

or Mexico.30.55(d)........................... Shipments from one point in 30.37(d) Shipments from one point in

Mexico to another point Canada or Mexico to another

thereof by routes through the point in the same country by

United States. routes through the United

States.

30.55(e)........................... Shipments, other than by 30.2(d)(1) Shipments, transported in-bond

vessel, or merchandise for through the United States,

which no validated export and exported from another

licenses are required, U.S. port, or transshipped

transported inbond through and exported directly from

the United States, and the port of arrival.

exported from another U.S.

port, or transshipped and

exported directly from the

port of arrival.30.55(f)........................... Shipments to foreign 30.37(g) Shipments to foreign

libraries, government libraries, government

establishments, or similar establishments, or similar

institutions, as provided in institutions, as provided in

Sec. 30.53(d). Sec. 30.40(d).30.55(g)........................... Shipments of single gift 30.37(h) Shipments authorized by

parcels as authorized by the License Exception GFT for

Bureau of Industry and gift parcels, humanitarian

Security under License donations.

Exception GFT, see 15 CFR

740.12 of the EAR.30.55(h)........................... Except as noted in paragraph 30.37(a) Except as noted in Sec.

(h)(2) of this section, 30.2(a)(1)(iv), exports of

(2) of this section, 30.2(a)(1)(iv), exports of

exports of commodities where commodities where the value

the value of the commodities of the commodities shipped

shipped from one exporter to USPPI to one consignee on a

one consignee on a single single exporting carrier,

exporting carrier, classified classified under an

under an individual Schedule individual Schedule B or

B number, is $2,500 or less. HTSUSA commodity

classification code, is

$2,500 or less.30.55(i)........................... Shipments of interplant 30.37(k) Shipments of interplant

correspondence, executed correspondence, executed

invoices, and other documents invoices, and other documents

and other shipments of and other shipments of

company business records from company business records from

a U.S. firm to its subsidiary a U.S. firm to its subsidiary

or affiliate. or affiliate.30.55(j)........................... Shipments of pets as baggage, 30.37(l) Shipments of pets as baggage,

accompanied or unaccompanied, accompanied or unaccompanied,

of persons leaving the United of persons leaving the United

States, including members of States, including members of

crews on vessels and aircraft. crews on vessels and

aircraft.30.55(k)........................... Shipments for use in ........... NA.

connection with NASA tracking

systems under Office of

Export Administration Project

License DL-5355-S.30.55(l)........................... Shipments of aircraft parts ........... NA.

and equipment, and food,

saloon, slop chest, and

related stores, provisions,

and supplies for use on

aircraft by a U.S. airline to

its own installations,

aircraft, and agent aboard,

under Department of Commerce,

Office of Export

Administration General

License, RCS.30.55(m)........................... Shipments for use in ........... NA.

connection with NOAA

operations under the Office

of Export Administration

General License G-NOAA.30.55(n)........................... Exports of technology and 30.37(f) Exports of technology and

software as defined in 15 CFR software as defined in 15 CFR

772 of the EAR that do not 772 of the EAR that do not

require an export license. require an export license.30.55(o)........................... Intangible exports of software 30.2(d)(3) Intangible exports of software

and technology, such as and technology, such as

downloaded software and downloaded software and

technical data, including technical data, including

technology and software that technology and software that

requires an export license requires an export license

and mass market software and mass market software

exported electronically. exported electronically.30.56.............................. Conditional Exemptions........ 30.37 Miscellaneous exemptions.30.56(a)........................... Baggage and personal effects.. 30.38 Exemption from the

requirements for reporting

complete commodity

information.30.56(b)........................... Tools of trade................ 30.37(b) Tools of trade30.56(c)........................... Carriers' stores.............. 30.37(m) Carriers' stores30.56(d)........................... Dunnage....................... 30.37(n) Dunnage30.57.............................. Information on export ........... NA.

declarations for shipments of

types of goods covered by

Sec. 30.56 not

conditionally exempt.30.58.............................. Exemption for shipments from 30.36 Exemption for shipments

the United States to Canada. destined to Canada.----------------------------------------------------------------------------------------------------------------

Subpart E--Electronic Filing Requirements--Shipper's Export Information----------------------------------------------------------------------------------------------------------------30.60.............................. General requirements for 30.2 General requirements for

filing export and manifest filing Electronic Export

data electronically using the Information.

Automated Export System (AES).30.60(a)........................... Participation................. ........... NA.30.60(b)........................... Letter of Intent.............. 30.5(a)(1) Postdeparture filing

application.30.60(c)........................... General filing and 30.4 NA.

transmission requirements.30.60(d)........................... General responsibilities of 30.3 Electronic Export Information

exporters, filing agents, and filer requirements, parties

sea carriers to export transactions, and

responsibilities of parties

to export transactions.30.61.............................. Electronic filing options..... 30.4 Electronic Export Information

filing procedure, deadlines,

and certification statement.

30.62.............................. AES Certification, 30.5 EEI filing application and

qualifications, and standards. certification processes and

standards.30.63.............................. Information required to be 30.6 Electronic Export Information

reported electronically data elements.

through AES (data elements).30.64.............................. Transmitting and correcting 30.9 Transmitting and correcting

AES information. Electronic Export

Information.30.65.............................. Annotating the proper 30.7 Annotating the bill of lading,

exemption legends or proof of air waybill, and other

filing citations for commercial loading documents

shipments transmitted with the proper proof of

electronically. filing citations, approved

postdeparture filing

citations, downtime filing

citation, or exemption

legends.30.66.............................. Recordkeeping and requirements 30.5(f) Support.30.66.............................. Support, documentation, and 30.10 Retention of export

recordkeeping requirements. information and the authority

to require production of

documents.----------------------------------------------------------------------------------------------------------------

Subpart F--General Requirements--Importers----------------------------------------------------------------------------------------------------------------30.70.............................. Statistical information 30.50 General requirements for

required on import entries. filing import entries.

30.51 Statistical information

required for import entries.30.80.............................. Imports from Canada........... 30.54 Special provisions for imports

from Canada.30.81.............................. Imports of merchandise into ........... NA.

Guam.30.82.............................. Identification of U.S. 30.53 Import of goods returned for

merchandise returned for repair.

repair and reexport.30.83.............................. Statistical copy of mail and ........... NA.

informal entries.----------------------------------------------------------------------------------------------------------------

Subpart H--General Administrative Provisions----------------------------------------------------------------------------------------------------------------30.90.............................. Confidential information, 30.55 Confidentiality information,

import entries, and import entries, and

withdrawals. withdrawals.30.91.............................. Confidential information, 30.60 Confidentiality of Electronic

Shipper's Export Declarations. Export Information.30.92.............................. Statistical classification 30.61 Statistical classification

schedules. schedules.30.93.............................. Emergency exceptions.......... 30.62 Emergency exceptions.30.94.............................. Instructions to CBP........... ........... NA.30.95.............................. Penalties for violations...... ........... Subpart H.30.95(a)........................... Exports (reexports) of rough 30.70 Violation of the Clean Diamond

diamonds. Trade Act.30.95(b)........................... Exports of other than rough 30.71 False or fraudulent reporting.

diamonds.30.99.............................. OMB control numbers assigned 30.63 Office of Management and

pursuant to the Paperwork Budget control numbers

Reduction Act. assigned pursuant to the

Paperwork Reduction Act.---------------------------------------------------------------------------------------------------------------- [78 FR 16384, Mar. 14, 2013]

Sec. Appendix F to Part 30--FTR to FTSR Concordance ----------------------------------------------------------------------------------------------------------------

FTR FTR Regulatory topic FTSR FTSR Regulatory topic----------------------------------------------------------------------------------------------------------------

Subpart A--General Requirements----------------------------------------------------------------------------------------------------------------30.1............................... Purpose and definitions....... NA NA.30.2............................... General requirements for 30.1 General statement of

filing Electronic Export requirement for Shipper's

Information. Export Declarations.30.2(a)............................ Filing Requirements........... ........... Filing Requirements.30.2(b)............................ General requirements.......... ........... NA.30.2(c)............................ Certification and filing ........... NA.

requirements.30.2(d)............................ Exclusions from filing EEI.... ........... NA.30.2(e)............................ Penalties..................... ........... NA.30.3............................... Electronic Export Information 30.4 Preparation and signature of

filer requirements, parties Shipper's Export Declaration.

to export transactions, and

responsibilities of parties

to export transactions.30.4............................... Electronic Export Information 30.61 Electronic filing options.

filing procedures, deadlines,

and certification statements.30.4(a)............................ EEI transmitted predeparture.. 30.61(a) EEI transmitted predeparture.30.4(b)............................ Filing deadlines for EEI ........... NA.

transmitted predeparture.30.4(c)............................ EEI transmitted postdeparture. 30.61(b) EEI transmitted postdeparture.30.4(d)............................ Proof of filing citation or 30.12(d) Exports file via AES.

exemption legend.30.5............................... Electronic Export Information 30.62 AES Certification,

filing application and qualifications, and

certification processes and standards.

standards.30.5(a)............................ AES application process....... 30.60(b) AES Participant Application.30.5(b)............................ Certification process......... 30.66 Record keeping and

requirements.30.5(c)............................ Postdeparture filing approval ...........

process.30.5(d)............................ Electronic Export Information ...........

filing standards.

30.5(e)............................ Monitoring the filing of ...........

Electronic Export Information.30.5(f)............................ Support....................... ...........30.6............................... Electronic Export Information 30.63 Information required to be

data elements. reported electronically

through AES (data elements).30.7............................... Annotating the bill of lading. 30.65 Annotating the proper

exemption legends or proof of

filing citations.30.8............................... Time and place for presenting 30.12 Time and place for presenting

proof of filing citations, the SED, exemption legends,

postdeparture filing or proof of filing citations.

citations, downtime filing

citation, or exemption

legends.30.9............................... Transmitting and correcting 30.64 Transmitting and correcting

Electronic Export Information. AES information.

30.16 Corrections to Shipper's

Export Declarations.30.10(a)........................... Retention of Export 30.66 Support, documentation and

information. recordkeeping, and

documentation requirements.30.10(b)........................... Authority to require 30.11 Authority to require

production of documents. production of documents.----------------------------------------------------------------------------------------------------------------

Subpart B--Export Control and Licensing Requirements----------------------------------------------------------------------------------------------------------------30.15.............................. Introduction.................. 30.2 Related export control

requirements.30.16.............................. Bureau of Industry and 30.2 Related export control

Security regulations. requirements.30.17.............................. U.S. Customs and Border 30.2 Related export control

Protection regulations. requirements.30.18.............................. Department of State 30.2 Related export control

regulations. requirements.30.19.............................. Other Federal agency 30.2 Related export control

regulations. requirements.----------------------------------------------------------------------------------------------------------------

Subpart C--Special Provisions and Specific-Type Transactions----------------------------------------------------------------------------------------------------------------30.25.............................. Values for certain types of 30.30 Values for certain types of

transactions. transactions.30.26.............................. Reporting of vessels, 30.33 Vessels, planes, cargo vans,

aircraft, cargo vans, and and other carriers and

other carriers and containers. containers sold foreign.30.27.............................. Return of exported cargo to 30.34 Return of exported cargo to

the United States prior to the United States prior to

reaching its final reaching its final

destination. destination.30.28.............................. Split shipments............... 30.41 ``Split shipments'' by air.30.29.............................. Reporting of repairs and 30.31 Identification of certain

replacements. nonstatistical and other

unusual transactions.----------------------------------------------------------------------------------------------------------------

Subpart D--Exemptions from the Requirements for the Filing of Electronic Export Information----------------------------------------------------------------------------------------------------------------30.35.............................. Procedure for shipments exempt 30.50 Procedure for shipments exempt

from filing requirements. from the requirements for

SEDs.30.36.............................. Exemption for shipments 30.58 Exemption for shipments from

destined to Canada. the United States to Canada.30.37.............................. Miscellaneous exemptions...... 30.55 Miscellaneous exemptions.

30.55 Conditional exemptions.30.37(a)........................... Except as noted in Sec. 30.55(h) Except as noted in paragraph

30.2(a)(1)(iv), exports of h(2) of this section, exports

commodities where the value * of commodities where the

* * is $2,500 or less. value * * * is $2,500 or

less.30.37(b)........................... Tools of trade................ 30.56(b) Tools of trade30.37(c)........................... Shipments from one point in 30.55(c) Shipments from one point in

the United States to another the United States to another

point in the United States by thereof by routes passing

routes passing through Canada through Mexico.

or Mexico.

30.58(a) * * * this exemption also

applies to shipments from one

point in the United States or

Canada to another point

thereof * * *30.37(d)........................... Shipments from one point in 30.55(d) Shipments from one point in

Canada or Mexico to another Canada or Mexico to another

point thereof by routes point in the same country by

through the United States. routes through the United

States.

30.58(a) * * * this exemption also

applies to shipments from one

point in the United States or

Canada to another point

thereof * * *30.37(e)........................... Reserved...................... ........... NA.30.37(f)........................... Exports of technology and 30.55(n) Exports of technology and

software as defined in 15 CFR software as defined in 15 CFR

of the EAR that do not 772 of the EAR that do not

require an export license. require an export license30.37(g)........................... Shipments to foreign 30.55(f) Shipments to foreign

libraries, government libraries, government

establishments, or similar establishments, or similar

institutions. institutions, as provided in

Sec. 30.53(d).30.37(h)........................... Shipments as authorized under 30.55(g) Shipments of single gift

License Exception GFT for parcels as authorized by the

gift parcels and humanitarian Bureau of Industry and

donations. Security under license

exception GFT.30.37(i)........................... Diplomatic pouches and their 30.55(a) Diplomatic pouches and their

contents. contents.30.37(j)........................... Human remains and accompanying 30.55(b) Human remains and accompanying

appropriate receptacles and appropriate receptacles and

flowers. flowers.

30.37(k)........................... Shipments of interplant 30.55(i) Shipments of interplant

correspondence, executed correspondence, executed

invoices and other documents, invoices and other documents,

and other shipments of and other shipments of

company business records from company business records from

a U.S. firm to its subsidiary a U.S. firm to its subsidiary

or affiliate. or affiliate.30.37(l)........................... Shipments of pets as baggage, 30.55(j) Shipments of pets as baggage,

accompanied or unaccompanied, accompanied or unaccompanied,

of persons leaving the United of persons leaving the United

States, including members of States, including members of

crews on vessels and aircraft. crews on vessels and

aircraft.30.37(m)........................... Carriers' stores * * * 30.56(c) Carriers' stores * * *30.37(n)........................... Dunnage * * * 30.56(d) Dunnage * * *30.37(o)........................... Shipments of aircraft parts 30.55(l) Shipments of aircraft parts

and equipment; food, saloon, and equipment and food,

slop chest, and related saloon, slop chest, and

stores, * * * related stores, * * *30.37(p)........................... Baggage and personal effects 30.56(a) Baggage and personal effects

not shipped as cargo under a not shipped as cargo under a

bill of lading or an air bill of lading or an air

waybill and not requiring an waybill and not requiring an

export license * * * export license * * *30.37(q)........................... Reserved...................... ........... NA.30.37(r)........................... Reserved...................... ........... NA.30.37(s)........................... Issued bank notes and ........... NA.

securities and coins in

circulation exported as

evidence of financial claims.30.37(t)........................... Documents used in ........... NA.

international transaction * *

*30.37(u)........................... Exports of technical data and ........... NA.

defense service exemptions.30.37(v)........................... Vessels, aircraft, cargo vans ........... NA.

and other carriers and

containers.30.37(w)........................... Shipments to Army Post Office, ........... NA.

Diplomatic Post Office, Fleet

Post Office.30.37(x)........................... Shipments exported under ........... NA.

license exception Baggage

(BAG).30.37(y) (1)....................... Shipments of books, maps, ........... NA.

charts, pamphlets, and