This document is an overview of Foreign Trade Regulations (15 CFR Part 30) covering U.S. Principal Party in Interest and Forwarding Agent Responsibilities, and Power of Attorney.

Note: AESDirect will be updated to reflect these regulations in the near future.

The full text of the regulations (PDF) is available on the U.S. Census Bureau website.
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For Further Clarification of these regulations call the U.S. Census Bureau - Regulations (800) 549-0595, menu option 3.

Exporter of Record Replaced by U.S. Principal in Interest (USPPI)

The U.S. Principal Party in Interest - The person in the United States that receives the primary benefit monetary or otherwise of the export transaction.

Generally That Person Can Be The:

• U.S. Seller (wholesaler/distributor) of the merchandise for export.
• U.S. Manufacturer if selling the merchandise for export.
• U.S. Order Party - Party who directly negotiated between the U.S. seller and foreign buyer and received the order for the export of the merchandise.
• Foreign Entity if in the U.S. when items are purchased or obtained for export.

Responsibility of USPPI and Forwarding Agent in a normal Export Transaction

USPPI

• Prepare the EEI OR authorize a forwarding or other agent to prepare and file the EEI, with a power of attorney or written authorization.
• If authorizing a forwarding or other agent, provide information to such agent for completing the EEI.
• Maintain documentation to support the information reported on the EEI.

Forwarding Agent

• Prepare the EEI based on information received from the USPPI or other parties to the transaction.
• Obtain a power of attorney or written authorization from a principal party in interest.
• Provide the USPPI with a copy of the export information in a manner prescribed by the USPPI.
• Maintain documentation to support information reported on the EEI.

Responsibility of USPPI and Forwarding Agent in a Routed Export Transaction

USPPI

• Provide basic commodity information to the forwarding or other agent for completing the EEI, including name, EIN, Schedule B no., and value, excluding ultimate consignee.
• Maintain documentation to support information provided to the forwarding or other agent.
• [NOTE: In a routed export transaction, the U.S. Principal Party in Interest is not required to provide the forwarding or other agent with a power of attorney or written authorization].

Forwarding Agent

• Prepare, sign, and file the EEI based on information obtained from the USPPI and/or other parties to the transaction.
• Obtain a power of attorney or written authorization from the foreign principal party in interest to act on its behalf in the export transaction.
• Maintain documentation to support information reported on the EEI.
• Upon request, provide the U.S. Principal Party in Interest with documentation that the information provided by the U.S. Principal Party in Interest was accurately reported on the EEI.

Principal Parties In Interest - Those persons in a transaction that receive the primary benefit, monetary or otherwise, of the transaction. Generally the principals in a transaction are the seller and buyer. In most cases, the forwarding agent is not a principal party in interest.

Routed Export Transaction - A transaction where the foreign principal party in interest authorizes a U.S. forwarding or other agent to facilitate export of items from the United States.

Ultimate Consignee - The principal party located abroad that receives the exported or reexported items. The ultimate consignee is not a forwarding agent or intermediary but may be the end user.

Exporter - The person in the United States who has the authority of a principal party in interest to determine and control sending of items out of the United States. Note that Foreign Trade Statistics Regulations have a different definition for the term "exporter". Under the FTR, the "exporter" is the USPPI (U.S. Principal Party in Interest - See Foreign Trade Regulations Title 15 Part 30).

Intermediate Consignee - The person that acts as an agent for a principal party in interest for the purpose of effecting delivery of items to the ultimate consignee. The intermediate consignee may be a bank, forwarding agent, or other person who acts as an agent for a principal party in interest.

Forwarding Agent - The person in the United States who is authorized by a principal party in interest to perform the services required to facilitate the export of items from the United States. This may include air couriers or carriers. In routed export transactions, the forwarder and exporter may be the same for compliance purposes under the EAR.

Order Party - The person in the United States who conducted the direct negotiations or correspondence with the foreign purchaser or ultimate consignee and who, as a result of these negotiations received the order from the foreign purchaser or the ultimate consignee.

For further clarification of these regulations call the U.S. Census Bureau - Regulations Outreach and Education Branch on (800) 549-0595, menu option 3.