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| section_id ▼ | title_number | title_name | chapter | subchapter | part_number | part_name | subpart | subpart_name | section_number | section_heading | agency | authority | source_citation | amendment_citations | full_text |
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| 10:10:1.0.1.1.20.0.85.1 | 10 | Energy | I | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.1 Scope. | NRC | [63 FR 1895, Jan. 13, 1998] | This part prescribes rules applicable to all persons in the United States governing domestic licensing of byproduct material under the Atomic Energy Act of 1954, as amended (68 Stat. 919), and under title II of the Energy Reorganization Act of 1974 (88 Stat. 1242), and exemptions from the domestic licensing requirements permitted by Section 81 of the Act. This part also gives notice to all persons who knowingly provide to any licensee, applicant, certificate of registration holder, contractor, or subcontractor, components, equipment, materials, or other goods or services, that relate to a licensee's, applicant's or certificate of registration holder's activities subject to this part, that they may be individually subject to NRC enforcement action for violation of § 30.10. | ||||||
| 10:10:1.0.1.1.20.0.85.10 | 10 | Energy | I | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.10 Deliberate misconduct. | NRC | [63 FR 1896, Jan. 13, 1998] | (a) Any licensee, certificate of registration holder, applicant for a license or certificate of registration, employee of a licensee, certificate of registration holder or applicant; or any contractor (including a supplier or consultant), subcontractor, employee of a contractor or subcontractor of any licensee or certificate of registration holder or applicant for a license or certificate of registration, who knowingly provides to any licensee, applicant, certificate holder, contractor, or subcontractor, any components, equipment, materials, or other goods or services that relate to a licensee's, certificate holder's or applicant's activities in this part, may not: (1) Engage in deliberate misconduct that causes or would have caused, if not detected, a licensee, certificate of registration holder, or applicant to be in violation of any rule, regulation, or order; or any term, condition, or limitation of any license issued by the Commission; or (2) Deliberately submit to the NRC, a licensee, certificate of registration holder, an applicant, or a licensee's, certificate holder's or applicant's, contractor or subcontractor, information that the person submitting the information knows to be incomplete or inaccurate in some respect material to the NRC. (b) A person who violates paragraph (a)(1) or (a)(2) of this section may be subject to enforcement action in accordance with the procedures in 10 CFR part 2, subpart B. (c) For the purposes of paragraph (a)(1) of this section, deliberate misconduct by a person means an intentional act or omission that the person knows: (1) Would cause a licensee, certificate of registration holder or applicant to be in violation of any rule, regulation, or order; or any term, condition, or limitation, of any license issued by the Commission; or (2) Constitutes a violation of a requirement, procedure, instruction, contract, purchase order, or policy of a licensee, certificate of registration holder, applicant, contractor, or subcontractor. | ||||||
| 10:10:1.0.1.1.20.0.85.2 | 10 | Energy | I | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.2 Resolution of conflict. | NRC | [30 FR 8185, June 26, 1965] | The requirements of this part are in addition to, and not in substitution for, other requirements of this chapter. In any conflict between the requirements in this part and a specific requirement in another part of the regulations in this chapter, the specific requirement governs. | ||||||
| 10:10:1.0.1.1.20.0.85.3 | 10 | Energy | I | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.3 Activities requiring license. | NRC | [72 FR 55924, Oct. 1, 2007] | (a) Except as provided in paragraphs (b)(2), (b)(3), (c)(2), and (c)(3) of this section and for persons exempt as provided in this part and part 150 of this chapter, no person shall manufacture, produce, transfer, receive, acquire, own, possess, or use byproduct material except as authorized in a specific or general license issued in accordance with the regulations in this chapter. (b)(1) The requirements, including provisions that are specific to licensees, in this part and parts 19, 20, 21, and 71 of this chapter, as well as the additional requirements for specific broad scope, industrial radiography, irradiator, or well logging uses in 10 CFR parts 33, 34, 36, or 39, respectively, shall apply to Government agencies or Federally recognized Indian Tribes on November 30, 2007, when conducting activities under the authority provided by paragraphs (b)(2) and (b)(3) of this section. (2) A specifically licensed Government agency or Federally recognized Indian Tribe that possesses and uses accelerator-produced radioactive material or discrete sources of radium-226 for which a license amendment is required to authorize the activities in paragraph (a) of this section, may continue to use these materials for uses permitted under this part until the date of the NRC's final licensing determination, provided that the licensee submits an amendment application on or before June 2, 2008. (3) A Government agency or Federally recognized Indian Tribe that possesses and uses accelerator-produced radioactive material or discrete sources of radium-226 for which a specific license is required in paragraph (a) of this section, may continue to use such material for uses permitted under this part until the date of the NRC's final licensing determination provided that the agency or Indian Tribe submits an application for a license authorizing activities involving these materials on or before December 1, 2008. (c)(1) The requirements, including provisions that are specific to licensees in this part and parts 19, 20, 21, and 71 of this… | ||||||
| 10:10:1.0.1.1.20.0.85.4 | 10 | Energy | I | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.4 Definitions. | NRC | [30 FR 8185, June 26, 1965] | Accelerator-produced radioactive material means any material made radioactive by a particle accelerator. Act means the Atomic Energy Act of 1954 (68 Stat. 919), including any amendments thereto; Agreement State means any state with which the Atomic Energy Commission or the Nuclear Regulatory Commission has entered into an effective agreement under subsection 274b. of the Act. Non-agreement State means any other State; Alert means events may occur, are in progress, or have occurred that could lead to a release of radioactive material but that the release is not expected to require a response by offsite response organizations to protect persons offsite. Byproduct material means— (1) Any radioactive material (except special nuclear material) yielded in, or made radioactive by, exposure to the radiation incident to the process of producing or using special nuclear material; (2)(i) Any discrete source of radium-226 that is produced, extracted, or converted after extraction, before, on, or after August 8, 2005, for use for a commercial, medical, or research activity; or (ii) Any material that— (A) Has been made radioactive by use of a particle accelerator; and (B) Is produced, extracted, or converted after extraction, before, on, or after August 8, 2005, for use for a commercial, medical, or research activity; and (3) Any discrete source of naturally occurring radioactive material, other than source material, that— (i) The Commission, in consultation with the Administrator of the Environmental Protection Agency, the Secretary of Energy, the Secretary of Homeland Security, and the head of any other appropriate Federal agency, determines would pose a threat similar to the threat posed by a discrete source of radium-226 to the public health and safety or the common defense and security; and (ii) Before, on, or after August 8, 2005, is extracted or converted after extraction for use in a commercial, medical, or research activity. Commencement of construction means taking any action defined as “construc… | ||||||
| 10:10:1.0.1.1.20.0.85.5 | 10 | Energy | I | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.5 Interpretations. | NRC | [30 FR 8185, June 26, 1965, as amended at 43 FR 6921, Feb. 17, 1978; 52 FR 8241, Mar. 17, 1987; 58 FR 7736, Feb. 9, 1993; 90 FR 55628, Dec. 3, 2025] | Except as specifically authorized by the Commission in writing, no interpretation of the meaning of the regulations in this part and parts 31 through 36 and 39 by any officer or employee of the Commission other than a written interpretation by the General Counsel will be recognized to be binding upon the Commission. This section shall cease to have effect on January 8, 2027, unless the NRC determines that the cessation deadline should be extended to a date not more than 5 years in the future after offering the public an opportunity to provide input on the costs and benefits of this section and considering that input. The NRC will publish a document in the Federal Register announcing its determination and revising or removing this section accordingly. | ||||||
| 10:10:1.0.1.1.20.0.85.6 | 10 | Energy | I | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.6 Communications. | NRC | (a) Unless otherwise specified or covered under the regional licensing program as provided in paragraph (b) of this section, any communication or report concerning the regulations in parts 30 through 37 and 39 of this chapter and any application filed under these regulations may be submitted to the Commission as follows: (1) By mail addressed: ATTN: Document Control Desk, Director, Office of Nuclear Material Safety and Safeguards U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001. (2) By hand delivery to the NRC's offices at 11555 Rockville Pike, Rockville, Maryland. (3) Where practicable, by electronic submission, for example, via Electronic Information Exchange, or CD-ROM. Electronic submissions must be made in a manner that enables the NRC to receive, read, authenticate, distribute, and archive the submission, and process and retrieve it a single page at a time. Detailed guidance on making electronic submissions can be obtained by visiting the NRC's Web site at http://www.nrc.gov/site-help/e-submittals.html; by e-mail to MSHD.Resource@nrc.gov; or by writing the Office of the Chief Information Officer, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001. The guidance discusses, among other topics, the formats the NRC can accept, the use of electronic signatures, and the treatment of nonpublic information. (b) The Commission has delegated to the four Regional Administrators licensing authority for selected parts of its decentralized licensing program for nuclear materials as described in paragraph (b)(1) of this section. Any communication, report, or application covered under this licensing program must be submitted to the appropriate Regional Administrator. The Administrators' jurisdictions and mailing addresses are listed in paragraph (b)(2) of this section. (1) The delegated licensing program includes authority to issue, renew, amend, cancel, modify, suspend, or revoke licenses for nuclear materials issued pursuant to 10 CFR parts 30 through 36, 39, 40, and 70 to all persons for … | |||||||
| 10:10:1.0.1.1.20.0.85.7 | 10 | Energy | I | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.7 Employee protection. | NRC | [58 FR 52408, Oct. 8, 1993, as amended at 60 FR 24551, May 9, 1995; 61 FR 6764, Feb. 22, 1996; 68 FR 58803, Oct. 10, 2003; 72 FR 63973, Nov. 14, 2007; 73 FR 30458, May 28, 2008; 79 FR 66603, Nov. 10, 2014; 83 FR 58465, Nov. 20, 2018] | (a) Discrimination by a Commission licensee, an applicant for a Commission license, or a contractor or subcontractor of a Commission licensee or applicant against an employee for engaging in certain protected activities is prohibited. Discrimination includes discharge and other actions that relate to compensation, terms, conditions, or privileges of employment. The protected activities are established in section 211 of the Energy Reorganization Act of 1974, as amended, and in general are related to the administration or enforcement of a requirement imposed under the Atomic Energy Act or the Energy Reorganization Act. (1) The protected activities include but are not limited to: (i) Providing the Commission or his or her employer information about alleged violations of either of the statutes named in paragraph (a) introductory text of this section or possible violations of requirements imposed under either of those statutes; (ii) Refusing to engage in any practice made unlawful under either of the statutes named in paragraph (a) introductory text or under these requirements if the employee has identified the alleged illegality to the employer; (iii) Requesting the Commission to institute action against his or her employer for the administration or enforcement of these requirements; (iv) Testifying in any Commission proceeding, or before Congress, or at any Federal or State proceeding regarding any provision (or proposed provision) of either of the statutes named in paragraph (a) introductory text. (v) Assisting or participating in, or is about to assist or participate in, these activities. (2) These activities are protected even if no formal proceeding is actually initiated as a result of the employee assistance or participation. (3) This section has no application to any employee alleging discrimination prohibited by this section who, acting without direction from his or her employer (or the employer's agent), deliberately causes a violation of any requirement of the Energy Reorganization Act of 1974, as a… | ||||||
| 10:10:1.0.1.1.20.0.85.8 | 10 | Energy | I | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.8 Information collection requirements: OMB approval. | NRC | [49 FR 19625, May 9, 1984, as amended at 59 FR 61780, Dec. 2, 1994; 62 FR 52186, Oct. 6, 1997; 62 FR 63639, Dec. 2, 1997; 63 FR 29541, June 1, 1998; 67 FR 67099, Nov. 4, 2002; 73 FR 78604, Dec. 23, 2008; 77 FR 43689, July 25, 2012] | (a) The Nuclear Regulatory Commission has submitted the information collection requirements contained in this part to the Office of Management and Budget (OMB) for approval as required by the Paperwork Reduction Act (44 U.S.C. 3501 et seq. ). The NRC may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number. OMB has approved the information collection requirements contained in this part under control number 3150-0017. (b) The approved information collection requirements contained in this part appear in §§ 30.9, 30.11, 30.15, 30.19, 30.20, 30.32, 30.34, 30.35, 30.36, 30.37, 30.38, 30.41, 30.50, 30.51, 30.55, and appendices A, C, D, and E to this part. (c) This part contains information collection requirements in addition to those approved under the control number specified in paragraph (a) of this section. These information collection requirements and the control numbers under which they are approved are as follows: (1) In §§ 30.32 and 30.37, NRC Form 313 is approved under control number 3150-0120. (2) In § 30.36, NRC Form 314 is approved under control number 3150-0028. (3) In § 30.34, DOC/NRC Forms AP-1, AP-A, and associated forms are approved under control number 0694-0135. | ||||||
| 10:10:1.0.1.1.20.0.85.9 | 10 | Energy | I | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.9 Completeness and accuracy of information. | NRC | [52 FR 49371, Dec. 31, 1987] | (a) Information provided to the Commission by an applicant for a license or by a licensee or information required by statute or by the Commission's regulations, orders, or license conditions to be maintained by the applicant or the licensee shall be complete and accurate in all material respects. (b) Each applicant or licensee shall notify the Commission of information identified by the applicant or licensee as having for the regulated activity a significant implication for public health and safety or common defense and security. An applicant or licensee violates this paragraph only if the applicant or licensee fails to notify the Commission of information that the applicant or licensee has identified as having a significant implication for public health and safety or common defense and security. Notification shall be provided to the Administrator of the appropriate Regional Office within two working days of identifying the information. This requirement is not applicable to information which is already required to be provided to the Commission by other reporting or updating requirements. | ||||||
| 10:10:1.0.1.1.20.0.86.11 | 10 | Energy | I | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.11 Specific exemptions. | NRC | [37 FR 5746, Mar. 21, 1972, as amended at 39 FR 26279, July 18, 1974; 40 FR 8784, Mar. 3, 1975; 43 FR 6921, Feb. 21, 1978; 45 FR 65530, Oct. 3, 1980; 46 FR 13979, Feb. 25, 1981; 47 FR 57480, Dec. 27, 1982; 52 FR 8241, Mar. 17, 1987; 58 FR 7736, Feb. 9, 1993; 66 FR 51838, Oct. 11, 2001; 66 FR 55790, Nov. 2, 2001] | (a) The Commission may, upon application of any interested person or upon its own initiative, grant such exemptions from the requirements of the regulations in this part and parts 31 through 36 and 39 of this chapter as it determines are authorized by law and will not endanger life or property or the common defense and security and are otherwise in the public interest. (b) Any licensee's activities are exempt from the requirements of this part to the extent that its activities are licensed under the requirements of part 72 of this chapter. (c) The Department of Energy is exempt from the requirements of this part to the extent that its activities are subject to the requirements of part 60 or 63 of this chapter. (d) Except as specifically provided in part 61 of this chapter, any licensee is exempt from the requirements of this part to the extent that its activities are subject to the requirements of part 61 of this chapter. | ||||||
| 10:10:1.0.1.1.20.0.86.12 | 10 | Energy | I | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.12 Persons using byproduct material under certain Department of Energy and Nuclear Regulatory Commission contracts. | NRC | [40 FR 8784, Mar. 3, 1975, as amended at 43 FR 6921, Feb. 17, 1978] | Except to the extent that Department facilities or activities of the types subject to licensing pursuant to section 202 of the Energy Reorganization Act of 1974 are involved, any prime contractor of the Department is exempt from the requirements for a license set forth in sections 81 and 82 of the Act and from the regulations in this part to the extent that such contractor, under his prime contract with the Department manufactures, produces, transfers, receives, acquires, owns, possesses, or uses byproduct material for: (a) The performance of work for the Department at a United States Government-owned or controlled site, including the transportation of byproduct material to or from such site and the performance of contract services during temporary interruptions of such transportation; (b) Research in, or development, manufacture, storage, testing or transportation of, atomic weapons or components thereof; or (c) The use or operation of nuclear reactors or other nuclear devices in a United States Government-owned vehicle or vessel. In addition to the foregoing exemptions and subject to the requirement for licensing of Department facilities and activities pursuant to section 202 of the Energy Reorganization Act of 1974, any prime contractor or subcontractor of the Department or the Commission is exempt from the requirements for a license set forth in sections 81 and 82 of the Act and from the regulations in this part to the extent that such prime contractor or subcontractor manufacturers, produces, transfers, receives, acquires, owns, possesses, or uses byproduct material under his prime contract or subcontract when the Commission determines that the exemption of the prime contractor or subcontractor is authorized by law; and that, under the terms of the contract or subcontract, there is adequate assurance that the work thereunder can be accomplished without undue risk to the public health and safety. | ||||||
| 10:10:1.0.1.1.20.0.86.13 | 10 | Energy | I | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.13 Carriers. | NRC | [78 FR 17006, Mar. 19, 2013] | Common and contract carriers, freight forwarders, warehousemen, and the U.S. Postal Service are exempt from the regulations in this part and parts 31 through 37 and 39 of this chapter and the requirements for a license set forth in section 81 of the Act to the extent that they transport or store byproduct material in the regular course of carriage for another or storage incident thereto. | ||||||
| 10:10:1.0.1.1.20.0.86.14 | 10 | Energy | I | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.14 Exempt concentrations. | NRC | [30 FR 8185, June 26, 1965, as amended at 40 FR 8785, Mar. 3, 1975; 43 FR 6921, Feb. 17, 1978; 52 FR 8241, Mar. 17, 1987; 58 FR 7736, Feb. 9, 1993; 72 FR 58486, Oct. 16, 2007] | (a) Except as provided in paragraphs (c) and (d) of this section, any person is exempt from the requirements for a license set forth in section 81 of the Act and from the regulations in this part and parts 31 through 36 and 39 of this chapter to the extent that such person receives, possesses, uses, transfers, owns or acquires products or materials containing byproduct material in concentrations not in excess of those listed in § 30.70. (b) This section shall not be deemed to authorize the import of byproduct material or products containing byproduct material. (c) A manufacturer, processor, or producer of a product or material is exempt from the requirements for a license set forth in section 81 of the Act and from the regulations in this part and parts 31 through 36 and 39 of this chapter to the extent that this person transfers byproduct material contained in a product or material in concentrations not in excess of those specified in § 30.70 and introduced into the product or material by a licensee holding a specific license issued by the Commission expressly authorizing such introduction. This exemption does not apply to the transfer of byproduct material contained in any food, beverage, cosmetic, drug, or other commodity or product designed for ingestion or inhalation by, or application to, a human being. (d) No person may introduce byproduct material into a product or material knowing or having reason to believe that it will be transferred to persons exempt under this section or equivalent regulations of an Agreement State, except in accordance with a license issued under § 32.11 of this chapter. | ||||||
| 10:10:1.0.1.1.20.0.86.15 | 10 | Energy | I | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.15 Certain items containing byproduct material. | NRC | [31 FR 5316, Apr. 2, 1966] | (a) Except for persons who apply byproduct material to, or persons who incorporate byproduct material into, the following products, or persons who initially transfer for sale or distribution the following products containing byproduct material, any person is exempt from the requirements for a license set forth in section 81 of the Act and from the regulations in parts 20 and 30 through 36 and 39 of this chapter to the extent that such person receives, possesses, uses, transfers, owns, or acquires the following products: (1) Timepieces or hands or dials containing not more than the following specified quantities of byproduct material and not exceeding the following specified levels of radiation: (i) 25 millicuries of tritium per timepiece, (ii) 5 millicuries of tritium per hand, (iii) 15 millicuries of tritium per dial (bezels when used shall be considered as part of the dial), (iv) 100 microcuries of promethium 147 per watch or 200 microcuries of promethium 147 per any other timepiece, (v) 20 microcuries of promethium 147 per watch hand or 40 microcuries of promethium 147 per other timepiece hand, (vi) 60 microcuries of promethium 147 per watch dial or 120 microcuries of promethium 147 per other timepiece dial (bezels when used shall be considered as part of the dial), (vii) The levels of radiation from hands and dials containing promethium 147 will not exceed, when measured through 50 milligrams per square centimeter of absorber: (A) For wrist watches, 0.1 millirad per hour at 10 centimeters from any surface, (B) For pocket watches, 0.1 millirad per hour at 1 centimeter from any surface, (C) For any other timepiece, 0.2 millirad per hour at 10 centimeters from any surface. (viii) 0.037 megabecquerel (1 microcurie) of radium-226 per timepiece in intact timepieces manufactured prior to November 30, 2007. (2)(i) Static elimination devices which contain, as a sealed source or sources, byproduct material consisting of a total of not more than 18.5 MBq (500 µCi) of polonium-210 per device. (ii) Ion gener… | ||||||
| 10:10:1.0.1.1.20.0.86.16 | 10 | Energy | I | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.18 Exempt quantities. | NRC | [35 FR 6427, Apr. 22, 1970, as amended at 36 FR 16898, Aug. 26, 1971; 43 FR 6921, Feb. 17, 1978; 52 FR 8241, Mar. 17, 1987; 58 FR 7736, Feb. 9, 1993; 72 FR 55925, Oct. 1, 2007; 72 FR 58486, Oct. 16, 2007] | (a) Except as provided in paragraphs (c) through (e) of this section, any person is exempt from the requirements for a license set forth in section 81 of the Act and from the regulations in parts 30 through 34, 36, and 39 of this chapter to the extent that such person receives, possesses, uses, transfers, owns, or acquires byproduct material in individual quantities, each of which does not exceed the applicable quantity set forth in § 30.71, Schedule B. (b) Any person, who possesses byproduct material received or acquired before September 25, 1971, under the general license then provided in § 31.4 of this chapter or similar general license of a State, is exempt from the requirements for a license set forth in section 81 of the Act and from the regulations in parts 30 through 34, 36 and 39 of this chapter to the extent that this person possesses, uses, transfers, or owns byproduct material. (c) This section does not authorize for purposes of commercial distribution the production, packaging, repackaging, or transfer of byproduct material or the incorporation of byproduct material into products intended for commercial distribution. (d) No person may, for purposes of commercial distribution, transfer byproduct material in the individual quantities set forth in § 30.71 Schedule B, knowing or having reason to believe that such quantities of byproduct material will be transferred to persons exempt under this section or equivalent regulations of an Agreement State, except in accordance with a license issued under § 32.18 of this chapter, which license states that the byproduct material may be transferred by the licensee to persons exempt under this section or the equivalent regulations of an Agreement State. (e) No person may, for purposes of producing an increased radiation level, combine quantities of byproduct material covered by this exemption so that the aggregate quantity exceeds the limits set forth in § 30.71, Schedule B, except for byproduct material combined within a device placed in use before May 3, 1999… | ||||||
| 10:10:1.0.1.1.20.0.86.17 | 10 | Energy | I | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.19 Self-luminous products containing tritium, krypton-85, or promethium-147. | NRC | [34 FR 9026, June 6, 1969, as amended at 40 FR 8785, Mar. 3, 1975; 43 FR 6921, Feb. 17, 1978; 52 FR 8241, Mar. 17, 1987; 58 FR 7736, Feb. 9, 1993; 77 FR 43689, July 25, 2012] | (a) Except for persons who manufacture, process, produce, or initially transfer for sale or distribution self-luminous products containing tritium, krypton-85, or promethium-147, and except as provided in paragraph (c) of this section, any person is exempt from the requirements for a license set forth in section 81 of the Act and from the regulations in parts 20 and 30 through 36 and 39 of this chapter to the extent that such person receives, possesses, uses, transfers, owns, or acquires tritium, krypton-85, or promethium-147 in self-luminous products manufactured, processed, produced, or initially transferred in accordance with a specific license issued pursuant to § 32.22 of this chapter, which license authorizes the initial transfer of the product for use under this section. (b) Any person who desires to manufacture, process, or produce, or initially transfer for sale or distribution self-luminous products containing tritium, krypton-85, or promethium-147 for use under paragraph (a) of this section, should apply for a license under § 32.22 of this chapter and for a certificate of registration in accordance with § 32.210 of this chapter. (c) The exemption in paragraph (a) of this section does not apply to tritium, krypton-85, or promethium-147 used in products primarily for frivolous purposes or in toys or adornments. | ||||||
| 10:10:1.0.1.1.20.0.86.18 | 10 | Energy | I | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.20 Gas and aerosol detectors containing byproduct material. | NRC | [77 FR 43689, July 25, 2012] | (a) Except for persons who manufacture, process, produce, or initially transfer for sale or distribution gas and aerosol detectors containing byproduct material, any person is exempt from the requirements for a license set forth in section 81 of the Act and from the regulations in parts 19, 20, 21, and 30 through 36 and 39 of this chapter to the extent that such person receives, possesses, uses, transfers, owns, or acquires byproduct material in gas and aerosol detectors designed to protect health, safety, or property, and manufactured, processed, produced, or initially transferred in accordance with a specific license issued under § 32.26 of this chapter, which license authorizes the initial transfer of the product for use under this section. This exemption also covers gas and aerosol detectors manufactured or distributed before November 30, 2007, in accordance with a specific license issued by a State under comparable provisions to § 32.26 of this chapter authorizing distribution to persons exempt from regulatory requirements. (b) Any person who desires to manufacture, process, or produce gas and aerosol detectors containing byproduct material, or to initially transfer such products for use under paragraph (a) of this section, should apply for a license under § 32.26 of this chapter and for a certificate of registration in accordance with § 32.210 of this chapter. | ||||||
| 10:10:1.0.1.1.20.0.86.19 | 10 | Energy | I | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.21 Radioactive drug: Capsules containing carbon-14 urea for “in vivo” diagnostic use for humans. | NRC | [62 FR 63640, Dec. 2, 1997] | (a) Except as provided in paragraphs (b) and (c) of this section, any person is exempt from the requirements for a license set forth in Section 81 of the Act and from the regulations in this part and part 35 of this chapter provided that such person receives, possesses, uses, transfers, owns, or acquires capsules containing 37 kBq (1 µCi) carbon-14 urea (allowing for nominal variation that may occur during the manufacturing process) each, for “in vivo” diagnostic use for humans. (b) Any person who desires to use the capsules for research involving human subjects shall apply for and receive a specific license pursuant to part 35 of this chapter. (c) Any person who desires to manufacture, prepare, process, produce, package, repackage, or transfer for commercial distribution such capsules shall apply for and receive a specific license pursuant to § 32.21 of this chapter. (d) Nothing in this section relieves persons from complying with applicable FDA, other Federal, and State requirements governing receipt, administration, and use of drugs. | ||||||
| 10:10:1.0.1.1.20.0.86.20 | 10 | Energy | I | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.22 Certain industrial devices. | NRC | [77 FR 43689, July 25, 2012] | (a) Except for persons who manufacture, process, produce, or initially transfer for sale or distribution industrial devices containing byproduct material designed and manufactured for the purpose of detecting, measuring, gauging or controlling thickness, density, level, interface location, radiation, leakage, or qualitative or quantitative chemical composition, or for producing an ionized atmosphere, any person is exempt from the requirements for a license set forth in section 81 of the Act and from the regulations in parts 19, 20, 21, 30 through 36, and 39 of this chapter to the extent that such person receives, possesses, uses, transfers, owns, or acquires byproduct material, in these certain detecting, measuring, gauging, or controlling devices and certain devices for producing an ionized atmosphere, and manufactured, processed, produced, or initially transferred in accordance with a specific license issued under § 32.30 of this chapter, which license authorizes the initial transfer of the device for use under this section. This exemption does not cover sources not incorporated into a device, such as calibration and reference sources. (b) Any person who desires to manufacture, process, produce, or initially transfer for sale or distribution industrial devices containing byproduct material for use under paragraph (a) of this section, should apply for a license under § 32.30 of this chapter and for a certificate of registration in accordance with § 32.210 of this chapter. | ||||||
| 10:10:1.0.1.1.20.0.87.21 | 10 | Energy | I | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.31 Types of licenses. | NRC | [65 FR 79187, Dec. 18, 2000] | Licenses for byproduct material are of two types: General and specific. (a) The Commission issues a specific license to a named person who has filed an application for the license under the provisions of this part and parts 32 through 36, and 39. (b) A general license is provided by regulation, grants authority to a person for certain activities involving byproduct material, and is effective without the filing of an application with the Commission or the issuance of a licensing document to a particular person. However, registration with the Commission may be required by the particular general license. | ||||||
| 10:10:1.0.1.1.20.0.87.22 | 10 | Energy | I | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.32 Application for specific licenses. | NRC | [30 FR 8185, June 26, 1965, as amended at 36 FR 145, Jan. 6, 1971; 37 FR 5747, Mar. 21, 1972; 43 FR 6922, Feb. 17, 1978; 49 FR 9403, Mar. 12, 1984; 49 FR 27924, July 9, 1984; 52 FR 27786, July 24, 1987; 53 FR 24044, June 27, 1988; 54 FR 14060, Apr. 7, 1989; 68 FR 58004, Oct. 10, 2003; 72 FR 55925, Oct. 1, 2007; 73 FR 63570, Oct. 24, 2008; 77 FR 43689, July 25, 2012; 79 FR 58671, Sept. 30, 2014; 88 FR 80949, Nov. 21, 2023] | (a) A person may file an application on NRC Form 313, “Application for Material License,” in accordance with the instructions in § 30.6 of this chapter. Information contained in previous applications, statements or reports filed with the Commission or the Atomic Energy Commission may be incorporated by reference, provided that the reference is clear and specific. (b) The Commission may at any time after the filing of the original application, and before the expiration of the license, require further statements in order to enable the Commission to determine whether the application should be granted or denied or whether a license should be modified or revoked. (c) Each application shall be signed by the applicant or licensee or a person duly authorized to act for and on his behalf. (d) An application for license filed pursuant to the regulations in this part and parts 32 through 35 of this chapter will be considered also as an application for licenses authorizing other activities for which licenses are required by the Act, provided that the application specifies the additional activities for which licenses are requested and complies with regulations of the Commission as to applications for such licenses. (e) Each application for a byproduct material license, other than a license exempted from part 170 of this chapter, shall be accompanied by the fee prescribed in § 170.31 of this chapter. No fee will be required to accompany an application for renewal or amendment of a license, except as provided in § 170.31 of this chapter. (f) An application for a license to receive and possess byproduct material for the conduct of any activity which the Commission has determined pursuant to subpart A of part 51 of this chapter will significantly affect the quality of the environment shall be filed at least 9 months prior to commencement of construction of the plant or facility in which the activity will be conducted and shall be accompanied by any Environmental Report required pursuant to subpart A of part 51 of this chapte… | ||||||
| 10:10:1.0.1.1.20.0.87.23 | 10 | Energy | I | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.33 General requirements for issuance of specific licenses. | NRC | [30 FR 8185, June 26, 1965, as amended at 36 FR 12731, July 7, 1971; 37 FR 5747, Mar. 21, 1972; 39 FR 26279, July 18, 1974; 43 FR 6922, Feb. 17, 1978; 49 FR 9403, Mar. 12, 1984; 52 FR 8241, Mar. 17, 1987; 58 FR 7736, Feb. 9, 1993; 73 FR 5717, Jan. 31, 2008; 76 FR 56962, Sept. 15, 2011; 78 FR 17006, Mar. 19, 2013] | (a) An application for a specific license will be approved if: (1) The application is for a purpose authorized by the Act; (2) The applicant's proposed equipment and facilities are adequate to protect health and minimize danger to life or property; (3) The applicant is qualified by training and experience to use the material for the purpose requested in such manner as to protect health and minimize danger to life or property; (4) The applicant satisfies any special requirements contained in parts 32 through 37 and 39 of this chapter; and (5) In the case of an application for a license to receive and possess byproduct material for the conduct of any activity which the NRC determines will significantly affect the quality of the environment, the Director, Office of Nuclear Material Safety and Safeguards or his/her designee, before commencement of construction of the plant or facility in which the activity will be conducted, on the basis of information filed and evaluations made pursuant to subpart A of part 51 of this chapter, has concluded, after weighing the environmental, economic, technical, and other benefits against environmental costs and considering available alternatives, that the action called for is the issuance of the proposed license, with any appropriate conditions to protect environmental values. Commencement of construction prior to such conclusion shall be grounds for denial of a license to receive and possess byproduct material in such plant or facility. Commencement of construction as defined in § 30.4 may include non-construction activities if the activity has a reasonable nexus to radiological safety and security. (b) Upon a determination that an application meets the requirements of the Act, and the regulations of the Commission, the Commission will issue a specific license authorizing the possession and use of byproduct material (Form NRC 374, “Byproduct Material License”). | ||||||
| 10:10:1.0.1.1.20.0.87.24 | 10 | Energy | I | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.34 Terms and conditions of licenses. | NRC | [30 FR 8185, June 26, 1965, as amended at 38 FR 33969, Dec. 10, 1973; 43 FR 6922, Feb. 17, 1978; 48 FR 32328, July 15, 1983; 52 FR 1295, Jan. 12, 1987; 52 FR 8241, Mar. 17, 1987; 53 FR 19245, May 27, 1988; 53 FR 23383, June 22, 1988; 54 FR 14061, Apr. 7, 1989; 58 FR 7736, Feb. 9, 1993; 59 FR 61780, Dec. 2, 1994; 65 FR 79187, Dec. 18, 2000; 70 FR 2009, Jan. 12, 2005; 72 FR 55926, Oct. 1, 2007; 73 FR 63570, Oct. 24, 2008; 73 FR 78604, Dec. 23, 2008; 74 FR 7785, Feb. 20, 2009; 76 FR 35564, June 17, 2011; 77 FR 39905, July 6, 2012; 79 FR 58671, Sept. 30, 2014; 83 FR 33101, July 16, 2018] | (a) Each license issued pursuant to the regulations in this part and the regulations in parts 31 through 36 and 39 of this chapter shall be subject to all the provisions of the Act, now or hereafter in effect, and to all valid rules, regulations and orders of the Commission. (b)(1) No license issued or granted pursuant to the regulations in this part and parts 31 through 36, and 39 nor any right under a license shall be transferred, assigned or in any manner disposed of, either voluntarily or involuntarily, directly or indirectly, through transfer of control of any license to any person, unless the Commission shall, after securing full information, find that the transfer is in accordance with the provisions of the Act and shall give its consent in writing. (2) An application for transfer of license must include: (i) The identity, technical and financial qualifications of the proposed transferee; and (ii) Financial assurance for decommissioning information required by § 30.35. (c) Each person licensed by the Commission pursuant to the regulations in this part and parts 31 through 36 and 39 shall confine his possession and use of the byproduct material to the locations and purposes authorized in the license. Except as otherwise provided in the license, a license issued pursuant to the regulations in this part and parts 31 through 36 and 39 of this chapter shall carry with it the right to receive, acquire, own, and possess byproduct material. Preparation for shipment and transport of byproduct material shall be in accordance with the provisions of part 71 of this chapter. (d) Each license issued pursuant to the regulations in this part and parts 31 through 36 and 39 shall be deemed to contain the provisions set forth in section 183b.-d., inclusive, of the Act, whether or not these provisions are expressly set forth in the license. (e) The Commission may incorporate, in any license issued pursuant to the regulations in this part and parts 31 through 36 and 39, at the time of issuance, or thereafter by appropri… | ||||||
| 10:10:1.0.1.1.20.0.87.25 | 10 | Energy | I | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.35 Financial assurance and recordkeeping for decommissioning. | NRC | [53 FR 24044, June 27, 1988, as amended at 56 FR 23471, May 21, 1991; 58 FR 39633, July 26, 1993; 58 FR 67659, Dec. 22, 1993; 58 FR 68730, Dec. 29, 1993; 59 FR 1618, Jan. 12, 1994; 60 FR 38238, July 26, 1995; 61 FR 24673, May 16, 1996; 62 FR 39090, July 21, 1997; 63 FR 29541, June 1, 1998; 68 FR 57335, Oct. 3, 2003; 76 FR 35564, June 17, 2011] | (a)(1) Each applicant for a specific license authorizing the possession and use of unsealed byproduct material of half-life greater than 120 days and in quantities exceeding 10 5 times the applicable quantities set forth in appendix B to part 30 shall submit a decommissioning funding plan as described in paragraph (e) of this section. The decommissioning funding plan must also be submitted when a combination of isotopes is involved if R divided by 10 5 is greater than 1 (unity rule), where R is defined here as the sum of the ratios of the quantity of each isotope to the applicable value in appendix B to part 30. (2) Each holder of, or applicant for, any specific license authorizing the possession and use of sealed sources or plated foils of half-life greater than 120 days and in quantities exceeding 10 12 times the applicable quantities set forth in appendix B to part 30 (or when a combination of isotopes is involved if R, as defined in § 30.35(a)(1), divided by 10 12 is greater than 1), shall submit a decommissioning funding plan as described in paragraph (e) of this section. The decommissioning funding plan must be submitted to NRC by December 2, 2005. (b) Each applicant for a specific license authorizing possession and use of byproduct material of half-life greater than 120 days and in quantities specified in paragraph (d) of this section shall either— (1) Submit a decommissioning funding plan as described in paragraph (e) of this section; or (2) Submit a certification that financial assurance for decommissioning has been provided in the amount prescribed by paragraph (d) of this section using one of the methods described in paragraph (f) of this section. For an applicant, this certification may state that the appropriate assurance will be obtained after the application has been approved and the license issued but before the receipt of licensed material. If the applicant defers execution of the financial instrument until after the license has been issued, a signed original of the financial instrum… | ||||||
| 10:10:1.0.1.1.20.0.87.26 | 10 | Energy | I | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.36 Expiration and termination of licenses and decommissioning of sites and separate buildings or outdoor areas. | NRC | [59 FR 36034, July 15, 1994, as amended at 60 FR 38238, July 26, 1995; 61 FR 1114, Jan. 16, 1996; 61 FR 24673, May 16, 1996; 61 FR 29637, June 12, 1996; 62 FR 39090, July 21, 1997; 73 FR 42673, July 23, 2008; 81 FR 86909, Dec. 2, 2016] | (a) Each specific license expires at the end of the day on the expiration date stated in the license, unless the licensee has filed an application for renewal under § 30.37 not less than 30 days before the expiration date stated in the existing license. If an application for renewal has been filed at least 30 days before the expiration date stated in the existing license, the existing license expires at the end of the day on which the Commission makes a final determination to deny the renewal application or, if the determination states an expiration date, the expiration date stated in the determination. (b) Each specific license revoked by the Commission expires at the end of the day on the date of the Commission's final determination to revoke the license, or on the expiration date stated in the determination, or as otherwise provided by Commission Order. (c) Each specific license continues in effect, beyond the expiration date if necessary, with respect to possession of byproduct material until the Commission notifies the licensee in writing that the license is terminated. During this time, the licensee shall— (1) Limit actions involving byproduct material to those related to decommissioning; and (2) Continue to control entry to restricted areas until they are suitable for release in accordance with NRC requirements. (d) Within 60 days of the occurrence of any of the following, consistent with the administrative directions in § 30.6, each licensee shall provide notification to the NRC in writing of such occurrence, and either begin decommissioning its site, or any separate building or outdoor area that contains residual radioactivity so that the building or outdoor area is suitable for release in accordance with NRC requirements, or submit within 12 months of notification a decommissioning plan, if required by paragraph (g)(1) of this section, and begin decommissioning upon approval of that plan if— (1) The license has expired pursuant to paragraph (a) or (b) of this section; or (2) The licensee has deci… | ||||||
| 10:10:1.0.1.1.20.0.87.27 | 10 | Energy | I | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.37 Application for renewal of licenses. | NRC | [75 FR 73942, Nov. 30, 2010] | Application for renewal of a specific license must be filed on NRC Form 313 and in accordance with § 30.32. | ||||||
| 10:10:1.0.1.1.20.0.87.28 | 10 | Energy | I | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.38 Application for amendment of licenses and registration certificates. | NRC | [77 FR 43690, July 25, 2012] | Applications for amendment of a license must be filed in accordance with § 30.32 and must specify the respects in which the licensee desires its license to be amended and the grounds for the amendment. Applications for amendment of sealed source and device registration certificates must be filed in accordance with § 32.210 of this chapter and any other applicable provisions and must specify the respects in which the certificate holder desires its certificate to be amended and the grounds for the amendment. | ||||||
| 10:10:1.0.1.1.20.0.87.29 | 10 | Energy | I | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.39 Commission action on applications to renew or amend. | NRC | [77 FR 43690, July 25, 2012] | In considering an application to renew or amend a license or to amend a sealed source or device registration certificate, the Commission will apply the applicable criteria set forth in § 30.33 and parts 32 through 36 and 39 of this chapter. | ||||||
| 10:10:1.0.1.1.20.0.87.30 | 10 | Energy | I | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.41 Transfer of byproduct material. | NRC | [38 FR 33969, Dec. 10, 1973, as amended at 40 FR 8785, Mar. 3, 1975; 43 FR 6922, Feb. 17, 1978] | (a) No licensee shall transfer byproduct material except as authorized pursuant to this section. (b) Except as otherwise provided in his license and subject to the provisions of paragraphs (c) and (d) of this section, any licensee may transfer byproduct material: (1) To the Department; (2) To the agency in any Agreement State which regulates radioactive material pursuant to an agreement under section 274 of the Act; (3) To any person exempt from the licensing requirements of the Act and regulations in this part, to the extent permitted under such exemption; (4) To any person in an Agreement State, subject to the jurisdiction of that State, who has been exempted from the licensing requirements and regulations of that State, to the extent permitted under such exemption; (5) To any person authorized to receive such byproduct material under terms of a specific license or a general license or their equivalents issued by the Atomic Energy Commission, the Commission, or an Agreement State; (6) To a person abroad pursuant to an export license issued under part 110 of this chapter; or (7) As otherwise authorized by the Commission in writing. (c) Before transferring byproduct material to a specific licensee of the Commission or an Agreement State or to a general licensee who is required to register with the Commission or with an Agreement State prior to receipt of the byproduct material, the licensee transferring the material shall verify that the transferee's license authorizes the receipt of the type, form, and quantity of byproduct material to be transferred. (d) The following methods for the verification required by paragraph (c) of this section are acceptable: (1) The transferor may have in his possession, and read, a current copy of the transferee's specific license or registration certificate; (2) The transferor may have in his possession a written certification by the transferee that he is authorized by license or registration certificate to receive the type, form, and quantity of byproduct material to … | ||||||
| 10:10:1.0.1.1.20.0.88.31 | 10 | Energy | I | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.50 Reporting requirements. | NRC | [56 FR 40767, Aug. 16, 1991, as amended at 59 FR 14086, Mar. 25, 1994; 68 FR 58804, Oct. 10, 2003; 85 FR 65661, Oct. 16, 2020] | (a) Immediate report. Each licensee shall notify the NRC as soon as possible but not later than 4 hours after the discovery of an event that prevents immediate protective actions necessary to avoid exposures to radiation or radioactive materials that could exceed regulatory limits or releases of licensed material that could exceed regulatory limits (events may include fires, explosions, toxic gas releases, etc.). (b) Twenty-four hour report. Each licensee shall notify the NRC within 24 hours after the discovery of any of the following events involving licensed material: (1) An unplanned contamination event that: (i) Requires access to the contaminated area, by workers or the public, to be restricted for more than 24 hours by imposing additional radiological controls or by prohibiting entry into the area; (ii) Involves a quantity of material greater than five times the lowest annual limit on intake specified in appendix B of §§ 20.1001-20.2401 of 10 CFR part 20 for the material; and (iii) Has access to the area restricted for a reason other than to allow isotopes with a half-life of less than 24 hours to decay prior to decontamination. (2) An event in which equipment is disabled or fails to function as designed when: (i) The equipment is required by regulation or license condition to prevent releases exceeding regulatory limits, to prevent exposures to radiation and radioactive materials exceeding regulatory limits, or to mitigate the consequences of an accident; (ii) The equipment is required to be available and operable when it is disabled or fails to function; and (iii) No redundant equipment is available and operable to perform the required safety function. (3) An event that requires unplanned medical treatment at a medical facility of an individual with spreadable radioactive contamination on the individual's clothing or body. (4) An unplanned fire or explosion damaging any licensed material or any device, container, or equipment containing licensed material when: (i) The quantity of material … | ||||||
| 10:10:1.0.1.1.20.0.88.32 | 10 | Energy | I | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.51 Records. | NRC | [41 FR 18301, May 5, 1976, as amended at 43 FR 6922, Feb. 17, 1978; 52 FR 8241, Mar. 17, 1987; 53 FR 19245, May 27, 1988; 58 FR 7736, Feb. 9, 1993; 61 FR 24673, May 16, 1996] | (a) Each person who receives byproduct material pursuant to a license issued pursuant to the regulations in this part and parts 31 through 36 of this chapter shall keep records showing the receipt, transfer, and disposal of the byproduct material as follows: (1) The licensee shall retain each record of receipt of byproduct material as long as the material is possessed and for three years following transfer or disposal of the material. (2) The licensee who transferred the material shall retain each record of transfer for three years after each transfer unless a specific requirement in another part of the regulations in this chapter dictates otherwise. (3) The licensee who disposed of the material shall retain each record of disposal of byproduct material until the Commission terminates each license that authorizes disposal of the material. (b) The licensee shall retain each record that is required by the regulations in this part and parts 31 through 36 of this chapter or by license condition for the period specified by the appropriate regulation or license condition. If a retention period is not otherwise specified by regulation or license condition, the record must be retained until the Commission terminates each license that authorizes the activity that is subject to the recordkeeping requirement. (c)(1) Records which must be maintained pursuant to this part and parts 31 through 36 of this chapter may be the original or a reproduced copy or microform if such reproduced copy or microform is duly authenticated by authorized personnel and the microform is capable of producing a clear and legible copy after storage for the period specified by Commission regulations. The record may also be stored in electronic media with the capability for producing legible, accurate, and complete records during the required retention period. Records such as letters, drawings, specifications, must include all pertinent information such as stamps, initials, and signatures. The licensee shall maintain adequate safeguards against t… | ||||||
| 10:10:1.0.1.1.20.0.88.33 | 10 | Energy | I | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.52 Inspections. | NRC | [30 FR 8185, June 26, 1965] | (a) Each licensee shall afford to the Commission at all reasonable times opportunity to inspect byproduct material and the premises and facilities wherein byproduct material is used or stored. (b) Each licensee shall make available to the Commission for inspection, upon reasonable notice, records kept by him pursuant to the regulations in this chapter. | ||||||
| 10:10:1.0.1.1.20.0.88.34 | 10 | Energy | I | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.53 Tests. | NRC | [30 FR 8185, June 26, 1965, as amended at 43 FR 6922, Feb. 17, 1978; 52 FR 8241, Mar. 17, 1987; 58 FR 7736, Feb. 9, 1993] | Each licensee shall perform, or permit the Commission to perform, such tests as the Commission deems appropriate or necessary for the administration of the regulations in this part and parts 31 through 36 and 39 of this chapter, including tests of: (a) Byproduct material; (b) Facilities wherein byproduct material is utilized or stored; (c) Radiation detection and monitoring instruments; and (d) Other equipment and devices used in connection with the utilization or storage of byproduct material. | ||||||
| 10:10:1.0.1.1.20.0.88.35 | 10 | Energy | I | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.55 Tritium reports. | NRC | [37 FR 9208, May 6, 1972, as amended at 38 FR 1271, Jan. 11, 1973; 38 FR 2330, Jan. 24, 1973; 41 FR 16446, Apr. 19, 1976; 43 FR 6922, Feb. 17, 1978; 46 FR 55085, Nov. 6, 1981; 49 FR 24707, June 15, 1984; 52 FR 31611, Aug. 21, 1987; 68 FR 58804, Oct. 10, 2003; 73 FR 5718, Jan. 31, 2008] | (a)-(b) [Reserved] (c) Except as specified in paragraph (d) of this section, each licensee who is authorized to possess tritium shall report promptly to the appropriate NRC Regional Office listed in appendix D of part 20 of this chapter by telephone and telegraph, mailgram, or facsimile any incident in which an attempt has been made or is believed to have been made to commit a theft or unlawful diversion of more than 10 curies of such material at any one time or more than 100 curies of such material in any one calendar year. The initial report shall be followed within a period of fifteen (15) days by a written report submitted to the appropriate NRC Regional Office which sets forth the details of the incident and its consequences. Copies of such written report shall be sent to the Director, Office of Nuclear Material Safety and Safeguards , using an appropriate method listed in § 30.6(a). Subsequent to the submission of the written report required by this paragraph, the licensee shall promptly inform the Office of Nuclear Material Safety and Safeguards by means of a written report of any substantive additional information, which becomes available to the licensee, concerning an attempted or apparent theft or unlawful diversion of tritium. (d) The reports described in this section are not required for tritium possessed pursuant to a general license provided in part 31 of this chapter or for tritium contained in spent fuel. | ||||||
| 10:10:1.0.1.1.20.0.89.36 | 10 | Energy | I | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.61 Modification and revocation of licenses and registration certificates. | NRC | [77 FR 43690, July 25, 2012] | (a) The terms and conditions of each license and registration certificate issued under the regulations in this part and parts 31 through 36 and 39 of this chapter shall be subject to amendment, revision, or modification by reason of amendments to the Act, or by reason of rules, regulations, and orders issued in accordance with the terms of the Act. (b) Any license or registration certificate may be revoked, suspended, or modified, in whole or in part, for any material false statement in the application or in any statement of fact required under section 182 of the Act, or because of conditions revealed by such application or statement of fact or any report, record, or inspection or other means that would warrant the Commission to refuse to grant a license or registration certificate on an original application, or for violation of, or failure to observe any of the terms and provisions of the Act or of any rule, regulation, or order of the Commission. (c) Except in cases of willfulness or those in which the public health, interest, or safety requires otherwise, no license or registration certificate shall be modified, suspended, or revoked unless, before the institution of proceedings therefor, facts or conduct that may warrant such action shall have been called to the attention of the licensee or certificate holder in writing and the licensee or certificate holder shall have been given an opportunity to demonstrate or achieve compliance with all lawful requirements. | ||||||
| 10:10:1.0.1.1.20.0.89.37 | 10 | Energy | I | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.62 Right to cause the withholding or recall of byproduct material. | NRC | [30 FR 8185, June 26, 1965, as amended at 40 FR 8785, Mar. 3, 1975] | The Commission may cause the withholding or recall of byproduct material from any licensee who is not equipped to observe or fails to observe such safety standards to protect health as may be established by the Commission, or who uses such materials in violation of law or regulation of the Commission, or in a manner other than as disclosed in the application therefor or approved by the Commission. | ||||||
| 10:10:1.0.1.1.20.0.89.38 | 10 | Energy | I | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.63 Violations. | NRC | [57 FR 55072, Nov. 24, 1992] | (a) The Commission may obtain an injunction or other court order to prevent a violation of the provisions of— (1) The Atomic Energy Act of 1954, as amended; (2) Title II of the Energy Reorganization Act of 1974, as amended; or (3) A regulation or order issued pursuant to those Acts. (b) The Commission may obtain a court order for the payment of a civil penalty imposed under section 234 of the Atomic Energy Act: (1) For violations of— (i) Sections 53, 57, 62, 63, 81, 82, 101, 103, 104, 107, or 109 of the Atomic Energy Act of 1954, as amended; (ii) Section 206 of the Energy Reorganization Act; (iii) Any rule, regulation, or order issued pursuant to the sections specified in paragraph (b)(1)(i) of this section; (iv) Any term, condition, or limitation of any license issued under the sections specified in paragraph (b)(1)(i) of this section. (2) For any violation for which a license may be revoked under section 186 of the Atomic Energy Act of 1954, as amended. | ||||||
| 10:10:1.0.1.1.20.0.89.39 | 10 | Energy | I | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.64 Criminal penalties. | NRC | [57 FR 55072, Nov. 24, 1992, as amended at 73 FR 42673, July 23, 2008] | (a) Section 223 of the Atomic Energy Act of 1954, as amended, provides for criminal sanctions for willful violation of, attempted violation of, or conspiracy to violate, any regulation issued under sections 161b, 161i, or 161o of the Act. For purposes of section 223, all the regulations in part 30 are issued under one or more of sections 161b, 161i, or 161o, except for the sections listed in paragraph (b) of this section. (b) The regulations in part 30 that are not issued under sections 161b, 161i, or 161o for the purposes of section 223 are as follows: §§ 30.1, 30.2, 30.4, 30.5, 30.6, 30.8, 30.11, 30.12, 30.13, 30.15, 30.31, 30.32, 30.33, 30.37, 30.38, 30.39, 30.61, 30.62, 30.63, 30.64, 30.70, 30.71, and 30.72. | ||||||
| 10:10:1.0.1.1.20.0.90.40 | 10 | Energy | I | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.70 Schedule A—Exempt concentrations. | NRC | [30 FR 8185, June 26, 1965, as amended at 35 FR 3982, Mar. 3, 1970; 38 FR 29314, Oct. 24, 1973; 59 FR 5520, Feb. 7, 1994] | [See footnotes at end of this table] Footnotes to Schedule A: 1 Values are given only for those materials normally used as gases. 2 µCi/gm for solids. Note 1: Many radioisotopes disintegrate into isotopes which are also radioactive. In expressing the concentrations in Schedule A, the activity stated is that of the parent isotope and takes into account the daughters. Note 2: For purposes of § 30.14 where there is involved a combination of isotopes, the limit for the combination should be derived as follows: Determine for each isotope in the product the ratio between the concentration present in the product and the exempt concentration established in Schedule A for the specific isotope when not in combination. The sum of such ratios may not exceed “1” ( i.e. , unity). Example: | ||||||
| 10:10:1.0.1.1.20.0.90.41 | 10 | Energy | I | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.71 Schedule B. | NRC | [35 FR 6427, Apr. 22, 1970, as amended at 36 FR 16898, Aug. 26, 1971; 59 FR 5519, Feb. 7, 1994; 72 FR 55926, Oct. 1, 2007] | |||||||
| 10:10:1.0.1.1.20.0.90.42 | 10 | Energy | I | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.72 Schedule C—Quantities of radioactive materials requiring consideration of the need for an emergency plan for responding to a release. | NRC | [54 FR 14061, Apr. 7, 1989, as amended at 61 FR 9902, Mar. 12, 1996; 72 FR 55926, Oct. 1, 2007] | 1 For combinations of radioactive materials, consideration of the need for an emergency plan is required if the sum of the ratios of the quantity of each radioactive material authorized to the quantity listed for that material in Schedule C exceeds one. 2 Waste packaged in Type B containers does not require an emergency plan. | ||||||
| 15:15:1.2.1.1.1.1.5.1 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | A | Subpart A—General Requirements | § 30.1 Purpose and definitions. | BIS | [73 FR 31555, June 2, 2008, as amended at 74 FR 38916, Aug. 5, 2009; 78 FR 16373, Mar. 14, 2013; 82 FR 18388, Apr. 19, 2017; 82 FR 43843, Sept. 20, 2017; 83 FR 17751, Apr. 24, 2018; 90 FR 39118, Aug. 14, 2025] | (a) This part sets forth the Foreign Trade Regulations (FTR) as required under the provisions of Title 13, United States Code (U.S.C.), Chapter 9, section 301. These regulations are revised pursuant to provisions of the Foreign Relations Authorization Act, Public Law 107-228 (the Act). This Act authorizes the Secretary of Commerce, with the concurrence of the Secretary of State and the Secretary of Homeland Security, to publish regulations mandating that all persons who are required to file export information under Chapter 9 of 13 U.S.C., file such information through the Automated Export System (AES) for all shipments where a Shipper's Export Declaration (SED) was previously required. The law further authorizes the Secretary of Commerce to issue regulations regarding imposition of civil and criminal penalties for violations of the provisions of the Act and these regulations. (b) Electronic filing through the AES strengthens the U.S. government's ability to prevent the export of certain items to unauthorized destinations and/or end users because the AES aids in targeting, identifying, and when necessary confiscating suspicious or illegal shipments prior to exportation. (c) Definitions used in the FTR. As used in this part, the following definitions apply: AES applicant. The USPPI or authorized agent who reports export information electronically to the AES, or through AES Direct. AESDirect. An Internet portal within the Automated Commercial Environment that allows USPPIs and authorized agents to transmit EEI to the AES. All regulatory requirements pertaining to the AES also apply to AES Direct. AES downtime filing citation. A statement used in place of a proof of filing citation when the AES or AES Direct are inoperable. Air waybill. The shipping document used for the transportation of air freight includes conditions, limitations of liability, shipping instructions, description of commodity, and applicable transportation charges. It is generally similar to a straight non-negotiable bill of lading and is… | ||||
| 15:15:1.2.1.1.1.1.5.10 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | A | Subpart A—General Requirements | § 30.10 Retention of export information and the authority to require production of documents. | BIS | [73 FR 31555, June 2, 2008, as amended at 82 FR 18391, Apr. 19, 2017; 90 FR 39121, Aug. 14, 2025] | (a) Retention of export information. All parties to the export transaction (USPPIs, FPPIs, authorized agents, and/or owners and operators of export carriers) shall retain documents pertaining to the export shipment for five years from the date of export. If the Department of State or other regulatory agency has recordkeeping requirements for exports that exceed the retention period specified in this part, then those requirements prevail. The USPPI or the authorized agent may request a copy of the electronic record or submission from the Census Bureau as provided for in Subpart G of this part. The Census Bureau's retention and maintenance of AES records does not relieve filers from requirements in § 30.10. As set forth in § 30.60(c)(4), the USPPI, the authorized agent, or a representative of the USPPI shall not disclose the EEI to a foreign person or foreign government, including the foreign entity as the USPPI or the FPPI. For items in this section, a foreign entity as the USPPI and the FPPI shall retain documents pertaining to the export shipment as a party to the export transaction; however, the EEI shall not be disclosed to a foreign person or foreign government either in whole or in part. (b) Authority to require production of documents. For purposes of verifying the completeness and accuracy of information reported as required under § 30.6, and for other purposes under the regulations in this part, all parties to the export transaction (owners and operators of the exporting carriers, USPPIs, FPPIs, and/or authorized agents) shall provide upon request to the Census Bureau, CBP, ICE, BIS and other participating agencies EEI, shipping documents, invoices, orders, packing lists, and correspondence as well as any other relevant information bearing upon a specific export transaction at anytime within the five year time period. Section 1252(b)(2) of Public Law 106-113, Proliferation Prevention Enhancement Act of 1999, required the Department of Commerce to print and maintain on file a paper copy or other acc… | ||||
| 15:15:1.2.1.1.1.1.5.11 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | A | Subpart A—General Requirements | §§ 30.11-30.14 [Reserved] | BIS | ||||||
| 15:15:1.2.1.1.1.1.5.2 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | A | Subpart A—General Requirements | § 30.2 General requirements for filing Electronic Export Information (EEI). | BIS | [73 FR 31555, June 2, 2008, as amended at 78 FR 16375, Mar. 14, 2013; 82 FR 18389, Apr. 19, 2017; 88 FR 54326, Aug. 10, 2023; 90 FR 39118, Aug. 14, 2025] | (a) Filing requirements. (1) The EEI shall be filed through the AES by the United States Principal Party In Interest (USPPI), the USPPI's authorized agent, or the authorized U.S. agent of the Foreign Principal Party In Interest (FPPI) for all exports of physical goods, including shipments moving pursuant to orders received over the Internet. The Automated Export System (AES) is the electronic system for collecting Shipper's Export Declaration (SED) (or any successor document) information from persons exporting goods from the United States, Puerto Rico, Foreign Trade Zones (FTZs) located in the United States or Puerto Rico, 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. Exceptions, exclusions, and exemptions to this requirement are provided for in paragraph (d) of this section and Subpart D of this part. References to the AES also shall apply to AES Direct unless otherwise specified. For purposes of the regulations in this part, the SED information shall be referred to as EEI. Filing through the AES shall be done in accordance with the definitions, specifications, and requirements of the regulations in this part for all export shipments, except as specifically excluded in § 30.2(d) or exempted in Subpart D of this part, when shipped as follows: (i) To foreign countries or areas, including free (foreign trade) zones located therein (see § 30.36 for exemptions for shipments from the United States to Canada) from any of the following: (A) The United States, including the 50 states and the District of Columbia. (B) Puerto Rico. (C) FTZs located in the United States or Puerto Rico. (D) The U.S. Virgin Islands. (ii) Between any of the following nonforeign areas including goods previously admitted to customs warehouses or FTZs and moving under a U.S. Customs and Border Protection (CBP) bond: (A) To Puerto Rico from the United States. (B) To the United States from Puerto Rico. (C) To the U.S. Virgin Islands from the Unit… | ||||
| 15:15:1.2.1.1.1.1.5.3 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | A | Subpart A—General Requirements | § 30.3 Electronic Export Information filer requirements, parties to export transactions, and responsibilities of parties to export transactions. | BIS | [73 FR 31555, June 2, 2008, as amended at 74 FR 38916, Aug. 5, 2009; 78 FR 16375, Mar. 14, 2013; 82 FR 18389, Apr. 19, 2017; 82 FR 43843, Sept 20, 2017; 88 FR 54326, Aug. 10, 2023; 90 FR 39118, Aug. 14, 2025] | All parties that participate in an export transaction subject to the FTR must comply with the FTR. There are two types of export transactions: standard and routed. International commercial terms, terms of sale, and industry or other agreements do not determine the type of or parties to the export transaction, as they have no regulatory basis. (a) General filer requirements. The filer of EEI for export transactions is either the USPPI, or the U.S. authorized agent. All EEI submitted to the AES shall be complete, correct, and based on personal knowledge of the facts stated or on information furnished by the parties to the export transaction. The filer shall be physically located in the United States at the time of filing, have an EIN or DUNS and be certified to report in the AES. In the event that the filer does not have an EIN or DUNS, the filer must obtain an EIN from the Internal Revenue Service. The filer is responsible for the truth, accuracy, and completeness of the EEI, except insofar as that party can demonstrate that it reasonably relied on information furnished by other responsible persons participating in the transaction. All parties involved in export transactions, including U.S. authorized agents, should be aware that invoices and other commercial documents may not necessarily contain all the information needed to prepare the EEI. The parties shall ensure that all information needed for reporting to the AES, including correct export licensing information, is provided to the U.S. authorized agent for the purpose of correctly preparing the EEI. (1) The filer of EEI for export transactions is either the USPPI or the authorized agent. If a foreign entity is the USPPI, they are prohibited from filing the EEI and must authorize an agent to file on their behalf. (2) The filer shall maintain a physical office or residence in the United States, be physically located in the United States at the time of preparing and filing the EEI, and have an EIN or DUNS and be certified to report in the AES. If the file… | ||||
| 15:15:1.2.1.1.1.1.5.4 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | A | Subpart A—General Requirements | § 30.4 Electronic Export Information filing procedures, deadlines, and certification statements. | BIS | [73 FR 31555, June 2, 2008, as amended at 78 FR 16376, Mar. 14, 2013; 82 FR 18390, Apr. 19, 2017; 82 FR 43843, Sept. 20, 2017; 83 FR 17751, Apr. 24, 2018; 90 FR 39119, Aug. 14, 2025] | Two electronic filing options (predeparture and postdeparture) for transmitting EEI are available to the USPPI or authorized agent. The electronic postdeparture filing takes into account that complete information concerning export shipments may not always be available prior to exportation and accommodates these circumstances by providing, when authorized, for filing of EEI after departure. For example, for exports of seasonal and agricultural commodities, only estimated quantities, values, and consignees may be known prior to exportation. The procedures for obtaining certification as an AES filer and for applying for authorization to file on a postdeparture basis are described in § 30.5. (a) EEI transmitted predeparture. The EEI shall always be transmitted prior to departure for the following types of shipments: (1) Used self-propelled vehicles as defined in 19 CFR 192.1 of U.S. Customs and Border Protection regulations. (2) Essential and precursor chemicals requiring a permit from the DEA; (3) Shipments defined as “sensitive” by Executive Order; (4) Shipments where a U.S. government agency requires predeparture filing; (5) Shipments defined as “routed export transactions” (see § 30.3(e)); (6) Shipments where complete outbound manifests are required prior to clearing vessels going directly to the countries identified in U.S. Customs and Border Protection regulations 19 CFR 4.75(c) and aircraft going directly or indirectly to those countries. (See U.S. Customs and Border Protection regulation 19 CFR 122.74(b)(2)); (7) Items identified on the USML of the ITAR (22 CFR 121); (8) Shipments that require a license from the BIS and exports listed under BIS's grounds for denial of postdeparture filing status (see 15 CFR 758.2); (9) Shipments that require a license from the Nuclear Regulatory Commission. (10) Shipments of rough diamonds classified under HS subheadings 7102.10, 7102.21, and 7102.31 and exported (reexported) in accordance with the Kimberley Process; and (11) Shipments for which the USPPI has no… | ||||
| 15:15:1.2.1.1.1.1.5.5 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | A | Subpart A—General Requirements | § 30.5 Electronic Export Information filing processes and standards. | BIS | [73 FR 31555, June 2, 2008, as amended at 78 FR 16376, Mar. 14, 2013; 82 FR 18390, Apr. 19, 2017; 90 FR 39120, Aug. 14, 2025] | (a)-(b) [Reserved] (c) Postdeparture filing approval process. Postdeparture filing is a privilege granted to approved USPPIs for their EEI to be filed up to five (5) calendar days after the date of export. The USPPI or its authorized agent may not transmit EEI postdeparture for certain types of shipments that are identified in § 30.4(a). The USPPI may apply for postdeparture filing privileges by submitting a postdeparture filing application at www.census.gov/aes. An authorized agent may not apply on behalf of a USPPI. The Census Bureau will distribute the applications submitted by USPPI's who are applying for postdeparture to the CBP and the other federal government partnership agencies for their review and approval. Failure to meet the standards of the Census Bureau, CBP or any of the partnership agencies is reason for denial of the AES applicant for postdeparture filing privileges. Each partnership agency will develop its own internal postdeparture filing acceptance standards, and each agency will notify the Census Bureau of the USPPI's success or failure to meet that agency's acceptance standards. Any partnership agency may require additional information from USPPIs that are applying for postdeparture filing. The Census Bureau will notify the USPPI of the decision to either deny or approve its application for postdeparture filing privileges within ninety (90) calendar days of receipt of the postdeparture filing application by the Census Bureau. (1) Grounds for denial of postdeparture filing status. The Census Bureau may deny a USPPI's application for postdeparture filing privileges for any of the following reasons: (i) There is no history of filing for the USPPI through the AES. (ii) The USPPI's volume of EEI reported through the AES does not warrant participation in postdeparture filing. (iii) The USPPI or its authorized agent has failed to submit EEI through the AES in a timely and accurate manner. (iv) The USPPI has a history of noncompliance with the Census Bureau export regulations contained i… | ||||
| 15:15:1.2.1.1.1.1.5.6 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | A | Subpart A—General Requirements | § 30.6 Electronic Export Information data elements. | BIS | [73 FR 31555, June 2, 2008, as amended at 74 FR 38916, Aug. 5, 2009; 78 FR 16376, Mar. 14, 2013; 82 FR 18390, Apr. 19, 2017; 82 FR 43843, Sept. 20, 2017; 88 FR 54236, Aug. 10, 2023; 90 FR 39120, Aug. 14, 2025] | The information specified in this section is required for EEI transmitted to the AES. The data elements identified as “mandatory” shall be reported for each transaction. The data elements identified as “conditional” shall be reported if they are required for or apply to the specific shipment. The data elements identified as “optional” may be reported at the discretion of the USPPI or the authorized agent. Additional data elements may be required to be reported in the AES in accordance with other federal agencies' regulations. Refer to the other agencies' regulations for reporting requirements. (a) Mandatory data elements are as follows: (1) USPPI. The person in the United States that receives the primary benefit, monetary or otherwise, from the export transaction. See § 30.3(b)(2) for scenarios identifying the USPPI. The name, address of origin, identification number, and contact information of the USPPI shall be reported to the AES as follows: (i) Name of the USPPI. In all export transactions, the name listed in the USPPI field in the EEI shall be the USPPI in the transaction. (See § 30.1 for the definition of the USPPI and § 30.3 for details on the USPPI's reporting responsibilities.) (ii) Address of origin. In all EEI filings, the USPPI shall report the address of origin (no post office box number) from which the goods actually begin the journey to the port of export even if the USPPI does not own/lease the facility. For example, the EEI covering goods stored in inventory at a warehouse in Georgia for transport to Florida for loading onto a vessel for export to a foreign country shall show the address of origin of the warehouse in Georgia. For shipments of multi-addresses of origin, reported as a single shipment, report the address of origin of the commodity with the greatest value. If such information is not known, report the address of origin where the commodities are consolidated for export. (iii) USPPI identification number. Report the Employer Identification Number (EIN) of the USPPI. If th… | ||||
| 15:15:1.2.1.1.1.1.5.7 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | A | Subpart A—General Requirements | § 30.7 Annotating the bill of lading, air waybill, or other commercial loading documents with proof of filing citations, and exemption legends. | BIS | [73 FR 31555, June 2, 2008, as amended at 78 FR 16378, Mar. 14, 2013; 82 FR 43843, Sept. 20, 2017; 83 FR 17751, Apr. 24, 2018] | (a) Items identified on the USML shall meet the predeparture reporting requirements identified in the ITAR (22 CFR 120 through 130) for the U.S. State Department requirements concerning the time and place of filing. For USML shipments, the proof of filing citations shall include the statement in “AES,” followed by the returned confirmation number provided by the AES when the transmission is accepted, referred to as the ITN. (b) For shipments other than USML, the USPPI or the authorized agent is responsible for annotating the proper proof of filing citation or exemption legend on the first page of the bill of lading, air waybill, export shipping instructions or other commercial loading documents. The USPPI or the 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, exemption or exclusion legends on the carrier's outbound manifest when required. The carrier is responsible for presenting the appropriate proof of filing citation or exemption legend to CBP Port Director at the port of export as stated in subpart E of this part. Such presentation shall be without material change or amendment of the proof of filing citation, postdeparture filing citation, AES downtime filing citation, or exemption legend as provided to the carrier by the USPPI or the authorized agent. 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. The proof of filing citations, postdeparture filing citations, or exemption legends shall appear on the bill of lading, air waybill or other commercial loading documentation and shall be clearly visible. The AES filing citation, exemption or exclusion legends are provided for in appendix B of this part. The exporting carrier shall annotate the manifest or other carrier documentation with the AES filing cit… | ||||
| 15:15:1.2.1.1.1.1.5.8 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | A | Subpart A—General Requirements | § 30.8 Time and place for presenting proof of filing citations and exemption legends. | BIS | [78 FR 16378, Mar. 14, 2013, as amended at 82 FR 18391, Apr. 19, 2017; 82 FR 43843, Sept. 20, 2017; 90 FR 39121, Aug. 14, 2025] | The following conditions govern the time and place to present the proof of filing, postdeparture, or downtime citations or exclusion or exemption legends. The USPPI or the authorized agent is required to deliver the proof of filing, postdeparture, or downtime citations or exclusion or exemption legends required in § 30.7 to the exporting carrier. See appendix B of this part for the properly formatted proof of filing, postdeparture, or downtime citations and exclusion or exemption legends. Failure of the USPPI or authorized agent to comply with these requirements constitutes a violation of the regulations in this part and renders such principal party or the authorized agent subject to the penalties provided for in Subpart H of this part. (a) Mail exports. The proof of filing citation, postdeparture filing citation, AES downtime filing citation, exemption and/or exclusion legend for items exported by mail as required in § 30.4(b) shall be annotated on the appropriate U.S. Postal Service customs declaration form (and/or its electronic equivalent) and presented with the packages at the time of mailing. The Postal Service is required to deliver the proof of filing citation, postdeparture filing citation, AES downtime filing citation, exemption or exclusion legend prior to export. (b) Pipeline exports. The proof of filing citations or exemption and exclusion legends for items being sent by pipeline shall be presented to the operator of a pipeline no later than four calendar days after the close of the month. See § 30.4(c)(2) for requirements for the filing of export information by pipeline carriers. (c) Exports by other methods of transportation. For exports sent other than by mail or pipeline, the USPPI or the authorized agent is required to deliver the proof of filing citations and/or exemption and exclusion legends to the exporting carrier in accord with the time periods set forth in § 30.4(b). | ||||
| 15:15:1.2.1.1.1.1.5.9 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | A | Subpart A—General Requirements | § 30.9 Transmitting and correcting Electronic Export Information. | BIS | [73 FR 31555, June 2, 2008, as amended at 78 FR 16378, Mar. 14, 2013] | (a) The USPPI or the authorized filing agent is responsible for electronically transmitting accurate EEI as known at the time of filing in the AES and transmitting any changes to that information as soon as they are known. Corrections, cancellations, or amendments to that information shall be electronically identified and transmitted to the AES for all required fields as soon as possible. The provisions of this paragraph relating to the reporting of corrections, cancellations, or amendments to EEI, shall not be construed as a relaxation of the requirements of the rules and regulations pertaining to the preparation and filing of EEI. Failure to correct the EEI is a violation of the provisions of this part. (b) For shipments where the USPPI or the authorized agent has received an error message from AES, the corrections shall take place as required. Fatal error messages are sent to filers when EEI is not accepted in the AES and update rejected messages are sent when a correction is not accepted in the AES. Fatal errors must be corrected and EEI resubmitted prior to export for shipments filed predeparture and for post-departure shipments but not later than five (5) calendar days after the date of export. Failure to respond to fatal error messages for shipments filed predeparture prior to export of the cargo subjects the principal party or authorized agent to penalties provided for in Subpart H of this part. Failing to transmit corrections to the AES constitutes a violation of the regulations in this part and renders such principal party or authorized agent subject to the penalties provided for in Subpart H of this part. Update rejected messages must be corrected as soon as possible. For EEI that generates a warning message, the correction shall be made within four (4) calendar days of receipt of the original transmission. For EEI that generates a verify message, the correction, when warranted, shall be made within four (4) calendar days of receipt of the message. A compliance alert indicates that the shipment was no… | ||||
| 15:15:1.2.1.1.1.2.5.1 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | B | Subpart B—Export Control and Licensing Requirements | § 30.15 Introduction. | BIS | (a) For export shipments to foreign countries, the EEI is used both for statistical and for export control purposes. All parties to an export transaction must comply with all relevant export control regulations, as well as the requirements of the statistical regulations of this part. For convenience, references to provisions of the EAR, ITAR, CBP, and OFAC regulations that affect the statistical reporting requirements of this part have been incorporated into this part. For regulations and information concerning other agencies that exercise export control and licensing authority for particular types of commodity shipments, a USPPI, its authorized agent, or other party to the transaction shall consult the appropriate agency regulations. (b) In addition to the reporting requirements set forth in § 30.6, further information may be required for export control purposes by the regulations of CBP, BIS, State Department, or the U.S. Postal Service under particular circumstances. (c) This part requires the retention of documents or records pertaining to a shipment for five years from the date of export. All records concerning license exceptions or license exemptions shall be retained in the format (including electronic or hard copy) required by the controlling agency's regulations. For information on recordkeeping retention requirements exceeding the requirements of this part, refer to the regulations of the agency exercising export control authority for the specific shipment. (d) In accordance with the provisions of Subpart G of this part, information from the EEI is used solely for official purposes, as authorized by the Secretary of Commerce, and any unauthorized use is not permitted. | |||||
| 15:15:1.2.1.1.1.2.5.2 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | B | Subpart B—Export Control and Licensing Requirements | § 30.16 Export Administration Regulations. | BIS | [73 FR 31555, June 2, 2008, as amended at 78 FR 16379, Mar. 14, 2013; 82 FR 18391, Apr. 19, 2017] | The Export Administration Regulations (EAR) issued by the U.S. Department of Commerce, BIS, contain additional reporting requirements pertaining to EEI (see 15 CFR parts 730-774). (a) The EAR requires that export information be filed for shipments from U.S. Possessions to foreign countries or areas. (see 15 CFR 758.1(b) and 772.1, definition of the United States.) (b) Requirements to place certain export control information in the EEI are found in the EAR. (See 15 CFR 758.1(g) and 15 CFR 758.2). (c) Requirements to place certain export control information on export control documents for shipments exempt from AES filing requirements. (See 15 CFR 758.1(d)). (d) A shipment destined for a country listed in Country Group E:1 or E:2 as set forth in Supplement No. 1 to 15 CFR part 740 shall require EEI filings regardless of value unless such shipment is eligible for an exemption in § 30.37(y) and does not require a license by BIS or any other Federal Government Agency. (e) Goods licensed by BIS 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 shall be excluded from EEI filing. | ||||
| 15:15:1.2.1.1.1.2.5.3 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | B | Subpart B—Export Control and Licensing Requirements | § 30.17 Customs and Border Protection regulations. | BIS | [73 FR 31555, June 2, 2008, as amended at 90 FR 39121, Aug. 14, 2025] | Refer to the DHS's CBP regulations, 19 CFR part 192, for information referencing the advanced electronic submission of cargo information on exports for screening and targeting purposes pursuant to the Trade Act of 2002. The regulations also prohibit postdeparture filing of export information for certain shipments and contain other regulatory provisions affecting the reporting of EEI. | ||||
| 15:15:1.2.1.1.1.2.5.4 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | B | Subpart B—Export Control and Licensing Requirements | § 30.18 Department of State regulations. | BIS | [73 FR 31555, June 2, 2008, as amended at 78 FR 16379, Mar. 14, 2013; 90 FR 39122, Aug. 14, 2025] | (a) The USPPI or the authorized agent shall file export information, as required, for items on the USML of the International Traffic in Arms Regulations (ITAR) (22 CFR part 121). Information for items identified on the USML, including those exported under an export license or license exemption, shall be filed prior to export. Items identified on the USML, including those exported under an export license or license exemption, ultimately destined to a location in the United States are not required to be reported in the AES. (b) Refer to the ITAR 22 CFR 120-130 for requirements regarding information required for electronically reporting export information for USML shipments and filing time requirements. | ||||
| 15:15:1.2.1.1.1.2.5.5 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | B | Subpart B—Export Control and Licensing Requirements | § 30.19 Other Federal agency regulations. | BIS | Other Federal agencies have requirements regarding the reporting of certain types of export transactions. The USPPIs and/or authorized agents are responsible for adhering to these requirements. | |||||
| 15:15:1.2.1.1.1.2.5.6 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | B | Subpart B—Export Control and Licensing Requirements | §§ 30.20-30.24 [Reserved] | BIS | ||||||
| 15:15:1.2.1.1.1.3.5.1 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | C | Subpart C—Special Provisions and Specific-Type Transactions | § 30.25 Values for certain types of transactions. | BIS | [73 FR 31555, June 2, 2008, as amended at 78 FR 16379, Mar. 14, 2013] | Special procedures govern the values to be reported for shipments of the following unusual types: (a) Subsidized exports of agricultural products. Where provision is made for the payment to the USPPI for the exportation of agricultural commodities under a program of the Department of Agriculture, the value required to be reported for EEI is the selling price paid by the foreign buyer minus the subsidy. (b) General Services Administration (GSA) exports of excess personal property. For exports of GSA excess personal property, the value to be shown in the EEI will be “fair market value,” plus charges when applicable, at which the property was transferred to GSA by the holding agency. These charges include packing, rehabilitation, inland freight, or drayage. The estimated “fair market value” may be zero, or it may be a percentage of the original or estimated acquisition costs. (Bill of lading, air waybill, and other commercial loading documents for such shipments will bear the notation “Excess Personal Property, GSA Regulations 1-III, 303.03.”) (c) Goods rejected after entry. For imported goods that are cleared by CBP but subsequently rejected, an EEI must be filed to export the goods. The value to be reported in the AES is the declared import value of the goods. | ||||
| 15:15:1.2.1.1.1.3.5.2 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | C | Subpart C—Special Provisions and Specific-Type Transactions | § 30.26 Reporting of vessels, aircraft, cargo vans, and other carriers and containers. | BIS | [78 FR 16379, Mar. 14, 2013, as amended at 90 FR 39122, Aug. 14, 2025] | (a) Export information shall be filed in the AES for all vessels, locomotives, aircraft, rail cars, trucks, other vehicles, trailers, pallets, cargo vans, lift vans, or similar shipping containers when these items are moving as goods pursuant to sale or other transfer from ownership in the United States to ownership abroad. If the vessel, car, aircraft, locomotive, rail car, vehicle, or shipping container is outside Customs territory of the United States at the time of sale or transfer to foreign ownership, EEI shall be reported identifying the last port of clearance or departure from the United States prior to sale or transfer. The date of export shall be the date of sale. (b) The country of ultimate destination to be shown in the EEI for vessels exported for sale is the country of new ownership. The country for which the vessel clears, or the country of registry of the vessel, should not be reported as the country of ultimate destination in the EEI unless such country is the country of new ownership. | ||||
| 15:15:1.2.1.1.1.3.5.3 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | C | Subpart C—Special Provisions and Specific-Type Transactions | § 30.27 Return of exported cargo to the United States prior to reaching its final destination. | BIS | When goods reported as exported from the United States are not exported or are returned without having been entered into a foreign destination, the filer shall cancel the EEI. | |||||
| 15:15:1.2.1.1.1.3.5.4 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | C | Subpart C—Special Provisions and Specific-Type Transactions | § 30.28 Split shipments. | BIS | [73 FR 31555, June 2, 2008, as amended at 78 FR 16379, Mar. 14, 2013; 82 FR 18391, Apr. 19, 2017] | A split shipment is a shipment covered by a single EEI record booked for export on one conveyance that is divided for shipment on more than one conveyance by the exporting carrier prior to export. The exporting carrier must file the manifest in accordance with CBP regulations indicating that the cargo was sent on two or more of the same type of conveyance of the same carrier leaving from the same port of export within 24 hours by vessel or 7 days by air, truck, or rail. For the succeeding parts of the shipment that are exported within the time frames specified above, a new EEI record will not be required. However, for the succeeding parts of the shipment that are not exported within the time frames specified above, a new EEI record must be filed and amendments must be made to the original EEI record. If a new EEI record is required, the original ITN data element may be used. The following procedures apply for split shipments: (a) The carrier shall submit the manifest to the CBP Port Director with the manifest covering the conveyance on which the first part of the split shipment is exported and shall make no changes to the EEI. However, the manifest shall show in the “number of packages” column the actual portion of the declared total quantity being carried and shall carry a notation to indicate “Split Shipment” e.g., “3 of 10—Split Shipment.” All associated manifests with the notation “Split Shipment” will have identical ITNs if exported within 24 hours by vessel or 7 days by air, truck, or rail. (b) On each subsequent manifest covering a conveyance on which any part of a split shipment is exported, a prominent notation “SPLIT SHIPMENT”, e.g. “4 of 10—Split shipment” shall be made on the manifest for identification. On the last shipment, the notation shall read “SPLIT SHIPMENT, FINAL, e.g., “10 of 10 Split Shipment, Final”.” Each subsequent manifest covering a part of a split shipment shall also show in the “number of packages” column only the goods carried on that particular conveyance and a reference to the t… | ||||
| 15:15:1.2.1.1.1.3.5.5 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | C | Subpart C—Special Provisions and Specific-Type Transactions | § 30.29 Reporting of repairs and replacements. | BIS | [73 FR 31555, June 2, 2008, as amended at 78 FR 16380, Mar. 14, 2013; 82 FR 18391, Apr. 19, 2017; 90 FR 39122, Aug. 14, 2025] | These guidelines will govern the reporting of the following: (a) The return of goods previously imported only for repair and alteration. (1) The return of goods not licensed by a U.S. Government agency and not subject to the ITAR, temporarily imported for repair and alteration, and declared as such on importation as described in § 30.53 shall have Schedule B number 9801.10.0000. The value reported shall be parts and labor, plus inland or domestic freight, insurance, and other charges to the U.S. seaport, airport, or land border port of export. The value of the original product shall not be included. If the value is over $2,500, then EEI must be filed. (2) The return of goods licensed by a U.S. Government agency or subject to the ITAR, temporarily imported for repair or alteration, and declared as such on importation as described in § 30.53 shall have Schedule B number 9801.10.0000. In the value field, report the value of the parts and labor, plus inland or domestic freight, insurance, and other charges to the U.S. seaport, airport, or land border port of export. In the license value field, report the value designated on the export license that corresponds to the commodity being exported if required by the licensing agency. EEI must be filed regardless of value. (b) Goods that are covered under warranty. (1) Goods that are reexported after repair under warranty shall follow the procedures in paragraph (a)(1) or (2) of this section as appropriate. It is recommended that the bill of lading, air waybill, or other loading documents include the statement, “This product was repaired under warranty.” (2) Goods that are replaced under warranty at no charge to the customer shall include the statement, “Product replaced under warranty, value for EEI purposes” on the bill of lading, air waybill, or other commercial loading documents. Place the notation below the proof of filing citation, postdeparture filing citation, AES downtime filing citation, exemption or exclusion legend on the commercial loading documents. Repo… | ||||
| 15:15:1.2.1.1.1.3.5.6 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | C | Subpart C—Special Provisions and Specific-Type Transactions | §§ 30.30-30.34 [Reserved] | BIS | ||||||
| 15:15:1.2.1.1.1.4.5.1 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | D | Subpart D—Exemptions From the Requirements for the Filing of Electronic Export Information | § 30.35 Procedure for shipments exempt from filing requirements. | BIS | [82 FR 43843, Sept. 20, 2017] | Except as noted in § 30.2(a)(1)(iv), where an exemption from the filing requirement is provided in this subpart, a legend describing the basis for the exemption shall be made on the first page of the bill of lading, air waybill, or other commercial loading document, and on the carrier's outbound manifest. The exemption legend shall reference the number of the section or provision in this part where the particular exemption is provided (see appendix B of this part). | ||||
| 15:15:1.2.1.1.1.4.5.2 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | D | Subpart D—Exemptions From the Requirements for the Filing of Electronic Export Information | § 30.36 Exemption for shipments destined to Canada. | BIS | [73 FR 31555, June 2, 2008, as amended at 78 FR 16380, Mar. 14, 2013; 82 FR 18391, Apr. 19, 2017; 90 FR 39122, Aug. 14, 2025] | (a) Except as noted in § 30.2(a)(1)(iv), and in paragraph (b) of this section, shipments originating in the United States where the country of ultimate destination is Canada are exempt from the EEI reporting requirements of this part. (b) This exemption does not apply to the following types of export shipments (These shipments shall be reported in the same manner as for all other exports, except household goods, which require limited reporting): (1) Sent for storage in Canada, but ultimately destined for third countries. (2) Exports moving from the United States through Canada to a third destination. | ||||
| 15:15:1.2.1.1.1.4.5.3 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | D | Subpart D—Exemptions From the Requirements for the Filing of Electronic Export Information | § 30.37 Miscellaneous exemptions. | BIS | [73 FR 31555, June 2, 2008, as amended at 78 FR 16380, Mar. 14, 2013; 79 FR 54589, Sept. 12, 2014; 82 FR 18392, Apr. 19, 2017; 88 FR 54326, Aug. 10, 2023; 90 FR 39122, Aug. 14, 2025] | Except as noted in § 30.2(a)(1)(iv), filing EEI is not required for the following kinds of shipments. However, the Census Bureau has the authority to periodically require the reporting of shipments that are normally exempt from filing. (a) Exports of commodities where the value of the commodities shipped from one USPPI to one ultimate consignee on a single exporting conveyance classified under an individual Schedule B number or HTSUSA commodity classification code is $2,500 or less. This exemption applies to individual Schedule B numbers or HTSUSA commodity classification codes regardless of the total shipment value. In instances where a shipment contains a mixture of individual Schedule B numbers or HTSUSA commodity classification codes valued at $2,500 or less and individual Schedule B numbers or HTSUSA commodity classification codes valued over $2,500, only those Schedule B numbers or HTSUSA commodity classification codes valued over $2,500 are required to be reported. If the filer reports multiple items of the same Schedule B number or HTSUSA commodity classification code, this exemption only applies if the total value of exports for the Schedule B number or HTSUSA commodity classification code is $2,500 or less. Items of domestic and foreign origin under the same commodity classification number must be reported separately and EEI filing is required when either is over $2,500. For the reporting of household goods see § 30.38. (b) Tools of 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. Commodities and software eligible for this exemption are those that do not require an export license or that are exported as tools of the trade under a license exception of the EAR (15 CFR 740.9), and are subject to the following provisions: (1) Are owned by the individual USPPI or exporting company. (2)… | ||||
| 15:15:1.2.1.1.1.4.5.4 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | D | Subpart D—Exemptions From the Requirements for the Filing of Electronic Export Information | § 30.38 Exemption from the requirements for reporting complete commodity information. | BIS | [78 FR 16381, Mar. 14, 2013] | Except as noted in § 30.2(a)(1)(iv), report EEI for household goods. Household goods are usual and reasonable kinds and quantities of personal property necessary and appropriate for use by the USPPI in the USPPI's dwelling in a foreign country. Household goods include, but are not limited to items such as furniture, large and small appliances, kitchenware, electronics, toys, bicycles, clothing, personal adornments, and associated containers. These goods should be for use by the USPPI, not intended for sale; and shipped under a bill of lading or an air waybill. In such cases, Schedule B or HTSUSA commodity classification codes and domestic/foreign indicator shall not be required. | ||||
| 15:15:1.2.1.1.1.4.5.5 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | D | Subpart D—Exemptions From the Requirements for the Filing of Electronic Export Information | § 30.39 Special exemptions for shipments to the U.S. Armed Services. | BIS | [78 FR 16381, Mar. 14, 2013, as amended at 90 FR 39122, Aug. 14, 2025] | Except as noted in § 30.2(a)(1)(iv), filing of EEI is not required for any commodities, whether shipped commercially or through government channels, consigned to the U.S. Armed Services for their exclusive use, including shipments to armed services exchange systems. This exemption does not apply to articles that are on the USML and thus controlled by the ITAR and/or shipments that are not consigned to the U.S. Armed Services, regardless of whether they may be for their ultimate and exclusive use. | ||||
| 15:15:1.2.1.1.1.4.5.6 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | D | Subpart D—Exemptions From the Requirements for the Filing of Electronic Export Information | § 30.40 Special exemptions for certain shipments to U.S. government agencies and employees. | BIS | [73 FR 31555, June 2, 2008, as amended at 78 FR 16381, Mar. 14, 2013] | Except as noted in § 30.2(a)(1)(iv), filing EEI is not required for the following types of shipments to U.S. government agencies and employees: (a) Office furniture, office equipment, and office supplies shipped to and for the exclusive use of U.S. government offices. (b) Household goods and personal property shipped to and for the exclusive and personal use of U.S. government employees. (c) Food, medicines, and related items and other commissary supplies shipped to U.S. government offices or employees for the exclusive use of such employees, or to U.S. government employee cooperatives or other associations for subsequent sale or other distribution to such employees. | ||||
| 15:15:1.2.1.1.1.4.5.7 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | D | Subpart D—Exemptions From the Requirements for the Filing of Electronic Export Information | §§ 30.41-30.44 [Reserved] | BIS | ||||||
| 15:15:1.2.1.1.1.5.5.1 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | E | Subpart E—Manifest Requirements | § 30.45 Manifest requirements | BIS | [73 FR 31555, June 2, 2008, as amended at 78 FR 16381, Mar. 14, 2013; 82 FR 18392, Apr. 19, 2017] | (a) File the manifest in accordance with Customs and Border Protections (CBP) regulations. (1) Vessels. Vessels transporting goods as specified shall file a complete manifest, or electronic equivalent. (i) Bunker fuel. The manifest (including vessels taking bunker fuel to be laden aboard vessels on the high seas) clearing for foreign countries shall show the quantities and values of bunker fuel taken aboard at that port for fueling use of the vessel, apart from such quantities as may have been laden on vessels as cargo. (ii) Coal and fuel oil. The quantity of coal shall be reported in metric tons (1000 kgs or 2240 pounds), and the quantity of fuel oil shall be reported in barrels of 158.98 liters (42 gallons). Fuel oil shall be described in such manner as to identify diesel oil as distinguished from other types of fuel oil. (2)-(3) [Reserved] (4) Carriers not required to file manifests. Carriers allowed to file incomplete manifests under applicable CBP regulations are required, upon request, to present to the CBP Port Director the proof of filing citation, exemption or exclusion legends for each shipment, prior to departure of the vessel, aircraft, train, truck or other means of conveyance. (5) Penalties. Failure of the carrier to file a manifest as required constitutes a violation of the regulations in this part and renders such carrier subject to the penalties provided for in Subpart H of this part. (b) Exempt items. For any item for which EEI is not required by the regulations in this part, a notation on the manifest shall be made by the carrier as to the basis for the exemption. In cases where a manifest is not required and EEI is not required, an oral declaration to the CBP Port Director shall be made as to the basis for the exemption. | ||||
| 15:15:1.2.1.1.1.5.5.2 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | E | Subpart E—Manifest Requirements | §§ 30.46-30.49 [Reserved] | BIS | ||||||
| 15:15:1.2.1.1.1.6.5.1 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | F | Subpart F—Import Requirements | § 30.50 General requirements for filing import entries. | BIS | [73 FR 31555, June 2, 2008, as amended at 78 FR 16382, Mar. 14, 2013; 82 FR 18392, Apr. 19, 2017; 83 FR 17751, Apr. 24, 2018] | Electronic entry summary filing through the Automated Commercial Environment (ACE), paper import entry summaries (CBP-7501), or paper record of vessel foreign repair or equipment purchase (CBP-226) shall be completed by the importer of record or its licensed customs broker and filed directly with CBP in accordance with 19 CFR parts 1-199. Information on all mail and informal entries required for statistical and CBP purposes shall be reported, including value not subject to duty. Upon request, the importer of record or the importer's licensed customs broker shall provide the Census Bureau with information or documentation necessary to verify the accuracy of the reported information, or to resolve problems regarding the reported import transaction received by the Census Bureau. (a) Import information for statistical purposes shall be filed for goods shipped as follows: (1) Entering the United States from foreign countries. (2) Admitted to U.S. FTZs. (3) From the U.S. Virgin Islands. (4) From other nonforeign areas (except Puerto Rico). (b) Sources for collecting import statistics include the following: (1) CBP's ABI Program (see 19 CFR Subpart A, Part 143). (2) CBP-7501 paper entry summaries required for individual transactions (see 19 CFR Subpart B, Part 142). (3) CBP-226, Record of Vessel Foreign Repair or Equipment Purchase (see 19 CFR 4.7 and 4.14). (4) CBP-214, Application for Foreign Trade Zone Admission and/or Status Designation (Statistical copy). (5) Electronic CBP Form 214 Admissions (e214). (c) The Kimberley Process Certificate (KPC) for all imports of rough diamonds classified under HS subheadings 7102.10, 7102.21, 7102.31 must be faxed by the importer or customs broker to the Census Bureau on (800) 457-7328, or provided by other methods as permitted by the Census Bureau, immediately after entry of the shipment in the United States. | ||||
| 15:15:1.2.1.1.1.6.5.2 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | F | Subpart F—Import Requirements | § 30.51 Statistical information required for import entries. | BIS | [73 FR 31555, June 2, 2008, as amended at 90 FR 39122, Aug. 14, 2025] | The information required for statistical purposes is, in most cases, also required by CBP regulations for other purposes. Refer to the CBP website at cbp.gov to download “Instructions for Preparation of CBP-7501” for completing the entry summary documentation (CBP Form-7501). Refer to the Customs and Trade Automated Interface Requirements for instructions on submitting an Automated Commercial Environment (ACE) Automated Broker Interface (ABI) electronic record or instructions for completing CBP-226 for declaring any equipment, repair parts, materials purchased, or expense for repairs incurred outside of the United States. | ||||
| 15:15:1.2.1.1.1.6.5.3 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | F | Subpart F—Import Requirements | § 30.52 Foreign Trade Zones (FTZ). | BIS | [78 FR 16382, Mar. 14, 2014, as amended at 90 FR 39122, Aug. 14, 2025] | When goods are withdrawn from a FTZ for export to a foreign country, the export shall be reported in accordance with § 30.2. Foreign goods admitted into FTZs shall be reported as a general import. Statistical requirements for zone admissions are provided to the Census Bureau via CBP's ABI electronic 214 (e214) program or the CBP Form 214A Application for Foreign Trade Zone Admission and/or Status Designation. Refer to the CBP website at cbp.gov to download the “Foreign Trade Zone Manual” that includes the CBP Form 214—Application for FTZ Admission (appendix A) and Instructions for filling out the 214 (appendix B). When goods are withdrawn from a FTZ to be entered for consumption or entered into a bonded warehouse, the withdrawal from the FTZ shall be reported on CBP Form 7501 or through the appropriate entry documents, or their electronic equivalents, in accordance with CBP regulations. The instructions and definitions for completing the e214 are provided in 19 CFR 146. The following data items are required to be filed on Form 214A for statistical purposes: (a) Zone Number and Location (Address) (b) Port Code (c) Importing Vessel and Flag/Other Carrier (d) Export Date (e) Import Date (f) Zone Admission Number (g) U.S. Port of Unlading (h) In-bond Carrier (i) Foreign Port of Lading (j) Bill of Lading/AWB Number (k) Number of Packages & Country of Origin (l) Description of Merchandise (m) HTSUSA Number (n) Quantity (HTSUSA) (o) Gross Weight (p) Separate Value and Aggregate Charges (q) Status Designation | ||||
| 15:15:1.2.1.1.1.6.5.4 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | F | Subpart F—Import Requirements | § 30.53 Import of goods returned for repair. | BIS | [82 FR 18392, Apr. 19, 2017] | Import entries covering U.S. goods imported temporarily to be repaired, altered, or processed under Harmonized Tariff Schedule of the United States Annotated (HTSUSA) commodity classification code 9801.00.1012, and foreign goods imported temporarily to be repaired or altered under the HTSUSA commodity classification code 9813.00.0540 are required to show the following statement: “Imported for Repair and Reexport” on CBP Form 7501 or its electronic equivalent. When the goods are subsequently exported, file according to the instructions provided in § 30.29. | ||||
| 15:15:1.2.1.1.1.6.5.5 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | F | Subpart F—Import Requirements | § 30.54 Special provisions for imports from Canada. | BIS | [73 FR 31555, June 2, 2008, as amended at 78 FR 16382, Mar. 14, 2013] | (a) When certain softwood lumber products described under HTSUSA subheadings 4407.1001, 4409.1010, 4409.1090, and 4409.1020 are imported from Canada, import entry records are required to show a valid Canadian region of manufacture code. The Canadian region of manufacture is determined on a first mill basis (the point at which the item was first manufactured into a covered lumber product). Canadian region of manufacture is the first region where the subject goods underwent a change in tariff classification to the tariff classes cited in this paragraph. The Canadian region code should be transmitted in the electronic ABI summaries. The Canadian region of manufacture code should replace the region of origin code on CBP-7501, entry summary form. These requirements apply only for imports of certain softwood lumber products for which the region of origin is Canada. (b) All other imports from Canada, including certain softwood lumber products not covered in paragraph (a) of this section, will require the two letter designation of the Canadian province of origin to be reported on U.S. entry summary records. This information is required only for U.S. imports that under applicable CBP rules of origin are determined to originate in Canada. For nonmanufactured goods determined to be of Canadian origin, the province of origin is defined as the region where the exported goods were originally grown, mined, or otherwise produced. For goods of Canadian origin that are manufactured or assembled in Canada, with the exception of the certain softwood lumber products described in paragraph (a) of this section, the region of origin is that in which the final manufacture or assembly is performed prior to exporting that good to the United States. In cases where the region in which the goods were manufactured, assembled, grown, mined, or otherwise produced is unknown, the province in which the Canadian vendor is located can be reported. For those reporting on paper forms the region of origin code replaces the country of origin code on CB… | ||||
| 15:15:1.2.1.1.1.6.5.6 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | F | Subpart F—Import Requirements | § 30.55 Confidential information, import entries, and withdrawals. | BIS | [73 FR 31555, June 2, 2008, as amended at 88 FR 54326, Aug. 10, 2023] | The contents of the statistical copies of import entries and withdrawals on file with the Census Bureau are treated as confidential and will not be released without authorization by CBP, in accordance with 19 CFR part 103 relating to the copies on file in CBP offices. The importer or import broker must provide the Census Bureau with information or documentation necessary to verify the accuracy or resolve problems regarding the reported import transaction. (a) The basic responsibility for obtaining and providing the information required by the general statistical headnotes of the HTSUSA rests with the person filing the import entry. This is provided for in section 484(a) of the Tariff Act, 19 CFR 141.61(e) of CBP regulations, and § 30.50 of this subpart. CBP Regulations 19 CFR 141.61(a) specify that the entry summary data clearly set forth all information required. (b) 19 CFR 141.61(e) of CBP regulations provides that penalty procedures relating to erroneous statistical information shall not be invoked against any person who attempts to comply with the statistical requirements of the General Statistical Notes of the HTSUSA. However, in those instances where there is evidence that statistical suffixes are misstated to avoid quota action, or a misstatement of facts is made to avoid import controls or restrictions related to specific commodities, the importer or its licensed broker should be aware that the appropriate actions will be taken under 19 U.S.C. 1592, as amended. | ||||
| 15:15:1.2.1.1.1.6.5.7 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | F | Subpart F—Import Requirements | §§ 30.56-30.59 [Reserved] | BIS | ||||||
| 15:15:1.2.1.1.1.7.5.1 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | G | Subpart G—General Administrative Provisions | § 30.60 Confidentiality of Electronic Export Information. | BIS | [79 FR 49660, Aug. 22, 2014, as amended at 83 FR 17751, Apr. 24, 2018; 90 FR 39122, Aug. 14, 2025] | (a) The Electronic Export Information (EEI) collected and accessed by the Census Bureau under 15 CFR part 30 is confidential, to be used solely for official purposes as authorized by the Secretary of Commerce. The collection of EEI by the Department of Commerce has been approved by the Office of Management and Budget (OMB). The information collected is used by the Census Bureau for statistical purposes. In addition, EEI is used by federal government agencies, such as the Department of State, Immigration and Customs Enforcement, and Customs and Border Protection (CBP) for export control; by other federal government agencies such as the Bureau of Economic Analysis, Bureau of Labor Statistics, and Bureau of Transportation Statistics for statistical purposes; and by other federal agencies as authorized by the Secretary of Commerce or the Census Bureau Director consistent with the agencies' statutory or legal authorities as provided for in paragraph (e) of this section. Absent such authorization, information collected pursuant to this Part shall not be disclosed to anyone by any officer, employee, contractor, agent of the federal government or other parties with access to the EEI other than to the USPPI or the authorized agent of the USPPI. Such disclosure shall be limited to that information provided by each party pursuant to this Part. (b) Viewing and using EEI for official purposes. (1) The EEI may be viewed and used by federal agencies authorized to use export data for official purposes as defined to include, but not limited to: (i) Improving compliance with U.S. export laws and regulations; (ii) Detecting and preventing violations of export, census, customs, homeland security, national resource and other laws, regulations and treaties; (iii) Analysis to assess threats to U.S. and international security such as money laundering, and other potential violations of U.S. and foreign criminal laws; (iv) Enforcement of U.S. export-related laws and regulations; (v) Investigation and prosecution of possible violat… | ||||
| 15:15:1.2.1.1.1.7.5.2 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | G | Subpart G—General Administrative Provisions | § 30.61 Statistical classification schedules. | BIS | [73 FR 31555, June 2, 2008, as amended at 90 FR 39123, Aug. 14, 2025] | The following statistical classification schedules are referenced in this part. These schedules may be accessed through the Census Bureau's website at http://www.census.gov/trade. (a) Schedule B—Statistical Classification for Domestic and Foreign Commodities Exported from the United States shows the detailed commodity classification requirements and 10-digit statistical reporting numbers to be used in preparing EEI as required by these regulations. (b) Harmonized Tariff Schedule of the United States shows the 10-digit statistical reporting number to be used in preparing import entries and withdrawal forms. (c) Schedule C —Classification of Country and Territory Designations for U.S. Foreign Trade Statistics. (d) Schedule D —Classification of CBP Districts and Ports. (e) Schedule K —Classification of Foreign Ports by Geographic Trade Area and Country. (f) International Air Transport Association (IATA) —Code of the carrier for air shipments. These are the air carrier codes to be used in reporting EEI, as required by the regulations in this part. (g) Standard Carrier Alpha Code (SCAC) —Classification of the carrier for vessel, rail and truck shipments, showing the carrier codes necessary to prepare EEI, as required by the regulations in this part. | ||||
| 15:15:1.2.1.1.1.7.5.3 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | G | Subpart G—General Administrative Provisions | § 30.62 Emergency exceptions. | BIS | The Census Bureau and CBP may jointly authorize the postponement of or exception to the requirements of the regulations in this Part as warranted by the circumstances in individual cases of emergency where strict enforcement of the regulations would create a hardship. In cases where export control requirements also are involved, the concurrence of the regulatory agency and CBP also will be obtained. | |||||
| 15:15:1.2.1.1.1.7.5.4 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | G | Subpart G—General Administrative Provisions | § 30.63 Office of Management and Budget control numbers assigned pursuant to the Paperwork Reduction Act. | BIS | (a) Purpose. This subpart will comply with the requirements of the Paperwork Reduction Act (PRA), 44 U.S.C. 3507(f), which requires that agencies display a current control number assigned by the Director of OMB for each agency information collection requirement. (b) Display. | |||||
| 15:15:1.2.1.1.1.7.5.5 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | G | Subpart G—General Administrative Provisions | §§ 30.64-30.69 [Reserved] | BIS | ||||||
| 15:15:1.2.1.1.1.8.5.1 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | H | Subpart H—Penalties | § 30.70 Violation of the Clean Diamond Trade Act. | BIS | [73 FR 31555, June 2, 2008, as amended at 83 FR 17751, Apr. 24, 2018] | Section 8(c) of the Clean Diamond Trade Act (CDTA) authorizes U.S. Customs and Border Protection (CBP) and U.S. Immigration and Customs Enforcement (ICE) to enforce the laws and regulations governing exports of rough diamonds. The Treasury Department's Office of Foreign Assets Control (OFAC) also has enforcement authority pursuant to section 5(a) of the CDTA, Executive Order 13312, and Rough Diamonds Control Regulations (31 CFR part 592). CBP, ICE, and OFAC are authorized to enforce provisions of the CDTA providing the following civil and criminal penalties: (a) Civil penalties. 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. (b) Criminal penalties. For the willful violation or attempted violation of any license, order, or regulation issued under the Act, a fine not to exceed $50,000, shall be imposed upon conviction or: (1) If a natural person, imprisoned for not more than ten years, or both; (2) If an officer, director, or agent of any corporation, who willfully participates in such violation, imprisoned for not more than ten years, or both. | ||||
| 15:15:1.2.1.1.1.8.5.2 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | H | Subpart H—Penalties | § 30.71 False or fraudulent reporting on or misuse of the Automated Export System. | BIS | [73 FR 31555, June 2, 2008, as amended at 78 FR 16382, Mar. 14, 2013; 88 FR 54237, Aug. 10, 2023; 90 FR 39123, Aug. 14, 2025] | (a) Criminal penalties —(1) Failure to file; submission of false or misleading information. Any person, including USPPIs, authorized agents or carriers, who knowingly fails to file or knowingly submits, directly or indirectly, to the U.S. Government, false or misleading export information through the AES, shall be subject to a fine not to exceed $10,000 or imprisonment for not more than five years, or both, for each violation. (2) Furtherance of illegal activities. Any person, including USPPIs, authorized agents, or carriers, who knowingly reports, directly or indirectly, to the U.S. Government any information through or otherwise uses the AES to further any illegal activity shall be subject to account deactivation, a fine not to exceed $10,000, imprisonment for not more than five years, or any or all of these penalties for each violation. (3) Forfeiture penalties. Any person who is convicted under this subpart shall, in addition to any other penalty, be subject to forfeiting to the United States: (i) Any of that person's interest in, security of, claim against, or property or contractual rights of any kind in the goods or tangible items that were the subject of the violation. (ii) Any of that person's interest in, security of, claim against, or property or contractual rights of any kind in tangible property that was used in the export or attempt to export that was the subject of the violation. (iii) Any of that person's property constituting, or derived from, any proceeds obtained directly or indirectly as a result of this violation. (4) Exemption. The criminal fines provided for in this subpart are exempt from the provisions of 18 U.S.C. 3571. (b) Civil penalties —(1) Failure to file violations. A failure to file violation occurs if the government discovers that there is no AES record for an export transaction by the applicable period prescribed in § 30.4 of this part. Any AES record filed later than ten (10) calendar days after the due date will also be considered a failure to file regardles… | ||||
| 15:15:1.2.1.1.1.8.5.3 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | H | Subpart H—Penalties | § 30.72 Civil penalty procedures. | BIS | (a) General. Whenever a civil penalty is sought for a violation of this part, the charged party is entitled to receive a formal complaint specifying the charges and, at his or her request, to contest the charges in a hearing before an administrative law judge. Any such hearing shall be conducted in accordance with 5 U.S.C. 556 and 557. (b) Applicable law for delegated function. If, pursuant to 13 U.S.C. 306, the Secretary delegates functions addressed in this part to another agency, the provisions of law of that agency relating to penalty assessment, remission or mitigation of such penalties, collection of such penalties, and limitations of action and compromise of claims shall apply. (c) Commencement of civil actions. If any person fails to pay a civil penalty imposed under this subpart, the Secretary may request the Attorney General to commence a civil action in an appropriate district court of the United States to recover the amount imposed (plus interest at currently prevailing rates from the date of the final order). No such action may be commenced more than five years after the date the order imposing the civil penalty becomes final. In such action, the validity, amount, and appropriateness of such penalty shall not be subject to review. (d) Remission and mitigation. Any penalties imposed under § 30.71(b)(1) and (b)(2) may be remitted or mitigated, if: (1) The penalties were incurred without willful negligence or fraud; or (2) Other circumstances exist that justify a remission or mitigation. (e) Deposit of payments in General Fund of the Treasury. Any amount paid in satisfaction of a civil penalty imposed under this subpart shall be deposited into the general fund of the Treasury and credited as miscellaneous receipts, other than a payment to remit a forfeiture which shall be deposited into the Treasury Forfeiture fund. | |||||
| 15:15:1.2.1.1.1.8.5.4 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | H | Subpart H—Penalties | § 30.73 Enforcement. | BIS | (a) Department of Commerce. The BIS's OEE may conduct investigations pursuant to this part. In conducting investigations, BIS may, to the extent necessary or appropriate to the enforcement of this part, exercise such authorities as are conferred upon BIS by other laws of the United States, subject, as appropriate, to policies and procedures approved by the Attorney General. (b) Department of Homeland Security (DHS). ICE and CBP may enforce the provisions of this part and ICE, as assisted by CBP may conduct investigations under this part. | |||||
| 15:15:1.2.1.1.1.8.5.5 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | H | Subpart H—Penalties | § 30.74 Voluntary self-disclosure. | BIS | [73 FR 31555, June 2, 2008, as amended at 78 FR 16382, Mar. 14, 2013; 82 FR 18392, Apr. 19, 2017; 88 FR 54237, Aug. 10, 2023; 90 FR 39123, Aug. 14, 2025] | (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. (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. The Census … | ||||
| 15:15:1.2.1.1.1.8.5.6 | 15 | Commerce and Foreign Trade | I | 30 | PART 30—FOREIGN TRADE REGULATIONS | H | Subpart H—Penalties | §§ 30.75-30.99 [Reserved] | BIS | ||||||
| 17:17:1.0.1.1.23.0.7.1 | 17 | Commodity and Securities Exchanges | I | 30 | PART 30—FOREIGN FUTURES AND FOREIGN OPTIONS TRANSACTIONS | § 30.1 Definitions. | CFTC | [52 FR 28998, Aug. 5, 1987, as amended at 65 FR 47280, Aug. 2, 2000; 78 FR 68648, Nov. 14, 2013; 83 FR 7996, Feb. 23, 2018] | For the purposes of this part: (a) Foreign futures means any contract for the purchase or sale of any commodity for future delivery made, or to be made, on or subject to the rules of any foreign board of trade. (b) Foreign option means any transaction or agreement which is or is held out to be of the character of, or is commonly known to the trade as, an “option”, “privilege”, “indemnity”, “bid”, “offer”, “put”, “call”, “advance guaranty” or “decline guaranty”, made or to be made on or subject to the rules of any foreign board of trade. (c) Foreign futures or foreign options customer means any person located in the United States, its territories or possessions who trades in foreign futures or foreign options: Provided, That an owner or holder of a proprietary account as defined in § 1.3 of this chapter shall not be deemed to be a foreign futures or foreign options customer within the meaning of §§ 30.6 and 30.7 of this part. (d) Foreign futures and options customer omnibus account is defined as an account in which the transactions of one or more foreign futures and foreign options customers are combined and carried in the name of the originating futures commission merchant rather than in the name of each individual foreign futures or foreign options customer. (e) Foreign futures and options broker (FFOB) is defined as a non-U.S. person that is a member of a foreign board of trade, as defined in § 1.3 of this chapter, licensed, authorized or otherwise subject to regulation in the jurisdiction in which the foreign board of trade is located; or a foreign affiliate of a U.S. futures commission merchant, licensed, authorized or otherwise subject to regulation in the jurisdiction in which the affiliate is located. (f) 30.7 customer means any foreign futures or foreign options customer as defined in paragraph (c) of this section as well as any foreign-domiciled person who trades in foreign futures or foreign options through a futures commission merchant; Provided, however, that an owner or holder o… | ||||||
| 17:17:1.0.1.1.23.0.7.10 | 17 | Commodity and Securities Exchanges | I | 30 | PART 30—FOREIGN FUTURES AND FOREIGN OPTIONS TRANSACTIONS | § 30.10 Petitions for exemption. | CFTC | [52 FR 28998, Aug. 5, 1987, as amended at 69 FR 49803, Aug. 12, 2004; 85 FR 15363, Mar. 18, 2020] | (a) Any person adversely affected by any requirement of this part may file a petition with the Secretary of the Commission, which petition must set forth with particularity the reasons why that person believes that he should be exempt from such requirement. The Commission may, in its discretion, grant such an exemption if that person demonstrates to the Commission's satisfaction that the exemption is not otherwise contrary to the public interest or to the purposes of the provision from which exemption is sought. The petition will be granted or denied on the basis of the papers filed. The petition may be granted subject to such terms and conditions as the Commission may find appropriate. (b) Any foreign person that files a petition for an exemption under this section shall be eligible for such an exemption notwithstanding its presence in the United States through U.S. bank branches or divisions if, in conjunction with a petition for confirmation of relief granted under an existing Commission order issued pursuant to this section, it complies with the following conditions: (1) No U.S. bank branch, office or division will engage in the trading of futures or options on futures within or from the United States, except for its own proprietary account; (2) No U.S. bank branch, office or division will refer any foreign futures or foreign options customer to the foreign person or otherwise be involved in the foreign person's business in foreign futures or foreign option transactions; (3) No U.S. bank branch, office or division will solicit any foreign futures or foreign option business or purchase or sell foreign futures or foreign option contracts on behalf of any foreign futures or foreign option customers or otherwise engage in any activity subject to regulation under this part or engage in any clerical duties related thereto. If any U.S. division, office or branch desires to engage in such activities, it will only do so through an appropriate Commission registrant; (4) The foreign person will maintain outside the… | ||||||
| 17:17:1.0.1.1.23.0.7.11 | 17 | Commodity and Securities Exchanges | I | 30 | PART 30—FOREIGN FUTURES AND FOREIGN OPTIONS TRANSACTIONS | § 30.11 Applicability of state law. | CFTC | Pursuant to section 12(e)(2) of the Act, the provisions of any state law, including any rule or regulation thereunder, may be applicable to any person required to be registered under this part who solicits foreign futures and foreign options customers and who shall fail or refuse to obtain such registration, unless such person is exempt from such registration in accordance with the provisions of § 30.4, § 30.5 or § 30.10 of this part. | |||||||
| 17:17:1.0.1.1.23.0.7.12 | 17 | Commodity and Securities Exchanges | I | 30 | PART 30—FOREIGN FUTURES AND FOREIGN OPTIONS TRANSACTIONS | § 30.12 Direct foreign order transmittal. | CFTC | [65 FR 47280, Aug. 2, 2000] | (a) Authorized customers defined. For the purposes of this section, an “authorized customer” of a futures commission merchant shall mean any foreign futures or foreign options customer, as defined in § 30.1(c), or its designated representative, that: (1) The futures commission merchant has authorized to place orders for the account of the futures commission merchant's foreign futures and options customer omnibus account; and (2)(i) Is an eligible swap participant, as defined in § 35.1(b)(2) of this chapter, or (ii) Whose investment decisions with respect to foreign futures and foreign option transactions are made by a commodity trading advisor subject to regulation under the Act, including any investment adviser registered as such with the Securities and Exchange Commission that is exempt from regulation as a commodity trading advisor under the Act or Commission regulations, or a foreign person performing a similar role or function subject as such to foreign regulation, provided that the commodity trading advisor has total assets under management exceeding $50,000,000 and that the commodity trading advisor places the foreign futures or foreign options order. (b) Procedures for futures commission merchants. It shall be unlawful for any futures commission merchant to permit an authorized customer to place orders for execution in the futures commission merchant's foreign futures and options customer omnibus account directly with a person exempt from registration under paragraphs (c) and (d) of this section, unless, such futures commission merchant: (1) Meets one of the following capital requirements, as determined by the futures commission merchant's most recent required filing of a Form 1-FR-FCM with the Commission: (i) Possesses $20,000,000 in adjusted net capital, as defined by § 1.17(c)(5) of this chapter; or (ii) Possesses the greater of three times the amount of adjusted net capital required by § 1.17(a)(1)(i)(A) of this chapter or three times the amount of adjusted net capital required by § 1.17(… | ||||||
| 17:17:1.0.1.1.23.0.7.13 | 17 | Commodity and Securities Exchanges | I | 30 | PART 30—FOREIGN FUTURES AND FOREIGN OPTIONS TRANSACTIONS | § 30.13 Commission certification. | CFTC | [76 FR 59245, Sept. 26, 2011, as amended at 89 FR 71811, Sept. 4, 2024] | With respect to foreign futures and options contracts on a non-narrow-based security index: (a) Request for certification. A foreign board of trade may request that the Commission certify that a futures contract on a non-narrow-based security index that trades, or is proposed to be traded thereon, conforms to the requirements of section 2(a)(1)(C)(ii) of the Act and therefore, that futures contract may be offered or sold to persons located within the United States in accordance with section 2(a)(1)(C)(iv) of the Act. A submission requesting such certification must: (1) Be filed electronically with the Secretary of the Commission; (2) Include the following information in English: (i) The terms and conditions of the contract and all other relevant rules of the exchange and, if applicable, of the foreign board of trade on which the underlying securities are traded, which have an effect on the over-all trading of the contract, including circuit breakers, price limits, position limits or other controls on trading; (ii) Surveillance agreements between the foreign board of trade and the exchange(s) on which the underlying securities are traded; (iii) Assurances from the foreign board of trade of its ability and willingness to share information with the Commission, either directly or indirectly; (iv) When applicable, information regarding foreign blocking statutes and their impact on the ability of United States government agencies to obtain information concerning the trading of such contracts; (v) Information and data denoted in U.S. dollars where appropriate (and the conversion date and rate used) relating to: (A) The method of computation, availability, and timeliness of the index; (B) The total capitalization, number of stocks (including the number of unaffiliated issuers if different from the number of stocks), and weighting of the stocks by capitalization and, if applicable, by price in the index as well as the combined weighting of the five highest-weighted stocks in the index; (C) Procedures and crit… | ||||||
| 17:17:1.0.1.1.23.0.7.2 | 17 | Commodity and Securities Exchanges | I | 30 | PART 30—FOREIGN FUTURES AND FOREIGN OPTIONS TRANSACTIONS | § 30.2 Applicability of the Act and rules. | CFTC | [52 FR 28998, Aug. 5, 1987, as amended at 59 FR 5703, Feb. 8, 1994; 90 FR 7938, Jan. 22, 2025] | (a) Except as specified in this part or unless the context otherwise requires, the provisions of sections 1a, 2, 4, 4c, 4f, 4g, 4k, 4l, 4m, 4n, 4o, 4p, 6, 6c, 8, 8a, 9, 12, 13, and 14 of the Act and parts 1, 3, 4, 10, 11, 12, 13, 14, 21, 155, 166 and 190 of this chapter shall apply to the persons and transactions that are subject to the requirements of this part as though they were set forth herein and included specific references to foreign board of trade, foreign futures, foreign options, foreign futures and foreign options customers, and foreign futures and foreign options secured amount, as appropriate. (b) The provisions of §§ 1.20 through 1.30, 1.32, 1.35(a)(2) through (4) and (c) through (i), 1.36(b), 1.38, 1.39, 1.40, 1.45 through 1.51, 1.53, 1.54, 1.55, 1.58, 1.59, 33.2 through 33.6, and parts 15 through 20 of this chapter shall not be applicable to the persons and transactions that are subject to the requirements of this part. | ||||||
| 17:17:1.0.1.1.23.0.7.3 | 17 | Commodity and Securities Exchanges | I | 30 | PART 30—FOREIGN FUTURES AND FOREIGN OPTIONS TRANSACTIONS | § 30.3 Prohibited transactions. | CFTC | [52 FR 28998, Aug. 5, 1987, as amended at 61 FR 10895, Mar. 18, 1996] | (a) It shall be unlawful for any person to engage in the offer and sale of any foreign futures contract or foreign options transaction for or on behalf of a foreign futures or foreign options customer, except in accordance with the provisions of this part: Provided, that, with the exception of the disclosure and antifraud provisions set forth in §§ 30.6 and 30.9 of this part, the provisions of this part shall not apply to transactions executed on a foreign board of trade, and carried for or on behalf of a customer at a designated contract market, subject to an agreement with and rules of a contract market which permit positions in a commodity interest which have been established on one market to be liquidated on another market. (b) Except as otherwise provided in § 30.4 of this part or pursuant to an exemption granted under § 30.10 of this part, it shall be unlawful for any person to engage in the offer and sale of any foreign futures contract or foreign option transaction for or on behalf of any foreign futures or foreign options customer other than by or through a futures commission merchant on a fully-disclosed basis. | ||||||
| 17:17:1.0.1.1.23.0.7.4 | 17 | Commodity and Securities Exchanges | I | 30 | PART 30—FOREIGN FUTURES AND FOREIGN OPTIONS TRANSACTIONS | § 30.4 Registration required. | CFTC | [52 FR 28998, Aug. 5, 1987, as amended at 69 FR 49803, Aug. 12, 2004; 83 FR 7996, Feb. 23, 2018] | Except as provided in § 30.5 of this part, it shall be unlawful for any person, with respect to a foreign futures or foreign options customer: (a) To solicit or accept orders for or involving any foreign futures contract or foreign options transaction and, in connection therewith, to accept any money, securities or property (or extend credit in lieu thereof) to margin, guarantee or secure any trades or contracts that result or may result therefrom, unless such person shall have registered, under the Act, with the Commission as a futures commission merchant and such registration shall not have expired nor been suspended nor revoked; provided that, a foreign futures and options broker (as defined in § 30.1(e)) is not required to register as a futures commission merchant: one, in order to accept orders from or to carry a U.S. futures commission merchant's foreign futures and options customer omnibus account, as that term is defined in § 30.1(d); two, in order to accept orders from or to carry a U.S. futures commission merchant's proprietary account, as that term is defined in paragraph (y) of § 1.3 of this chapter; and/or three, in order to accept orders from or carry a U.S. affiliate account which is proprietary to the foreign futures and options broker, as “proprietary account” is defined in § 1.3 of this chapter. Such foreign futures and options broker remains subject to all other applicable provisions of the Act and of the rules, regulations and orders thereunder. Foreign futures and options brokers that have U.S. bank branches, offices or divisions engaging in the activity listed in this paragraph are not required to register as futures commission merchants if they comply with the conditions listed in § 30.10(b)(1) through (6). (b) Except an individual who elects to be and is registered as an associated person of a futures commission merchant, to solicit or accept orders for or involving any foreign futures contract or foreign options transaction, and who in connection therewith, does not accept any money, … |
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