Effective November 2, 2009, the Postal Service™ is revising Mailing Standards of the United States Postal Service, International Mail Manual (IMM®) section 123.7 and subchapter 520 to comply with specific Foreign Trade Regulations issued by the U.S. Census Bureau for items sent internationally.
A final rule published in the Federal Register (September 4, 2009, 74 FR 45760–45763) details the new Foreign Trade Regulations mandating that Electronic Export Information (EEI) be filed when goods in an international shipment are valued at more than $2,500 or require an export license under U.S. law. The entire Federal Register notice is available on Postal Explorer® at http://pe.usps.com; click on Federal Register Notices, and then scroll down to the appropriate date and article.
Subject to certain exceptions, and also effective November 2, 2009, customers are responsible for providing an Exemption and Exclusion Legend, Proof of Filing Citation (PFC), or AES Downtime Citation on the customs declaration form. The Foreign Trade Regulations establish civil and criminal penalties for customers who fail to electronically file their export information when required or fail to comply with the Foreign Trade Regulations in any other way. Not subject to this standard are goods mailed to APO/FPO/DPO addresses — see Mailing Standards of the United States Postal Service, Domestic Mail Manual (DMM®) 703.2.
In addition, items mailed as gift parcels or humanitarian donations to countries designated as “State Sponsors of Terrorism” must comply with the conditions for License Exception “GFT,” or customers may be required to obtain an export license from the U.S. Department of Commerce, Bureau of Industry and Security. The definitions and limitations on such gift parcels and humanitarian donations are set forth in the Commerce Department’s Export Administration Regulations. The Postal Service standards for endorsing qualifying items as gift parcels or humanitarian donations are consistent with the Export Administration Regulations and are described here.
Additional information concerning electronic filing, items sent as gift parcels or humanitarian donations, Exemption and Exclusion Legends, PFCs, AES Downtime Citations, and proper placement of this information on required customs declarations forms are provided in the following step-by-step processes.
Electronic Export Information Filing and Proof of Filing Citation
Electronic filing of export information and a PFC are required in the following circumstances:
a. When any type of goods contained in a shipment (per Schedule B Export Codes at www.census.gov/ foreign-trade/schedules/b) is valued at more than $2,500.
b. When a package requires an export license. To determine if an export license is required, go to www.export.gov/regulation/index.asp or call 800-872-8723 (800-USA-TRADE).
c. When a package is shipped to certain countries designated as State Sponsors of Terrorism and does not qualify as a “gift parcel or humanitarian donation.” As of October 5, 2009, the following countries are designated as “State Sponsors of Terrorism”:
1. Cuba.
2. Iran.
3. People’s Democratic Republic of Korea
(NorthKorea).
4. Sudan.
5. Syrian Arab Republic (Syria).
When any of these three circumstances apply, it is the mailer’s responsibility to electronically file export information before mailing; a paper Shipper’s Export Declaration (SED) is no longer accepted. The mailer can file electronic export information (EEI) through the U.S. Census Bureau’s Automated Export System (AES) or AESDirect website using the following steps:
1. Go to www.aesdirect.gov.
2. Register for an AESDirect account or log into your existing account.
3. Follow the instructions for the AES Certification Quiz.
4. The “Port of Export” code for shipping through the Postal Service is “8000.”
5. The “Mode of Transport” is “Mail.”
6. Leave the carrier as “SCAC/IATA,” and leave the conveyance name fields blank.
7. After successfully filing electronic export information, AESDirect will provide an alphanumeric Internal Transaction Number (ITN) as confirmation. The PFC consists of the letters “AES” followed by the ITN: for example, “AES X20080930987654.”
Note: If the AES system is down, call the U.S. Census Bureau’s toll-free information hotline at 800-549-0595, option 1. For additional information on electronic filing, use option 3.
AES Downtime Citation
If EEI filing is required but AES or AESDirect is unavailable, the mailer may ship the goods but is responsible for providing the appropriate AES Downtime Citation instead of a PFC. This citation includes the word “AESDOWN,” the mailer’s AES filer identification number, and the date: for example, “AESDOWN 123456789 09/30/2009.”
Exemption and Exclusion Legends
If no class of goods within the package is valued at more than $2,500 and an export license is not required, the customer should enter the exemption code “NOEEI 30.37(a)” on the customs declaration form, unless the goods are being shipped to a country designated as a “State Sponsor of Terrorism.” If one or more classes of goods within the package are valued at more than $2,500, another exemption code might apply, such as “NOEEI 30.36” (goods shipped to Canada, subject to certain exceptions).
Mailers cannot apply Exemption and Exclusion Legends to packages that require an export license. In such cases, customers are responsible for filing, or attempting to file, EEI through the AESDirect website and applying a PFC or AES Downtime Citation to the customs declaration form.
For gift parcels and humanitarian donations mailed to certain countries designated as “State Sponsors of Terrorism,” customers may use exemption code “NOEEI 30.37(h).” In addition, the mailer must endorse the item with the marking “GIFT — Export License Not Required” on the addressee side of the package. The mailer must also write the symbol “GFT” in the same block as the Exemption and Exclusion Legend on the applicable required customs declaration, as described below.
Entering Required PFC, AES Downtime Citation, or Exemption and Exclusion Legend
Mailers can mark the PFC, AES Downtime Citation, or Exemption and Exclusion Legend on the applicable customs declaration form as follows:
a. On the May 2009 and January 2009 editions of PS Form 2976-A, Customs Declaration and Dispatch Note — CP 72 (large white form), customers should write one PFC, AES Downtime Citation, or applicable Exemption and Exclusion Legend in block 11.
b. On editions of PS Form 2976-A printed before January 2009, customers should write one PFC, AES Downtime Citation, or applicable Exemption and Exclusion Legend at the top of the form or in any clear space. Avoid writing over the barcode on the form.
c. On the September 2009 edition of PS Form 2976, Customs Declaration CN22 — Sender’s Declaration (green label), customers should check “NOEEI § 30.37(a)” or “NOEEI § 30.37(h)” in block 7 of the form, depending on the applicable Exemption and Exclusion Legend. For CCD items sent to Cuba that require electronic filing, in block 7 of the form, customers should write one PFC or AES Downtime Citation and also completely obliterate the check boxes and text referring to NOEEI § 30.37(a) and NOEEI § 30.37(h).
d. On editions of PS Form 2976 printed before September 2009, customers should write one applicable Exemption and Exclusion Legend (“30.37(a)” or “30.37(h)”) in the margin on the green portion of the form. For CCD items sent to Cuba that require electronic filing (see the Individual Country Listing for Cuba), customers should write one PFC or AES Downtime Citation in the margin on the green portion of the form.
e. On Label 11FGG1, Global Express Guaranteed International Air Waybill (Mailing Label), printed bedfore August 2008, customers should write “NOEEI 30.37(a)” next to the sender’s signature. Current versions of Label 11FGG1 have this exemption legend included on the mailing label.
Note: These standards also apply to mailers who produce privately printed customs declaration forms under IMM 123.3.
Responding to Customer Questions
Customers needing further assistance with AES filing requirements should contact the U.S. Census Bureau on its toll-free hotline at 800-549-0595:
a. Option 1 — AES Assistance.
b. Option 2 — Commodity Classification Assistance.
c. Option 3 — Regulatory Assistance.
The Commerce Department’s Export Administration Regulations contain all the required processes and additionally provide explanations in 15 C.F.R. Part 740 and Supplement 1. The regulations are available on the Commerce Department’s website at www.access.gpo. gov/bis/ear/pdf/740.pdf.
Mailing Standards of the United States Postal Service, International Mail Manual (IMM)
1 International Mail Services
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120 Preparation for Mailing
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123 Customs Forms and Online Shipping Labels
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123.7 Completing Customs Forms
123.71 PS Form 2976, Customs Declaration CN 22 — Sender’s Declaration (green label)
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123.712 Postal Service Employee’s Acceptance of PS Form 2976
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[Add new item e as follows:]
e. To comply with U.S. Census Bureau requirements, it is the customer’s responsibility to ensure an appropriate Exemption and Exclusion Legend is selected or displayed on PS Form 2976. In addition, items sent to Cuba may require a Proof of Filing Citation or AES Downtime Citation.
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123.72 PS Form 2976-A, Customs Declaration and Dispatch Note — CP 72
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123.722 Postal Service Employee’s Acceptance of PS Form 2976-A
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[Reletter current items c through g as new items d through h, and insert new item c as follows:]
c. To comply with U.S. Census Bureau requirements, it is the customer’s responsibility to ensure that an appropriate Exemption and Exclusion Legend, Proof of Filing Citation, or AES Downtime Citation is displayed on PS Form 2976-A. If this information is not entered, remind the customer that he or she may be subject to civil and criminal penalties for noncompliance.
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5 Nonpostal Export Regulations
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[Revise 520 in its entirety to read as follows:]
520 Foreign Trade Regulations — U.S. Census Bureau
521 General
Subchapter 520 describes the various U.S. Department of Commerce, U.S. Bureau of the Census requirements when shipping goods internationally. In certain circumstances, customers are responsible for entering information on PS Form 2976 or 2976-A. Customers may be subject to civil and criminal penalties if they fail to electronically file their export information when required or if they fail to comply with the Foreign Trade Regulations in any other way.
522 Additional Assistance
Customers needing further assistance with filing requirements should contact the U.S. Census Bureau on its toll-free hotline at 800-549-0595:
a. Option 1 — AES Assistance.
b. Option 2 — Commodity Classification Assistance.
c. Option 3 — Regulatory Assistance.
523 Mailpieces Sent to APOs, FPOs, and DPOs
Goods mailed to APO/FPO/DPO addresses are not subject to the Foreign Trade Regulations. Accordingly, customers are not required to file electronic export information (EEI) via the U.S. Census Bureau’s Automated Export System (AES) or AESDirect Web site for such mailings, and they do not need to present a Proof of Filing Citation, AES Downtime Citation, or Exemption and Exclusion Legend.
524 Proof of Filing Citation (PFC)
524.1 General
Under the authority of 13 U.S.C. Chapter 9, as amended by the Foreign Relations Authorization Act of 2002, P.L. 107–228, U.S. Census Bureau regulations require electronic filing of export information through the Census Bureau’s Automated Export System (AES) or AESDirect Web site for certain outbound international shipments of goods. Before mailing, customers subject to this filing requirement are responsible for presenting a Proof of Filing Citation (PFC) or AES Downtime Citation as evidence of compliance.
The Census Bureau’s regulations mandate that electronic export information be filed when any type of goods contained in a shipment (per Schedule B Export Codes at www.census.gov/foreign-trade/schedules/b) is valued at more than $2,500, requires an export license under U.S. law, or is being sent to certain countries designated as “State Sponsors of Terrorism,” subject to certain exceptions. Following are three examples to illustrate the value criterion:
a. Example 1: An insured Priority Mail International package contains one mechanically operated watch (Schedule B item number 9101.11.0000) valued at $2,600. The total value of goods to be mailed is $2,600, and the value of all items within the same Schedule B number is more than $2,500. Consequently, electronic filing and a PFC would be required (unless an exemption or exclusion applies).
b. Example 2: An insured Priority Mail International package contains one mechanically operated watch (Schedule B item number 9101.11.0000) valued at $2,400, and one electronically operated watch (Schedule B item number 9101.91.0000) valued at $2,400. The total value of goods to be mailed is $4,800, but no group of items within the same Schedule B number is valued at more than $2,500. Consequently, electronic filing and a PFC would not be required because the mechanical watch and electronic watch are in different Schedule B groups.
c. Example 3: An insured Priority Mail International package contains two mechanically operated watches (Schedule B item number 9101.11.0000), one valued at $1,400 and one valued at $1,500. The total value of goods to be mailed is $2,900, and the value of all items within the same Schedule B number is more than $2,500. Consequently, electronic filing and a PFC would be required (unless an exemption or exclusion applies).
524.2 Filing Requirements
524.21 Mandatory Filing
Electronic filing of export information is required when any of the following applies:
a. One or more classes of goods (per Schedule B Export Codes at www.census.gov/foreign-trade/schedules/b) within the item are valued at more than $2,500, unless the shipment falls under an exemption or exclusion. See 524.1.
b. The item requires an export license under U.S. law.
c. The shipment is destined to a designated “State Sponsor of Terrorism” country (per Country Group E:1 in the Export Administration Regulations, 15 C.F.R. Part 740, Supplement No. 1) and the shipment does not qualify as a “gift parcel or humanitarian donation” as defined by 15 C.F.R. § 740.12.
Note: As of October 5, 2009, the following countries are designated as “State Sponsors of Terrorism”:
a. Cuba.
b. Iran.
c. The Democratic People’s Republic of Korea (North Korea).
d. Sudan.
e. The Syrian Arab Republic (Syria).
524.22 How to File Electronic Export Information and Obtain a Proof of Filing Citation
To file electronic export information through AESDirect and obtain a PFC, customers should use the following steps:
1. Go to www.aesdirect.gov.
2. Register for an AESDirect account or log into your existing account.
3. Follow the instructions for the AES Certification Quiz.
4. The “Port of Export” code for shipping through the Postal Service is “8000.”
5. The “Mode of Transport” is “Mail.”
6. Leave the carrier as “SCAC/IATA,” and leave the conveyance name fields blank.
7. After successfully filing electronic export information, AESDirect will provide an alphanumeric Internal Transaction Number (ITN) as confirmation. The PFC consists of the letters “AES” followed by the ITN: for example, “AES X20080930987654.”
Note: If the AES system is down, call the U.S. Census Bureau’s toll-free information hotline at 800-549-0595, option 1. For additional information on electronic filing, use option 3.
525 AES Downtime Citation
If electronic export information filing is required but AES or AESDirect is unavailable, the mailer may ship the goods but is responsible for providing the appropriate AES Downtime Citation instead of a PFC. This citation includes the word “AESDOWN,” the mailer’s AES filer identification number, and the date: for example, “AESDOWN 123456789 09/30/2009.”
526 Exemption and Exclusion Legend
526.1 General
In many circumstances, electronic export information filing and a PFC may not be required when mailing goods internationally. In these circumstances, customers are directed to apply an applicable Exemption and Exclusion Legend on the customs declaration form upon mailing. The following conditions apply:
a. A mailer may enter one Exemption and Exclusion Legend per addressed mailpiece. When multiple exemptions may apply, the mailer may select any one that applies.
b. A mailer cannot apply Exemption and Exclusion Legends to shipments that require an export license.
526.2 When Applicable
Customers with shipments not meeting the mandatory filing requirements under 524.21 may apply an Exemption and Exclusion Legend such as the following on each customs declaration form:
a. “NOEEI 30.37(a)” for shipments when the value of each class of goods is $2,500 or less. Mailers cannot apply this exemption to shipments that require an export license or to shipments to countries designated as “State Sponsors of Terrorism.”
b. “NOEEI 30.36” for shipments to Canada that do not require an export license.
c. “NOEEI 30.37(h)” for shipments of gift parcels and humanitarian donations as defined in 15 C.F.R. § 740.12. This exemption may apply to qualifying shipments to countries designated as “State Sponsors of Terrorism” identified in 524.21(c). In addition, the mailer must endorse the item with the marking “GIFT — Export License Not Required” on the addressee side of the package. The mailer must also write the symbol “GFT” in the same block as the Exemption and Exclusion Legend on the applicable required customs declaration, as described in 527.
Note: For more information and a complete listing of these and other Exemption and Exclusion Legends, see Appendix C of the Foreign Trade Regulations, 15 C.F.R. Part 30.
527 Placement of PFC, AES Downtime Citation, or Exemption and Exclusion Legend
When shipments require a PFC, AES Downtime Citation, or Exemption and Exclusion Legend, it is the customer’s responsibility to legibly write the PFC, AES Downtime Citation, or Exemption and Exclusion Legend on the applicable customs declaration form as follows:
a. On the May 2009 and January 2009 editions of PS Form 2976-A, Customs Declaration and Dispatch Note — CP 72 (large white form), customers should write one PFC, AES Downtime Citation, or applicable Exemption and Exclusion Legend in block 11.
b. On editions of PS Form 2976-A printed before January 2009, customers should write one PFC, AES Downtime Citation, or applicable Exemption and Exclusion Legend at the top of the form or in any clear space. Avoid writing over the barcode on the form.
c. On the September 2009 edition of PS Form 2976, Customs Declaration CN22 — Sender’s Declaration (green label), except for consumer communications devices, computers, and software (CCD) items sent to Cuba (see the Individual Country Listing for Cuba), customers should check “NOEEI §30.37(a)” or “NOEEI §30.37(h)” in block 7 of the form, depending on the applicable Exemption and Exclusion Legend. For CCD items sent to Cuba that require electronic filing, in block 7 of the form, customers should write one PFC or AES Downtime Citation and also completely obliterate the check boxes and text referring to NOEEI § 30.37(a) and NOEEI § 30.37(h).
d. On editions of PS Form 2976 printed before September 2009, customers should write one applicable Exemption and Exclusion Legend (“30.37(a)” or “30.37(h)”) in the margin on the green portion of the form. For CCD items sent to Cuba that require electronic filing (see the Individual Country Listing for Cuba), customers should write one PFC or AES Downtime Citation in the margin on the green portion of the form.
e. On editions of Label 11FGG1, Global Express Guaranteed International Air Waybill (Mailing Label), printed before August 2008, customers should write “NOEEI 30.37(a)” next to the sender’s signature. Current versions of Label 11FGG1 have this exemption legend included on the mailing label.
Note: These standards also apply to mailers who produce privately printed customs declaration forms under 123.3.
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We will incorporate these revisions into the next printed version of the IMM and into the monthly update of the online IMM, which is available via Postal Explorer at http://pe.usps.com.
— Mailing Standards,
Pricing, 10-8-09
