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Foreign Trade Regulations FAQs
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| Vessel cargo | 24 hours prior to loading cargo on the vessel at the U.S. port where the cargo is laden. |
| Air cargo | 2 hours prior to the scheduled departure time of the aircraft. |
| Truck cargo | 1 hour prior to the arrival of the truck at the United States border to go foreign. |
| Rail cargo | 2 hours prior to the time the train arrives at the U.S. border to go foreign |
2 hours prior departure of exporting carrier |
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| Pipeline | Within 4 calendar days following the end of the month. |
For USML shipments, file the Electronic Export Information (EEI) as follows:
| Vessel cargo | 24 hours prior to loading cargo on the vessel at the U.S. port where the cargo is laden. |
| Rail cargo | 24 hours prior to the time the train arrives at the U.S. border to go foreign. |
| Truck cargo | 8 hour prior to the arrival of the truck at the United States border to go foreign. |
| Air cargo | 8 hours prior to the scheduled departure time of the aircraft |
This is an overview of the data elements that are transmitted in the Automated Export System (AES). Detailed formats and usage notes are contained in Part II of the Automated Export System Trade Interface Requirements (AESTIR). The Foreign Trade Regulations (15 CFR Part 30 FTR), the CBP Regulations (19 CFR Parts 4, 101, 178, and 192 AES), the International Traffic in Arms Regulations (22 CFR Parts 120 through 130 ITAR), and the Export Administration Regulations (15 CFR Supp. No. 1 to part 774 EAR) may provide additional information. See §30.6
Note: The position/location of each field below varies depending on the filing method/software provider the user files the data with.
Mandatory
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Conditional
Used Self-propelled Vehicle Information
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The Automated Export System Filing Citations, Exemptions and Exclusion Legends are found in Appendix D of the FTR. Filing procedures and deadlines for presenting these statements are found in §30.4(b) through §30.4(d) of the Foreign Trade Regulations (FTR).
Transactions, which fall outside of the scope of the Foreign Trade Regulations (FTR) and are excluded from filing Export Electronic Information (EEI), are located in §30.2(d) and Appendix C of the FTR.
FTR Subpart H Sections 30.70 - 30.72 presents the penalties that may be imposed for both civil and criminal violations. These violations include, but are not limited to, delayed filing, failure to file, and false filing of export information and/or using the AES to further any illegal activity.
A civil penalty not to exceed $10,000 may be imposed on any person who violates, or attempts to violate, any order or regulation issued under the Act. Civil penalties imposed under the FTR may be remitted or mitigated, if the penalties were incurred without willful negligence or fraud or other circumstances exist that justify a remission or mitigation.
Any person who willfully violates or attempts to violate any part of the Foreign Trade Regulations is subject to a fine not to exceed $10,000 or imprisonment of not more than five (5) years, or both.
The person or legal entity in the United States that receives the primary benefit, monetary or otherwise, from the export transaction. Generally, that person or entity is the U.S. seller, manufacturer, or order party, or the foreign entity while in the United States when purchasing or obtaining the goods for export. See §30.3
If a customs broker or foreign person are listed as the importer of record when entering goods into the United States for immediate consumption or warehousing entry, the customs broker may be listed as the U.S. Principal Party in Interest (USPPI) in the Electronic Export Information (EEI) if the goods are subsequently exported without change or enhancement. If the Customs broker entering the merchandise into the U.S. is listed as the USPPI, that broker must provide the original entry number assigned to the transaction. See §30.3(b)(2)(iv)(v)
The importer of record shall be listed as the U.S. Principal Party in Interest (USPPI) for AES purposes. If the importer of record is a foreign resident, the USPPI shall be the U.S. broker. See §30.3(b)(2)(iv)(v)
Note: In a routed export transaction, the U.S. Principal Party in Interest (USPPI) is not required to provide the U.S. agent of the Foreign Principal Party in Interest (FPPI) with a power of attorney or written authorization. The FPPI is responsible for providing a power of attorney or written authorization to the U.S. agent.
Note: See §30.3(c)(2)
Note: See §30.3(e)(2)
A typical drop shipment is when the manufacturer sells its product to a distributor. The distributor sells the product to an overseas customer, and instructs the manufacturer to send the product from its warehouse to the foreign entity.
The U. S. Principal Party in Interest (USPPI) or the authorized agent is responsible for annotating the bill of lading, air waybill or other commercial loading documents with the proof of filing citations, downtime filing citation or exemption legends. The USPPI or authorized agent must provide the proof of filing citation or exemption legend to the exporting carrier. The carrier must annotate the proof of filing citation or exemption legend on the carrier’s outbound manifest when required. The carrier is responsible for presenting the appropriate exemption legend or proof of filing citation to the CBP Port Director at the port of export as stated in Subpart E of the Foreign Trade Regulations (FTR). The proof of filing citation will identify that the export information has been accepted as transmitted. The postdeparture filing citation, AES downtime filing citation, or exemption legend will identify that no filing is required prior to export. See §30.7(b)
The U.S. Census Bureau’s Foreign Trade Regulations require that items of domestic or foreign origin under the same commodity classification number and must always be reported separately and listed if either is valued over $2500. See §30.37(a)
For products that are being returned that have a market value, report the market value. If the product has no market value due to poor quality (i.e. spoiled fruits); then report the original selling (purchasing) price of the product. See §30.6(a)(17)
Contact the U.S. Census Bureau, Foreign Trade Division, Regulations, Outreach and Education Branch at 800-549-0595, option 3. Seminars are held in locations all over the U.S. Also check the Regulations website for the latest seminars: http://www.census.gov/foreign-trade/regulations/
The privilege granted to approved U.S. Principal Parties in Interest (USPPIs) for their Electronic Export Information to be filed up to 10 calendar days after the date of export, i.e., the date the goods are scheduled to cross the U.S. border. Postdeparture filing is only available for approved USPPIs. The moratorium placed on new postdeparture filers in August 2003 will remain in effect pending further review of the program. See §30.4(c)
A reservation number assigned by the carrier to hold space on the carrier for cargo being shipped. Also known as the booking number for vessel shipments, the master air waybill number for air shipments, the bill of lading number for rail shipments, and the freight or pro bill for truck shipments. See §30.6(b)(14)
The Automated Export System (AES), including AESDirect, for collecting EEI information (or any successor document) from persons exporting goods from the United States, Puerto Rico, or the U.S. Virgin Islands; between Puerto Rico and the United States; and to the U.S. Virgin Islands from the United States or Puerto Rico. See §30.2(a)
A free Internet application supported by the U.S. Census Bureau that allows USPPIs, their authorized agents, or the U.S authorized agent of the FPPI to transmit Electronic Export Information (EEI) through the Automated Export System (AES) via the Internet at www.aesdirect.gov See §30.1
The AES generated number assigned to a shipment confirming
that an EEI transaction was accepted and is on file in the Automated Export
System (AES). This
number should be placed on all loading documents so that the CBP is able to
retrieve the shipment if needed. See §30.1
How are household goods and personal effects reported in the Automated Export
System (AES)? §30.40(b)
Household goods and personal effects require limited reporting of Electronic Export Information (EEI) when goods are shipped under a bill of lading or an air waybill. The total value and the shipping weight of the cargo are always required on the EEI. The Schedule B or HTSUSA commodity classification codes and domestic/foreign indicator are not required. Report information code ‘HH’ when reporting household goods. See §30.40(b)
For Non-United States Munitions List (USML) shipments:
If the participant’s Automated Export System (AES) is unavailable, the filer
must delay the export of goods or find an alternative filing method. See
§30.4(b)(2) If the Census Bureau’s AES or AESDirect is unavailable,
the goods may be exported and the filer must provide the following filing
citation, AESDOWN Filer ID mm/dd/yyyy, filing citations can be found as described
in FTR Subpart A 30.7(b); and report the Electronic Export Information (EEI)
at the first opportunity AES is available.
For United Stated Munitions List (USML) shipments:
If the participant’s Automated Export System (AES) is unavailable, the filer
must delay the export of goods or find an alternative filing method. If
AES or AESDirect is unavailable, the filer shall not export until
AES is operating and an ITN is acquired. See §30.4(b)(1)
You are required to immediately correct the problem, correct
the data, and retransmit the Electronic Export Information. If you are
having problems correcting an AES error, contact the Automated Export System,
Foreign Trade Division, Census Bureau at
800-549-0595, option 1. See §30.9
The cost will vary depending on the size and business needs of your organization. There are several options available to you, including free filing over the Internet using AESDirect or other relatively inexpensive filing options using the Internet. As an AES participant, you may develop your own software from the specifications we provide. You may contract with a vendor that has developed and tested software with the AES. You may file using a Value Added Network (VAN), electronic mailbox or using the facilities of a service center, port authority or a freight forwarder acting as your agent. The cost will be proportionate to the sophistication of the system you choose.
Congress enacts user and processing fees. There are no known plans to impose a user or processing fee for the Automated Export System (AES). However, the U.S. Principal Party In Interest or exporter is responsible for the fees associated with devanning (emptying a container for inspection) charges.
The AES was not designed as an enforcement system. It is simply an electronic tool that will support the enforcement system already in place. It is a mechanism to bring the export process into the 21st century.
The Harmonized System is a method of classifying goods for international trade developed by the Customs Cooperation Council (now the World Customs Organization). All import and export codes used by the United States are based on the Harmonized Tariff System.
An organized listing of goods and their duty rates, developed by the U.S.
International Trade Commission, and used by the United States as the basis
for classifying imports.
The Schedule B, which is administered by the U.S. Census Bureau, is used to
classify exports.
The Statistical Classification of Domestic and Foreign Commodities Exported from the United States. These 10-digit commodity classification numbers are administered by the U.S. Census Bureau and cover everything from live animals and food products to computers and airplanes. To find a Schedule B number please contact the Commodity Analysis Branch, Foreign Trade Division, Census Bureau at 800-549-0595, option 2.
A restriction on specific goods that a country permits to
be imported during a specified time before the imposition of added duties or
can refer to a total restriction on a particular good entering a country. For
example, Japan may allow the importation of 5,000 U.S. cars at a reduced or
waived duty rate. Once car number 5,001 enters, either no more can enter or
a significantly increased duty rate will apply. For more information
please contact the International Trade Commission at 202-205-2000.
The Bureau of Industry and Security (BIS) of the Department of Commerce implements
and enforces the Export Administration Regulations (EAR). The EAR regulates
the export and reexport of most commercial items. These items that BIS regulates
are often referred to as "dual-use" items because they have both
commercial and military or proliferation applications, but purely commercial
items without an obvious military use also are subject to the EAR. The Department
of Commerce does not regulate all goods, services, and technologies. Other
U.S. Government agencies have export control responsibilities for regulating
more specialized exports. For example, if you are shipping military goods,
your item may be subject to the licensing jurisdiction of the Directorate of
Defense Trade Controls at the Department of State. The Treasury Department’s
Office of Foreign Assets Controls (OFAC) administers and enforces economic
and trade sanctions against targeted foreign countries, terrorism sponsoring
organizations, and international narcotics traffickers. The BIS website (http://www.bis.doc.gov)
identifies resource links for various U.S. Government agencies with export
control responsibilities. Go to http://www.bis.doc.gov/About/reslinks.htm for
a listing.
EAR99 is a classification for an item. It indicates that a particular item
is subject to the Export Administration Regulations (EAR), but not specifically
described by an Export Control Classification Number (ECCN) on the Commerce
Control List (CCL). While the classification describes the item, the authorization
for shipment of that item may change, depending on the circumstances of the
transaction.
NLR stands for the "No License Required" designation. NLR may be
used for either EAR99 items, or items on the CCL that do not require a license
for the destination. However, exports of an EAR99 item to an embargoed country,
an end-user of concern or in support of a prohibited end-use may require an
export license.
ECCN stands for Export Control Classification Number. An ECCN is an alphanumeric
classification used in the Commerce Control List to identify items for export
control purposes. All ECCN’s will have 5 characters, for example, 1A001,
4B994, or 8D001. There are 10 categories on the Commerce Control List. The
first number of the ECCN identifies the category to which it belongs, for example,
1 = Nuclear Materials Facilities and Equipment, 4 = Computers, 9 = Propulsion
Systems, Space Vehicles and Related Equipment.
There is a process for determining the proper ECCN for your
item. BIS's
Office of Exporter Services (202-482-4811) in Washington, DC or (949) 660-0144
or (408) 998-8806 in California will guide you how to determine your ECCN
using the Commerce Control List (CCL). The CCL is found in Supplement 1 to
Part 774 of the Export Administration Regulations (EAR) and is available
on-line at http://www.access.gpo.gov/bis/ear/ear_data.html.
BIS cannot provide official classification determinations by phone. However,
we can help guide you through the classification determination process.
You must enter the correct Export Control Classification
Number (ECCN) on the Automated Export System record for licensed and license
exception shipments, and for "no license required" (NLR) shipments of items on the Commerce
Control List having a reason for control other than or in addition to anti-terrorism
(AT). The only exception to this requirement is the return of unwanted foreign
origin items, meeting the provisions of License Exception TMP, under §740.9(b)(3)
of the Export Administration Regulations (EAR). See §15 CFR 758.1(g)
(as amended July 10, 2000).
No. The Export Control Classification Number (ECCN) is based on the technical
characteristics of the item and requires a detailed analysis of the item in
order for it to be classified. The Department of Commerce cannot provide you
with an ECCN over the telephone. However, we can assist you in understanding
how to do a self-classification of the item using on-line resources and your
technical understanding of the item. We can also explain the process of submitting
an official request for a classification, which typically takes 4-6 weeks.
The Office of Exporter Services has counselors available from our Washington
DC headquarters at (202) 482-4811 and our Western Regional Office in California
at (949) 660-0144 or (408) 998-8806.
While the Bureau of Industry and Security (BIS) can provide oral advice and guidance on classifying your item on the Commerce Control List (CCL), we cannot give definitive classification decisions over the phone. The Office of Exporter Services has counselors available from our Washington DC headquarters at (202) 482-4811 and our Western Regional Office in California at (949) 660-0144 or (408) 998-8806 to provide you guidance on determining your ECCN and license requirements. Information is also available on the BIS website at http://www.bis.doc.gov.
No. A shipment to Puerto Rico is not defined, as an export or re-export under the Export Administration Regulations (EAR), so no license is required (NLR). However, the U.S. Principal in Interest (USPPI) is required to file an Electronic Export Information (EEI) via the Automated Export System (AES). If the shipment is going through Puerto Rico and the final destination is a foreign country, the exporter must follow the required procedures for obtaining a license if it is required for the export shipment. The same rules apply for shipments to the Commonwealth of the Northern Mariana Islands or any territory or dependency of the United States. See: EAR section 734.2(b)(8). Any questions regarding licensing should be address to the BIS at 202-482-4811.
You cannot think only of "restricted countries" because some of the export controls apply worldwide. Where you may or may not ship your goods varies with each transaction and depends on the nature of the goods, the identity of the proposed recipient of the goods, and the activity or activities in which the recipient is involved. You must determine that information before you can decide whether you need an export license. In some situations, the Export Administration Regulations (EAR) requires an export license for shipments to any country in the world (even Canada, in rare circumstances). Part 746 of the EAR lists countries that are subject to embargoes or other special controls. A listed of embargoed countries can be found on the Office of Foreign Assets Control (OFAC) website www.tres.gov/ofac
Yes, as of April 29, 2004, following the termination of the U.S. Government’s comprehensive embargo on Libya on April 23, the Department of Commerce’s Bureau of Industry and Security assumed sole jurisdiction over the export and reexport of dual-use items subject to the Export Administration Regulations (EAR) to Libya.
No. These embargoes are still in place. The embargo against Iran is still in place, while the embargo against Sudan has been modified to exempt certain areas of the country. The Office of Foreign Assets Control of the Department of the Treasury administers both. Exports and rexports subject to the Export Administration Regulations (EAR) that is not subject to the Office of Foreign Assets Control’s Iranian Transactions Regulations may require authorization from BIS. If you are exporting or reexporting items to Sudan, you should check with Office of Foreign Assets Control (OFAC) to determine if the destination of your items is in the areas of Sudan that are still under embargo, or if it is in the areas have Sudan that have been exempted from the embargo. In addition, Bureau of Industry and Security (BIS) continue to maintain licensing requirements under the EAR on exports and reexports to all areas of Sudan.
The Department of Commerce Trade Information Center can assist you with obtaining this information. The Center can be reached on 1-800-USA-Trade (872-8723).
Export controls are administered by the Bureau of Industry and Security (BIS) in the U.S. Department of Commerce, and are described in detail in the official publication U.S. Export Administration Regulations (EAR). Whenever there is any doubt about how to comply with export regulations and licensing procedures, the Department of Commerce officials or qualified professional consultants should be contacted for assistance at 202-482-4811.
The Trade Information Center (TIC) provides export counseling
to U.S. exporters.
For information please contact the TIC at 1-800-USA-TRAD(E) or (202) 482-0543 or refer to the website: www.export.gov.
Contact the Trade Information Center at 1-800-USA-TRAD(E) or check the website: www.export.gov.
The National Center for Standards & Certification Information (NCSCI)
of the Department of Commerce provides information on U.S. and foreign conformity
assessment procedures and standards for non-agricultural products. The NCSCI
also provides a translation service for foreign standards, for which there
is a charge. The NCSCI does not provide copies of the standards. For more information,
contact NCSCI at (301) 975-4040 or visit their web site at http://ts.nist.gov/Standards/information/index.cfm.
Also visit: The International Standards Organization (ISO) (http://www.iso.ch)
and The American National Standards
Institute (ANSI) (http://www.ansi.org).
Regulations, Outreach, and Education Branch, 800-549-0595, option 3
http://www.census.gov/foreign-trade/regulations/
Automated Export System, 877-715-4433
www.aesdirect.gov
ASKAES@census.gov is an online service that allows electronic filers to seek assistance pertaining to AES.
AESDirect is a free Internet AES application available from the Census Bureau www.aesdirect.gov
“AES Newsletter” is available at www.census.gov/trade
“Automated Export System Trade Interface Requirements (AESTIR)” is available
at http://www.cbp.gov/xp/cgov/export/aes/tech_docs/aestir/
Commodity Classification (Schedule B Number), 800-549-0595, option 2
Schedule B search engine: http://www.census.gov/foreign-trade/schedules/b/
“Schedule B – Statistical Classification of Domestic and Foreign Commodities Exported from the United States” is for sale by the Superintendent of Documents, U.S. Government, U.S. Government Printing Office, Washington DC 20402 and by local U.S. Customs District Directors.
“Schedule D – Classification of Customs Districts and Ports for U.S. Foreign Trade Statistics” is a free publication from the Census Bureau, Washington DC 20233-0001. The Schedule D is also included as part of the Schedule B and is available on the FTD website at http://www.census.gov/foreign-trade/reference/codes/
Bureau and Industry and Security, Department of Commerce www.bis.doc.gov
Washington, DC Newport Beach, CA San
Jose, CA
202-482-4811 949-660-0144 408-998-8806
202-482-2642
International Trade Administration, Export Assistance Center 1-800-872-8723
“Export Administration Regulations (EAR)” is for sale by the Superintendent of Documents, U.S. Government Printing Office, Washington DC 20402 and U.S. Department of Commerce District Offices. The EAR is also available on the BIS website at http://www.bis.doc.gov/
Department of State, Office of Defense Trade Controls (ODTC)
International Traffic In Arms Regulations (ITAR) 202-663-2714
http://www.pmddtc.state.gov/
Department of Treasury, Office of foreign Assets Controls (OFAC)
(Sanctioned countries and trade restrictions) 202-622-2490
http://http://www.treas.gov/ofac
US Custom Border and Protection (CBP) 703-526-4200
http://www.cbp.gov/
NAFTA 202-694-5230
http://www.fas.usda.gov/itp/Policy/NAFTA/nafta.asp
“Schedule C – Classification of Country and Territory Designations for U.S. Foreign Trade Statistics” is a free publication from the Census Bureau, Washington, DC 20233-0001. The Schedule C is also included as part of the Schedule B and is available on the FTD website at http://www.census.gov/foreign-trade/reference/codes/
Schedule K, Foreign Post Codes http://www.iwr.usace.army.mil/ndc/wcsc/scheduleK/schedulek.htm
The International Traffic in Arms Regulations (ITAR) http://www.pmddtc.state.gov/itar_index.htm
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Source: FTDWebMaster, Foreign
Trade Division, U.S. Census Bureau, Washington, D.C. 20233
Location: MAIN: REGULATIONS:TRADE REGULATIONS
Created: 25
June 2008
Last modified: 25 June 2008 at 12:55:11 PM
