Foreign Trade Regulations (FTR): Mandatory Automated Export System Filing for All Shipments Requiring Shipper's Export Declaration Information: Proposed Substantive Changes and Corrections, 4002-4026 [2011-165]

Agencies

• DEPARTMENT OF COMMERCE
• Bureau of the Census

[Federal Register Volume 76, Number 14 (Friday, January 21, 2011)]
[Proposed Rules]
[Pages 4002-4026]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-165]



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Part III





Department of Commerce





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Census Bureau



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15 CFR Part 30



 Foreign Trade Regulations (FTR): Mandatory Automated Export System 
Filing for All Shipments Requiring Shipper's Export Declaration 
Information: Proposed Substantive Changes and Corrections; Proposed 
Rule

Federal Register / Vol. 76 , No. 14 / Friday, January 21, 2011 / 
Proposed Rules

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DEPARTMENT OF COMMERCE

Bureau of the Census

15 CFR Part 30

[Docket Number 100318153-0154-01]
RIN Number 0607-AA50


Foreign Trade Regulations (FTR): Mandatory Automated Export 
System Filing for All Shipments Requiring Shipper's Export Declaration 
Information: Proposed Substantive Changes and Corrections

AGENCY: Bureau of the Census, Commerce Department.

ACTION: Notice of proposed rulemaking.

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SUMMARY: The U.S. Census Bureau (Census Bureau) proposes to amend its 
regulations to reflect new export reporting requirements. Specifically, 
the Census Bureau is proposing to require mandatory filing of export 
information through the Automated Export System (AES) or through 
AESDirect for all shipments of used self-propelled vehicles, temporary 
exports and household goods. The Census Bureau is also proposing to 
modify the postdeparture filing program by changing the filing time 
frame from ten (10) calendar days to five (5) calendar days and only 
allowing postdeparture reporting for approved commodities. In addition 
to the new export reporting requirements and the modifications to the 
postdeparture filing program, the proposed rule would make remedial 
changes to the FTR to improve clarity and to correct errors. These 
changes are discussed in detail in the SUPPLEMENTARY INFORMATION 
section.

DATES: Submit written comments on or before March 22, 2011.

ADDRESSES: Please direct all written comments on this proposed rule to 
the Associate Director for Economic Programs, U.S. Census Bureau, Room 
8H132, Washington, DC 20233. You may also submit comments, identified 
by RIN number 0607-AA50, to the Federal e-Rulemaking Portal: https://www.regulations.gov. All comments received are a part of the public 
record. No comments will be posted to https://www.regulations.gov for 
public viewing until after the comment period has closed. Comment will 
generally be posted without change. All Personal Identifying 
Information (for example, name, address) voluntarily submitted by the 
commenter may be publicly accessible. Do not submit Confidential 
Business Information or otherwise sensitive or protected information. 
The Census Bureau will accept anonymous comments (enter N/A in the 
required fields, if you wish to remain anonymous). You may submit 
attachments to electronic comments in Microsoft Word, Excel, 
WordPerfect, or Adobe PDF file formats only.

FOR FURTHER INFORMATION CONTACT: William G. Bostic, Jr., Assistant 
Director for Economic Programs, U.S. Census Bureau, Room 8K108, 
Washington, DC 20233-6010, by phone (301) 763-8842, by fax (301) 763-
4967, or by e-mail FTD.FTR.Comments@census.gov.

SUPPLEMENTARY INFORMATION:

Background

    The Census Bureau is responsible for collecting, compiling, and 
publishing export trade statistics for the United States under the 
provisions of Title 13, United States Code (U.S.C.), Chapter 9, Section 
301. The AES is the primary instrument used for collecting export trade 
data, which is used by the Census Bureau for statistical purposes only. 
Through the AES, the Census Bureau collects Electronic Export 
Information (EEI), the electronic equivalent of the export data 
formerly collected on the Shipper's Export Declaration, reported 
pursuant to Title 15 Code of Federal Regulations (CFR) Part 30. The EEI 
consists of data elements set forth at 15 CFR 30.6 for an export 
shipment, and includes information such as the exporter's personal 
identifying information, which includes name, address and 
identification number, and detailed information concerning the exported 
product. Other Federal government agencies use the EEI for export 
control purposes to detect and prevent the export of certain items by 
unauthorized parties or to unauthorized destinations or end users. The 
EEI is exempt from public disclosure unless the Secretary of Commerce 
determines under the provisions of Title 13, U.S.C., Chapter 9, Section 
301(g), that such exemption would be contrary to the national interest.

Program Requirements

    To comply with the requirements of the Foreign Relations 
Authorization Act, Public Law 107-228, the Census Bureau is amending 
relevant sections of the FTR to reflect new export reporting 
requirements.
    The Census Bureau is proposing to amend the following sections of 
the FTR:
     Revise the table of contents in Sec.  30.28 by removing 
the quotations and the words by air because split shipments applies to 
all modes of transportation.
     Revise Sec.  30.1(c) to add the terms and definitions for 
``Commercial loading document,'' ``Diplomatic pouch,'' ``Electronic CBP 
Form 214 Admissions (e214),'' ``Filer ID,'' ``Foreign port of 
unlading,'' ``Household goods,'' ``International waters,'' ``Issued 
banknote,'' ``Mass-market software,'' ``Non Vessel Operating Common 
Carrier (NVOCC),'' ``Shipping documents,'' ``Transshipment,'' 
``Value,'' and ``Voluntary self-disclosure'' to clarify the use of 
these terms in the FTR.
     In Sec.  30.1(c), revise the definition for ``AES downtime 
filing citation'' to clarify that the downtime citation cannot be used 
when the filer's system is down or experiences delays.
     In Sec.  30.1(c), revise the definition for ``Annotation'' 
by removing the reference to an exclusion legend and to add the word 
``commercial'' prior to the words ``loading documents.'' This revision 
is necessary to clarify that the exclusion legend is no longer required 
and to note that the FTR only references commercial loading documents; 
therefore, the word ``commercial'' is added before all references to 
the words ``loading documents.''
     In Sec.  30.1(c), revise the definition for ``Automated 
Export System Trade Interface Requirements (AESTIR)'' to clarify that 
the document also includes technical requirements.
     In Sec.  30.1(c), remove the definition for ``Automated 
Foreign Trade Zone Reporting Program (AFTZRP)'' because the program is 
no longer in existence. The definition for ``Electronic CBP Form 214 
Admissions (e214)'' is added to replace the AFTZRP.
     In Sec.  30.1(c), add the term and definition ``Commercial 
loading document'' because the FTR only references commercial loading 
documents. Therefore, the term and definition for ``Loading document'' 
is removed from this section
     In Sec.  30.1(c), revise the definition for ``Country of 
ultimate destination'' to reference Sec.  30.6(a)(5).
     In Sec.  30.1(c), revise the definition for ``End user'' 
to clarify that the end user is the entity abroad, known at the time of 
export by the USPPI, who ultimately uses the exported or reexported 
items.
     In Sec.  30.1(c), remove the term and definition ``Export 
value'' because this term is not used in the FTR and cite the term and 
definition ``Value''.
     In Sec.  30.1(c), revise the definition for ``Filers'' to 
remove the word ``system'' after the acronym ``AES.''
     In Sec.  30.1(c), revise the definition for ``Foreign 
principal party in interest (FPPI)'' to clarify that the FPPI is the 
party that purchases the goods for export.

[[Page 4003]]

     In Sec.  30.1(c), revise the term and definition for 
``Harmonized Tariff Schedule of the United States (HTSUS)'' to include 
the correct title and abbreviation and remove references to CBP since 
it is not the only agency that uses the HTSUSA.
     In Sec.  30.1(c), revise the definition for ``Manifest'' 
by removing the reference to an exclusion legend. The USPPIs and 
authorized agents are no longer required to place an exclusion legend 
on the bill of lading, air waybill, export shipping instructions, or 
other commercial loading documents.
     In Sec.  30.1(c), revise the definition for ``Port of 
export'' to clarify the port for transshipments through Canada or 
Mexico.
     In Sec.  30.1(c), revise the definition for 
``Postdeparture filing'' to clarify that only approved commodities 
exported by approved USPPIs can be filed postdeparture. In addition, 
the Postdeparture filing time frame is changed from ten (10) calendar 
days to five (5) calendar days for export control and enforcement 
purposes.
     In Sec.  30.1(c), revise the definition for ``Power of 
attorney'' to include a reference to Appendix A.
     In Sec.  30.1(c), revise the definition for ``Shipment'' 
to clarify that except as noted in Sec.  30.2(a)(1)(iv), the EEI shall 
be filed when the value of the goods is over $2,500 per Schedule B 
number.
     In Sec.  30.1(c), revise the definition for ``Shipment 
reference number'' to clarify that the reuse of the shipment reference 
number is prohibited.
     In Sec.  30.1(c), revise the definition for ``Shipper's 
Export Declaration (SED)'' to clarify the date the paper SED became 
obsolete.
     In Sec.  30.1(c), revise the definition for ``Split 
shipment'' to clarify that split shipments apply to all modes of 
transportation and that the goods must leave on the same day.
     In Sec.  30.1(c), revise the definition for ``U.S. Customs 
and Border Protection'' to correct errors in grammar.
     In Sec.  30.1(c), revise the definition for ``Written 
Authorization'' to include reference to Appendix A.
     In Sec.  30.2(a)(1)(iv), add paragraphs (H) and (I) to 
include the new filing requirements for reporting used self-propelled 
vehicles and household goods. These types of shipments will be required 
to be filed in the AES regardless of value or country of destination. 
However, shipments of household goods consigned to U.S. government 
agencies and employees for their exclusive use are exempt from this 
requirement.
     In Sec.  30.2(a)(1)(iv), revise paragraph (E) to include 
the exemptions for shipments to Country Group E:1 based on 15 CFR 734 
and 740.
     In Sec.  30.2(a), revise paragraph (2) to reflect the 
correct Web site for the Automated Export System Trade Interface 
Requirements document.
     Revise Sec.  30.2(b)(3) to reflect that the AES downtime 
procedures cannot be used when the computer system of an AES 
participant is unavailable for transmission.
     In Sec.  30.2(d), revise the introductory text to clarify 
that an exclusion legend is not required on the bill of lading, air 
waybill, export shipping instructions, or other commercial loading 
documents.
     Revise Sec.  30.2(d)(2) to clarify that Puerto Rico and 
the U.S. Virgin Islands are not excluded from filing the EEI.
     Revise the parenthetical phrase in Sec.  30.2(d)(4), by 
removing the word ``by'' and adding in its place the word ``to.''
     In Sec.  30.2(d), add a new paragraph (5) to include the 
new exclusion for goods licensed by a U.S. federal government agency 
where the country of ultimate destination is the United States or goods 
destined to international waters where the person(s) or entity assuming 
control of the item(s) is a citizen or permanent resident alien of the 
United States or a juridical entity organized under the laws of the 
United States or a jurisdiction within the United States
     Revise Sec.  30.3(b)(2) to clarify that a foreign entity 
must be in the United States at the time goods are purchased or 
obtained for export in order to be listed as a USPPI.
     Revise Sec.  30.3(b)(2)(iii) by removing the word 
``foreign entity'' and adding in its place the word ``FPPI.'' This 
revision clarifies that the U.S. order party directly arranges for the 
sale and export of goods for the foreign party located abroad.
     In Sec.  30.3(b), add paragraph (4) to include carriers as 
a party to the export transaction.
     Revise Sec.  30.3(c)(1)(ii)(A) to include the required 
information to be provided to the authorized agent in an export 
transaction. This language is consistent with the requirements for 
providing information in a routed export transaction.
     Revise Sec.  30.3(c)(2)(ii) to clarify that the power of 
attorney or written authorization comes from the USPPI in a standard 
transaction.
     In Sec.  30.3(c), add paragraph (3) to clarify carrier 
responsibilities as it pertains to the FTR.
     Revise Sec.  30.3(e)(1) to include the requirement for the 
USPPI to provide the ultimate consignee type, if known, in a routed 
export transaction to the authorized agent.
     Revise Sec.  30.3(e)(2) to include the requirement that an 
authorized agent must provide the USPPI with the Internal Transaction 
Number and Date of export when the agent files the EEI in a routed 
transaction. In addition, if known, the agent shall provide the 
ultimate consignee type in the AES.
     Revise Sec.  30.4(a)(6) to clarify that 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 must be filed predeparture.
     Revise Sec.  30.4(b)(1) to provide the correct citation in 
the International Traffic in Arms Regulations for filing timeframes for 
United States Munitions List shipments.
     In Sec.  30.4(b), add paragraph (3) and redesignate 
paragraph (3) and paragraph (4) to clarify that the filing timeframes 
for shipments between the United States and Puerto Rico do not apply. 
Shipments between the United States and Puerto Rico must file the 
export information and have the proof of filing citation, postdeparture 
filing citation, or exemption citation by the time the shipment arrives 
at the port of unloading.
     Revise Sec.  30.4(b) to add paragraph (4) to include the 
new filing timeframe requirement for used self-propelled vehicles as 
defined in 19 CFR 192.1 of U.S. Customs and Border Protection 
regulations.
     Revise Sec.  30.4(c) and Sec.  30.5(c) to clarify that 
only approved commodities exported by approved USPPIs can be filed 
postdeparture. In addition, the postdeparture filing time frame has 
changed from ten (10) calendar days to five (5) calendar days.
     Revise Sec.  30.4(d) to remove the reference to an 
exclusion legend. The USPPIs and authorized agents are no longer 
required to place an exclusion legend on the bill of lading, air 
waybill, export shipping instructions, or other commercial loading 
documents.
     Revise Sec.  30.5 to clarify the postdeparture approval 
procedures. Certification and approval requirements were strengthened 
to address U.S. national security concerns and interest. Under the 
proposed postdeparture filing requirements, postdeparture reporting 
will only be permitted for commodities on the approved list for 
postdeparture filing. This list can be found at https://www.census.gov/aes. Any commodities not included on the approved list must be reported 
prior to exportation and all current USPPI's previously approved for 
postdeparture filing must reapply. The

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USPPI may apply for postdeparture filing privileges by submitting a 
postdeparture filing application at https://www.census.gov/aes.
     In Sec.  30.5(c)(1), add paragraph (ix) to include that 
the USPPI will be denied postdeparture filing status if unable to meet 
the AES predeparture filing requirements.
     In Sec.  30.5(c)(3), add paragraph (G) to clarify that the 
Census Bureau will revoke postdeparture privileges of an approved USPPI 
if it exports commodities not on the approved list.
     In Sec.  30.5(d)(1) and (d)(2), remove the administrator 
code option for accessing account features in the AESDirect.
     Revise Sec.  30.5(d)(2) to clarify that companies must 
immediately deactivate the username, in the AESDirect, of employee who 
leaves the company or is no longer an authorized user.
     Revise Sec.  30.6(a)(1)(ii) to clarify that the USPPI does 
not need to own/lease the facility where the goods actually begin the 
journey to the port of export.
     Revise Sec.  30.6(a)(3) to clarify that for licensed 
shipments to international waters, the person designated on the export 
license must be reported as the ultimate consignee.
     Revise Sec.  30.6(a)(5)(i) to clarify that BIS license 
exceptions and non licensed shipments to international waters the filer 
must report the nationality of the person(s) or entity assuming control 
of the item(s) subject to the EAR.
     Revise Sec.  30.6(a)(8) to clarify the carrier 
identification code that must be reported in the AES for vessel 
shipments.
     In Sec.  30.6(a)(9), revise text to clarify that the port 
of export for shipments by overland transportation is where the goods 
cross the U.S. border into Canada or Mexico, including transshipments 
through Canada or Mexico. In addition, language was added to address 
shipment by vessel and air involving several ports of exportation.
     In Sec.  30.6(a)(9), remove paragraphs (i) and (ii) 
because the content is included in the text of Sec.  30.6(a)(9).
     In Sec.  30.6(a)(17), revise the introductory text to 
clarify that the value reported in the AES must be in U.S. dollars.
     Revise Sec.  30.6(a)(19) to clarify that the reuse of the 
shipment reference number is prohibited.
     Revise Sec.  30.6(a)(23) by adding a comma and the word 
``authorization'' after the word ``permit.'' This revision is to 
clarify that authorizations, such as validated end-users, are to be 
reported in the license code/license exemption code field.
     In Sec.  30.6(b), redesignate paragraphs (1) through (3) 
as paragraphs (4) through (6) and add new paragraphs (1) through (3) to 
include the new conditional filing requirement for reporting the 
address of the license applicant and name and address of the end-user.
     In Sec.  30.6(b), redesignate paragraphs (4) through (14) 
as paragraphs (8) through (18) and add new paragraph (7) to include the 
new conditional filing requirement for reporting the country of origin 
for goods of foreign origin.
     Revise Sec.  30.6(b)(14)(ii) to require the transportation 
reference number for air shipments.
     In Sec.  30.6(b), redesignate paragraphs (15) and (16) as 
paragraphs (20) and (21) and add paragraph (19) to include the new 
conditional filing requirement for reporting the license value.
     Redesignate Sec. Sec.  30.6(c)(1) and (c)(2) as Sec. Sec.  
30.6(b)(22) and (23). This revision will designate the optional data 
elements, equipment and seal number, as conditional data elements. The 
revision also clarifies that the equipment number is required for 
containerized vessel cargo.
     In Sec.  30.6(b) add paragraphs (24), and (24)(i) through 
(24)(iii) to include a new conditional filing requirement for ultimate 
consignee type. The three ultimate consignee types are: Reseller, 
Government Reseller and Government Consumer. If applicable, the 
ultimate consignee shall be identified according to one of the types 
listed above that best describes its function. If at the time of 
filing, the USPPI or authorized agent knows the ultimate consignee 
type, that information must be reported in the AES. If more than one 
type applies to the ultimate consignee, report the type that applies 
most often.
     Revise Sec.  30.7(b) to remove the reference to an 
exclusion legend. The USPPIs and authorized agents are no longer 
required to place an exclusion legend on the bill of lading, air 
waybill, export shipping instructions, or other commercial loading 
documents.
     In Sec.  30.8, remove the citation ``Sec.  30.4(e)'' and 
add in its place ``Sec.  30.7'', which references the requirement to 
annotate the commercial loading documents with the proof of filing 
citation and exemption legend, because the incorrect citation is cited. 
Section 30.7 provides requirements for annotating the bill of lading, 
air waybill, or other commercial loading documents with the proof of 
filing citations, and exemption legends.
     In Sec.  30.8(a), remove the citation ``Sec.  30.2'' and 
add in its place ``Sec.  30.4(b)'' because the incorrect citation is 
cited in the current FTR.
     In Sec.  30.8(b), add language to reference Sec.  30.46 
which states the requirements for filing export information by pipeline 
carriers.
     In Sec.  30.8(c), remove the reference to an exclusion 
legend. The USPPIs and authorized agents are no longer required to 
place an exclusion legend on the bill of lading, air waybill, export 
shipping instructions, or other commercial loading documents.
     Revise Sec.  30.9(b) to clarify that failure to respond to 
fatal error messages prior to export of the cargo subjects the USPPI or 
authorized agent to penalties. The postdeparture filing time frame has 
also changed from ten (10) calendar days to five (5) calendar days. 
Also, remove the word ``regulation'' and add in its place ``the FTR'' 
in the second to last sentence.
     In Sec.  30.16, revise the introductory text to spell out 
the acronym ``EAR'' and remove the word ``also.''
     In Sec.  30.16, revise paragraph (b) to include reference 
to 15 CFR 758.1(g), which references requirements in the EAR, and add 
paragraph (c) to include the requirement for placing certain export 
information on export control documents for shipments that are exempt 
from filing in the AES.
     Revise Sec.  30.18(a) to spell out the acronym ``ITAR'' 
and to clarify that shipments licensed by the State Department that are 
ultimately destined to a location in the United States are not required 
to be filed in the AES.
     In Sec.  30.25, add paragraph (c) to include the new 
filing requirements for goods rejected after entry into the United 
States. Those goods must be filed in the AES and the value to be 
reported is the declared import value.
     Redesignate Sec.  30.26(a) as Sec.  30.37(e) to include 
the exemption for reporting vessels, aircraft, cargo vans, and other 
carriers and containers when shipping as tools of international trade. 
The exemption for in-transit shipments is removed.
     Redesignate Sec.  30.26(b) to Sec.  30.26 and revise to 
correct errors in grammar.
     In Sec.  30.28, revise the title to remove the quotation 
marks and the words ``by air.'' This section now includes all modes of 
transportation.
     In Sec.  30.28, revise the introductory text to remove the 
words ``by air,'' and the word ``aircraft'' and adding in place of the 
latter the word ``conveyance,'' and to clarify that a split shipment 
must occur on the same day for all modes of transportation.
     In Sec.  30.28(a) and (b), remove all references to the 
word ``flight'' and add in its place ``conveyance.'' This revision is 
to clarify that split shipments apply to all modes of transportation.

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     Revise Sec.  30.29(a) to clarify that the return of goods 
previously imported only for repair and alteration to the foreign 
shipper are required to be reported in the AES.
     Revise Sec.  30.29(b)(2) to clarify the requirement to 
report the Schedule B number or HTSUSA classification commodity number 
for replacement products and remove the word ``only'' in the last 
sentence. This revision is to clarify that the value should include 
inland or domestic freight, insurance, and other charges to the U.S. 
seaport, airport, or land border port of export.
     Revise Sec.  30.35 to clarify that exemptions from filing 
in the AES does not apply when a shipment falls under Sec.  
30.2(a)(1)(iv), which references the types of export shipments that 
must be filed, regardless of value.
     In Sec.  30.36(b), add paragraphs (7) and (8) to include 
the requirement for reporting used self-propelled vehicles and 
household goods destined to Canada.
     In Sec.  30.36(b), revise the introductory text to clarify 
that shipments destined to Canada must be filed in the same manner as 
all other exports when they fall under Sec. Sec.  30.36(b)(1) through 
(7). Therefore, removing the language from paragraph (b)(2).
     In Sec.  30.37, remove paragraphs (q) and (r). This 
revision removes the exemption for temporary exports. Temporary 
shipments of goods valued over $2,500 per Schedule B or that require a 
license must be filed in the AES. When reporting temporary exports 
report the appropriate export information code for temporary goods, 
such as ``TE and TP''.
     Revise Sec.  30.37 introductory text to clarify that 
exemptions from filing EEI do not apply if the shipment falls under 
Sec.  30.2(a)(1)(iv), which references the types of export shipments 
that must be filed, regardless of value.
     Revise Sec.  30.37(a) by removing the words ``Except as 
noted in Sec.  30.2(a)(1)(iv)'' and clarify that goods that are of 
domestic and foreign origins with the same Schedule B number must be 
reported separately. In addition the reference to Sec.  30.38 for the 
reporting of household goods was added.
     Revise Sec.  30.37(g) to clarify the types of articles 
that are exempt when shipping to foreign libraries, government 
establishments, and other similar institutions.
     Redesignate Sec. Sec.  30.37(s) and (t) as Sec. Sec.  
30.37(q) and (r).
     Revise Sec.  30.37 by adding paragraph(s) to clarify that 
exports of technical data and defense service exemptions defined in 22 
CFR 123.22(b)(3)(iii) are exempt from the EEI filing requirements.
     Revise Sec.  30.38 to clarify that, regardless of value, 
limited reporting is required for household goods when the goods are 
for use by the USPPI or the USPPI's immediate family, not for sale, and 
shipped under a bill of lading or an air waybill. In addition, the 
revision removed the exemption for limited reporting of vehicles 
because full reporting is required for used self-propelled vehicles.
     In Sec.  30.39 and Sec.  30.40, revise the introductory 
text to clarify that the exemptions for the U.S. Armed Services and 
U.S. government agencies and employees does not apply if the shipment 
falls under Sec.  30.2(a)(1)(iv), which references the types of export 
shipments that must be filed, regardless of value.
     In Sec.  30.40, remove paragraph (d) because Sec.  
30.37(g) now incorporates the exemption described in this paragraph.
     In Sec.  30.45(a), revise the introductory text by 
removing the word ``shall'' from the first sentence and adding in its 
place the word ``may'' and removing references to the exclusion legend. 
This revision is necessary to clarify that the exclusion legend is no 
longer required to be noted on the commercial loading documents.
     In Sec.  30.45(a)(2), remove the word ``unladed'' and 
adding in its place ``unladen.'' This section is also revised to 
require the manifest to be filed with the CBP Port Director at the port 
of exit rather than the port where the goods are laden.
     In Sec.  30.45(a)(4), remove reference to the exclusion 
legend because USPPIs and authorized agents are no longer required to 
place this citation on the bill of lading, air waybill, export shipping 
instructions, or other commercial loading documents.
     In Sec.  30.45(c), revise the title to remove the 
quotation marks and the words ``by air'' since this requirement now 
pertains to all modes of transportation. This section is also revised 
to clarify that a split shipment must be divided by the carrier.
     In Sec.  30.45(d), remove the words ``bill of lading'' in 
the last sentence and add in its place the words ``commercial loading 
document.''
     Revise Sec.  30.45(f)(1) by adding the words ``Except as 
noted in Sec.  30.4(b)(2)'' to clarify that proof of filing citations 
and exemption legends are required for shipments between the United 
States and Puerto Rico when the carrier reaches the port of unloading.
     Revise Sec.  30.45(f)(1) by removing the references to the 
SED and the exclusion legend. The SED has been replaced by the EEI, and 
the exclusion legend is no longer required to be placed on the bill of 
lading, air waybill, export shipping instructions, or other commercial 
loading documents.
     In Sec.  30.45(f), remove paragraphs (3) and (4) because 
requirements for truck and rail shipments will be added to Sec. Sec.  
30.45(f)(1) and (2).
     In Sec.  30.46 and Sec.  30.47, remove all references to 
the exclusion legend because the USPPIs or authorized agents are no 
longer required to place the exclusion legend on the bill of lading, 
air waybill, export shipping instructions, or other commercial loading 
documents.
     In Sec.  30.47(a), remove the word ``business'' and add in 
its place the word ``calendar.'' This is to clarify that the carrier 
has up to four calendar days after clearance or departure of the 
carrier to file manifest and all required filing citations and/or 
exemption legends.
     In Sec.  30.47(a)(2), remove the words ``fifteenth 
business'' and add in its place the word ``fourth calendar.'' This is 
to clarify that the filing citations and/or exemption legends shall be 
filed with CBP no later than the fourth calendar day after departure.
     Revise Sec.  30.47(a)(3) to clarify that a list of filing 
citations and/or exemption legends must be presented for carriers under 
bond on an incomplete manifest upon request by CBP.
     In Sec.  30.50(b)(5), remove the words ``Automated Foreign 
Trade Zone Reporting Program (AFTZRP)'' and add in their place 
``Electronic CBP Form 214 Admissions (e214)'' since the AFTZRP was 
eliminated March 1, 2009.
     Revise Sec.  30.52 to clarify the statistical filing 
requirements for Foreign Trade Zone shipments via the e214 or paper 
214A.
     In Sec.  30.54(b), remove the second instance of the word 
``region'' and add in its place the word ``country'' in the last 
sentence. This is to clarify that the region of origin code replaces 
the country of origin code on the CBP Form 7501.C
     In Sec.  30.60(c)(4), add the words ``and foreign 
companies'' after the word ``governments'' to clarify that neither 
foreign governments nor entities may have access to the EEI.
     Revise Sec.  30.60(c)(4)(d) to remove the reference to an 
exclusion legend. The USPPIs and authorized agents are no longer 
required to place an exclusion legend on the bill of lading, air 
waybill, export shipping instructions, or other commercial loading 
documents.
    In Sec.  30.71(b), revise paragraph (1), redesignate paragraphs (2) 
and (3) as paragraphs (3) and (4) and add a new paragraph (2). This 
revision is to clarify

[[Page 4006]]

that the civil penalties imposed for delayed filings and failures to 
file are different. For delayed filings, the penalty will not exceed 
$1,100 per day of delinquency, and no more than $10,000 per violation; 
whereas, failures to file, the penalty will not exceed $10,000 per 
violation.
     In Sec.  30.74(c)(3)(iv), remove the punctuation and the 
word ``and'' at the end of the sentence because an additional paragraph 
is added.
     In Sec.  30.74(c)(3)(vi), add punctuation and the word 
``and'' at the end of the sentence to clarify that when submitting a 
voluntary self-disclosure, all items listed in Sec.  30.74(c)(3) must 
be included in the letter submitted to the Census Bureau.
     In Sec.  30.74(c)(3), add paragraphs (vi) and (vii) to 
clarify that, when submitting a voluntary self-disclosure, the person 
must indicate the corrective measures taken to avoid the violation in 
the future and the ITNs of the missed and/or corrected shipments.
     Revise Sec.  30.74(c)(5) to include the Foreign Trade 
Division Web site regarding further instructions for submitting 
voluntary self-disclosures to the Census Bureau.
     Revise Appendices B through F to reflect all proposed 
changes to the FTR discussed in this part.

Rulemaking Requirements

Regulatory Flexibility Act

    The Chief Counsel for Regulation of the Department of Commerce 
certified to the Chief Counsel for Advocacy of the Small Business 
Administration (SBA) that this rule will not have a significant impact 
on a substantial number of small entities. This action requires that 
USPPIs or authorized agents in the United States file export 
information to the AES for all shipments where an EEI record is 
required under the FTR.
    The SBA's table of size standards indicates that businesses that 
are the USPPI or authorized agent and file export information are 
considered small businesses if they employ less than 500 people. Based 
on year 2008 Profile of U.S. Exporting Companies, the Census Bureau 
estimates that there are 281,000 USPPIs that are considered small 
entities under the Small Business Act definition. Over 90 percent of 
USPPIs use an authorized agent to file export documentation. An 
estimate of the number of authorized agents is not known.
    The Census Bureau anticipates that the new requirement would not 
significantly affect the small businesses that file through the AES. 
The new reporting requirements would not affect a substantial number of 
small entities because more than 90 percent of USPPIs that are 
considered small entities use an authorized agent to file export 
documentation. Also, while this regulation would likely affect a 
substantial number of agents that are small entities it is not likely 
that the effect will be significant. The majority of agents require use 
of a computer to perform routine tasks, such as filing the AES. These 
agents are unlikely to be significantly affected by these new 
requirements, as they currently possess the technology and equipment to 
submit the information through the AES. The Census Bureau has provided 
a free Internet-based system, AESDirect, especially for small 
businesses to submit their export information electronically. It would 
not be necessary for small businesses to purchase software for this 
task. For these reasons, if this proposed rule is adopted, this rule 
would not have a significant economic impact on a substantial number of 
small entities.

Executive Orders

    This rule has been determined to be not significant for purposes of 
Executive Order 12866. It has been determined that this rule does not 
contain policies with federalism implications as that term is defined 
under Executive Order 13132.

Paperwork Reduction Act

    Notwithstanding any other provision of law, no person is required 
to respond to, nor shall a person be subject to a penalty for failure 
to comply with, a collection of information subject to the requirements 
of the Paperwork Reduction Act (PRA), unless that collection of 
information displays a current, valid Office of Management and Budget 
(OMB) control number. This rule contains a collection-of-information 
subject to the requirements of the PRA (44 U.S.C. 3501 et seq.) and 
that has been approved under OMB control number 0607-0152.

List of Subjects in 15 CFR Part 30

    Economic statistics, Exports, Foreign trade, Reporting and 
recordkeeping requirements.

    For the reasons set out in the preamble, the Census Bureau is 
proposing to amend Title 15, CFR part 30, as follows:

PART 30--FOREIGN TRADE REGULATIONS

Subpart A--General Requirements

    1. The authority citation for Part 30 continues to read as follows:

    Authority:  5 U.S.C. 301; 13 U.S.C. 301-307; Reorganization Plan 
5 of 1990 (3 CFR 1949-1953 Comp., p. 1004); Department of Commerce 
Organization Order No. 35-2A, July 22, 1987, as amended, and No. 35-
2B, December 20, 1996, as amended; and Public Law 107-228, 116 Stat. 
1350.

    2. Amend Sec.  30.1(c) by:
    a. Revising the terms and definitions for ``AES downtime filing 
citation,'' ``Annotation,'' ``Automated Export System Trade Interface 
Requirements (AESTIR),'' ``Country of ultimate destination,'' ``Dun & 
Bradstreet Number (DUNS),'' ``End user,'' ``Filers,'' ``Foreign 
principal party in interest (FPPI),'' ``Harmonized Tariff Schedule of 
the United States (HTSUS),'' ``Manifest,'' ``Method of 
transportation,'' ``Port of export,'' ``Postdeparture filing,'' ``Power 
of attorney,'' ``Shipment,'' ``Shipment reference number,'' ``Shipper's 
Export Declaration (SED),'' ``Split shipment,'' ``Ultimate consignee,'' 
``U.S. Customs and Border Protection (CBP),'' and ``Written 
authorization;'' and
    b. Removing the definitions for ``Automated Foreign Trade Zone 
Reporting Program (AFTZRP),'' ``Loading document,'' ``Export value;'' 
and
    c. Adding alphabetically the definitions for ``Commercial loading 
document,'' ``Diplomatic pouch,'' ``Electronic CBP Form 214 Admissions 
(e214),'' ``Filer ID,'' ``Foreign port of unlading,'' ``Household 
goods,'' ``International waters,'' ``Issued banknote,'' ``Mass-market 
software,'' ``Non Vessel Operating Common Carrier (NVOCC),'' ``Shipping 
documents,'' ``Transshipment,'' ``Value,'' and ``Voluntary Self-
Disclosure (VSD)''
    The revisions and additions read as follows:


Sec.  30.1  Purpose and Definitions.

* * * * *
    (c) * * *
    AES downtime filing citation. A statement used in place of a proof 
of filing citation when the AES or AESDirect computer systems 
experience a major failure. The citation must appear on the bill of 
lading, air waybill, export shipping instructions, or other commercial 
loading documents. The downtime filing citation is not to be used when 
the filer's system is down or experiencing delays.
* * * * *
    Annotation. An explanatory note (e.g., proof of filing citation, 
postdeparture filing citation, AES downtime filing citation, or 
exemption legend) placed on the bill of lading, air waybill, export 
shipping instructions, or other commercial loading document.
* * * * *

[[Page 4007]]

    Automated Export System Trade Interface Requirements (AESTIR). The 
document that describes the technical and operational requirements of 
the AES. The AESTIR presents record formats and other reference 
information used in the AES.
* * * * *
    Commercial loading document. A document that establishes the terms 
of a contract between a shipper and a transportation company under 
which freight is to be moved between points for a specific charge. It 
is usually prepared by the shipper or the shipper's agent and actuated 
by the carrier and serves as a document of title, a contract of 
carriage, and a receipt for goods. Examples of commercial loading 
documents include the air waybill, inland bill of lading, ocean bill of 
lading, and through bill of lading.
* * * * *
    Country of ultimate destination. The country where the goods are to 
be consumed, further processed, stored, or manufactured, as known to 
the USPPI at the time of export. (See Sec.  30.6(a)(5)).
* * * * *
    Diplomatic pouch. Any properly identified and sealed pouch, 
package, envelope, bag, or other container that is used to transport 
official correspondence, documents, and articles intended for official 
use, between Embassies, legations, or consulates, and the foreign 
office of any government.
* * * * *
    Electronic CBP Form 214 Admissions (e214). A web-based system that 
allows importers, brokers and zone operators to report import data 
electronically via CBP's Automated Broker Interface system for 
merchandise being admitted into a Foreign Trade Zone. The e214 is the 
electronic system that replaced the Census Bureau's Automated Foreign 
Trade Zone Reporting Program.
* * * * *
    End user. The entity abroad, known at the time of export by the 
USPPI, which ultimately uses the exported or reexported items. The end 
user is not an authorized agent or intermediary, but may be the FPPI or 
ultimate consignee.
* * * * *
    Filers. Those USPPIs or authorized agents (of either the USPPI or 
the FPPI) who have been approved to file EEI directly in the AES or 
AESDirect Internet application.
    Filer ID. The Employer Identification Number or Dun & Bradstreet 
Number of the company or individual filing the export information in 
the Automated Export System.
* * * * *
    Foreign port of unlading. The port in the foreign country where the 
goods are removed from the exporting carrier. The foreign port does not 
have to be located in the country of destination. The foreign port of 
unlading shall be reported in terms of Schedule K, ``Classification of 
CBP Foreign Ports by Geographic Trade Area and Country.''
    Foreign Principal Party in Interest (FPPI). The party abroad who 
purchases the goods for export. This party may be the Ultimate 
Consignee.
* * * * *
    Harmonized Tariff Schedule of the United States Annotated (HTSUSA). 
An organized listing of goods and their duty rates, developed by the 
U.S. International Trade Commission, as the basis for classifying 
imported and exported products, and also providing statistical 
information about imports and exports.
    Household goods. Usual and reasonable kinds and quantities of 
furniture, clothing and personal adornments necessary and appropriate 
for use by the USPPI or the USPPIs immediate family.
* * * * *
    International waters. Waters located outside the U.S. territorial 
sea, which extends 12 nautical miles measured from the baselines of the 
United States, and outside the territory of any foreign country, 
including the territorial waters thereof. Note that vessels, platforms, 
buoys, undersea systems, and other similar structures that are located 
in international waters, but are attached permanently or temporarily to 
a country's continental shelf, are considered to be within the 
territory of that country.
* * * * *
    Issued banknote. A promissory note intended to circulate as money, 
usually printed on paper or plastic, issued by a bank with a specific 
denomination, payable to an individual, entity or the bearer.
* * * * *
    Manifest. A collection of documents, including forms, such as the 
cargo declaration and annotated bills of lading, that lists and 
describes the cargo contents of a carrier, container, or warehouse. 
Carriers required to file manifests with CBP Port Director must include 
an AES filing citation, or exemption legend for all cargo being 
transported.
* * * * *
    Mass-market software. Software that is produced in large numbers 
and made available to the public. It does not include software that is 
customized for a specific user.
* * * * *
    Method of transportation. The method by which goods arrive in or 
are exported from the United States by way of seaports, airports, or 
land border crossing points. Methods of transportation include vessel, 
air, truck, rail, mail or other.
* * * * *
    Non Vessel Operating Common Carrier (NVOCC). An individual or 
entity who does not own or operate the carrying ship, but who contracts 
with a shipping line for the carriage of the goods to the ultimate 
consignee.
* * * * *
    Port of export. The port of export is the U.S. Customs and Border 
Protection seaport or airport where the goods are loaded on the carrier 
that is taking the goods out of the United States, or the CBP port 
where exports by overland transportation cross the U.S. border into 
Canada or Mexico. For goods loaded aboard a carrier (aircraft or 
vessel) where the conveyance stops at several ports before clearing to 
the foreign country, the port of export is the first port where the 
goods were loaded on the original conveyance. For goods off-loaded from 
the original conveyance to another conveyance (even if the aircraft or 
vessel belongs to the same carrier) at any of the ports, the port where 
the goods were loaded on the last conveyance before going foreign is 
the port of export. The port of export shall be reported in terms of 
Schedule D, ``Classification of CBP Districts and Ports.'' Use port 
code 8000 for shipments by mail.
* * * * *
    Postdeparture filing. The privilege granted to approved USPPIs for 
their EEI to be filed up to five calendar days from the date of export. 
Postdeparture filing can only be used for an approved list of 
commodities. This list can be found at https://www.census.gov/aes.
* * * * *
    Power of attorney. A legal authorization, in writing, from a USPPI 
or FPPI stating that the agent has authority to act as the principal 
party's true and lawful agent for purposes of preparing and filing the 
EEI in accordance with the laws and regulations of the United States. 
(See Appendix A of this part.)
* * * * *
    Shipment. All goods being sent from one USPPI to one consignee 
located in a single country of destination on a single conveyance and 
on the same day. Except as noted in Sec.  30.2(a)(1)(iv), the

[[Page 4008]]

EEI shall be filed when the value of the goods is over $2,500 per 
Schedule B number or HTSUSA commodity classification code.
    Shipment reference number. A unique identification number assigned 
to the shipment by the filer for reference purposes. The reuse of the 
shipment reference number is prohibited.
    Shipper's Export Declaration (SED). The Department of Commerce 
paper form used under the Foreign Trade Statistics Regulations to 
collect information from an entity exporting from the United States. 
This form was used for compiling the official U.S. export statistics 
for the United States and for export control purposes. The SED became 
obsolete on October 1, 2008, with the implementation of the Foreign 
Trade Regulations (FTR) and has been superseded by the EEI filed to the 
AES or through the AESDirect.
    Shipping documents. Documents that include but are not limited to 
commercial invoices, export shipping instructions, packing lists, bill 
of ladings and air waybills.
* * * * *
    Split shipment. A shipment covered by a single EEI transmission 
booked for export on one conveyance, but divided by the exporting 
carrier and sent on two or more conveyances of the same carrier on the 
same day.
* * * * *
    Transshipment. The transfer of merchandise from the country or 
countries of origin through an intermediary country or countries to the 
country of ultimate destination.
* * * * *
    U.S. Customs and Border Protection (CBP). The unified border agency 
within the Department of Homeland Security (DHS) charged with the 
management, control, and protection of our Nation's borders at and 
between the official ports of entry to the United States. CBP is 
charged with keeping terrorist and terrorist weapons from entering the 
country and enforcing customs, immigration, agricultural and countless 
other laws of the United States.
* * * * *
    Value. The selling price (or the cost if the goods are not sold) in 
US dollars, plus inland or domestic freight, insurance, and other 
charges to the U.S. seaport, airport, or land border port of export. 
Cost of goods is the sum of expenses incurred in the USPPI's 
acquisition or production of the goods. (See Sec.  30.6(a)(17)).
* * * * *
    Voluntary Self-Disclosure (VSD). A narrative account with 
supporting documentation that sufficiently describes suspected 
violations of the FTR. A VSD reflects due diligence in detecting, and 
correcting potential violation(s) when required information was not 
reported or when incorrect information was provided that violates the 
FTR.
* * * * *
    Written authorization. A legal authorization, in writing, by the 
USPPI or FPPI stating that the agent has authority to act as the 
USPPI's or FPPI's true and lawful agent for purposes of preparing and 
filing the EEI in accordance with the laws and regulations of the 
United States. (See Appendix A of this part.)
    3. Amend Sec.  30.2 by revising paragraphs (a)(1)(iv)(E), (a)(2), 
(b)(3), paragraph (d) introductory text, paragraphs (d)(2) and (d)(4); 
and adding paragraphs (a)(1)(iv)(H), (a)(1)(iv)(I) and (d)(5) to read 
as follows:


Sec.  30.2  General requirements for filing Electronic Export 
Information (EEI).

    (a) * * *
    (1) * * *
    (iv) * * *
    (E) Destined for a country listed in Country Group E:1 as set forth 
in Supplement 1 of 15 CFR 740, unless the shipment is exempt from 
filing requirements by 15 CFR 734 or 740.
* * * * *
    (H) Used self-propelled vehicles as defined in 19 CFR 192.1 of U.S. 
Customs and Border Protection regulations.
    (I) Household goods, unless the shipment is consigned to U.S. 
government agencies and employees for their exclusive use.
    (2) Filing methods. The USPPI has four means for filing EEI: use 
AESDirect; develop AES software using the AESTIR (see https://www.customs.gov/xp/cgov/trade/automated/aes/tech_docs/); purchase 
software developed by certified vendors using the AESTIR; or use an 
authorized agent. An FPPI can only use an authorized agent in a routed 
export transaction.
    (b) * * *
    (3) The AES downtime procedures provide uniform instructions for 
processing export transactions when the government's AES or AESDirect 
is unavailable for transmission. (See Sec.  30.4(b)(1) and Sec.  
30.4(b)(3).)
* * * * *
    (d) Exclusions from filing EEI. The following types of transactions 
are outside the scope of this part and shall be excluded from EEI 
filing. Notation on the bill of lading, air waybill, export shipping 
instructions or other commercial loading documents is not required.
* * * * *
    (2) Except Puerto Rico and the U.S. Virgin Islands, goods shipped 
from the U.S. territories and goods shipped between the United States 
and these territories do not require EEI filing. However, goods 
transiting U.S. territories to foreign destinations require EEI filing.
* * * * *
    (4) Goods shipped to Guantanamo Bay Naval Base in Cuba from the 
United States, Puerto Rico, or the U.S. Virgin Islands and from 
Guantanamo Bay Naval Base to the United States, Puerto Rico, or the 
U.S. Virgin Islands. (See Sec.  30.39 for filing requirements for 
shipments exported to the U.S. Armed Services.)
    (5) Goods licensed by a U.S. federal government agency where the 
country of ultimate destination is the United States or goods destined 
to international waters where the person(s) or entity assuming control 
of the item(s) is a citizen or permanent resident alien of the United 
States or a juridical entity organized under the laws of the United 
States or a jurisdiction within the United States.
* * * * *
    4. Amend Sec.  30.3 by revising paragraphs (b)(2), (b)(2)(iii), 
(c)(1)(ii)(A), (c)(2)(ii), (e)(1)(xii) and (e)(2); and adding 
paragraphs (b)(4) and (c)(3) to read as follows: Sec.  30.3 Electronic 
Export Information filer requirements, parties to export transactions, 
and responsibilities of parties to export transactions.
* * * * *
    (b) * * *
    (2) USPPI. For purposes of filing EEI, the USPPI is the person or 
legal entity in the United States that receives the primary benefit, 
monetary or otherwise, from the transaction. Generally, that person or 
entity is the U.S. seller, manufacturer, order party, or foreign entity 
if in the United States at the time goods are purchased or obtained for 
export. The foreign entity shall be listed as the USPPI if it is in the 
United States when the items are purchased or obtained for export. The 
foreign entity shall then follow the provisions for filing the EEI 
specified in Sec.  30.3 and Sec.  30.6 pertaining to the USPPI.
* * * * *
    (iii) If a U.S. order party directly arranges for the sale and 
export of goods to the FPPI, the U.S. order party shall be listed as 
the USPPI in the EEI.
* * * * *
    (4) Carrier. A carrier is an individual or legal entity in the 
business of

[[Page 4009]]

transporting passengers or goods. Airlines, trucking companies, 
railroad companies, shipping lines, pipeline companies, and slot 
charterers are all examples of carriers.
    (c) * * *
    (1) * * *
    (ii) * * *
    (A) Providing the authorized agent with the following information 
to assist in preparing the EEI:
    (1) Name and address of the USPPI.
    (2) USPPI's EIN.
    (3) State of origin (State).
    (4) FTZ if applicable.
    (5) Commercial description of commodities.
    (6) Origin of goods indicator: Domestic (D) or Foreign (F).
    (7) Schedule B number or HTSUSA, Classification Commodity Code.
    (8) Quantities/units of measure.
    (9) Value.
    (10) Export Control Classification Number (ECCN) or sufficient 
technical information to determine the ECCN if 15 CFR 758.1(g) requires 
that an ECCN be entered.
    (11) All licensing information necessary to file the EEI for 
commodities where the Department of State, the Department of Commerce, 
or other U.S. government agency issues a license for the commodities 
being exported, or the merchandise is being exported under a license 
exemption or exception.
    (12) Ultimate consignee type, if known.
* * * * *
    (2) * * *
    (ii) Obtaining a power of attorney or written authorization from 
the USPPI to file the EEI.
* * * * *
    (3) Carrier responsibilities.
    (i) The carrier must not load or move cargo unless the required 
documentation, from the USPPI or authorized agent, contains the 
required AES proof of filing, postdeparture, downtime, or exemption 
citations. This information must be cited on the first page of the bill 
of lading, air waybill, or other commercial loading documents.
    (ii) The carrier must annotate the required AES proof of filing, 
postdeparture, downtime, or exemption citations on the carrier's 
outbound manifest when required.
    (iii) The carrier is responsible for presenting the required AES 
proof of filing, postdeparture, downtime, or exemption citations 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, exemption legend or postdeparture 
filing citation.
    (iv) Except as provided in Sec.  30.28, when a carrier identifies 
that a portion of the goods covered by a single EEI transaction has not 
been exported on the intended conveyance, the carrier shall notify the 
U.S. Customs and Border Protection Port Director at the Port of exit 
immediately and amend the manifest. The carrier shall notify the USPPI 
or the authorized agent of changes to the commodity data, and the USPPI 
or the authorized agent shall electronically transmit the corrections, 
cancellations, or amendments as soon as the corrections are known in 
accordance with Sec.  30.9.
    (v) Retain documents pertaining to the export shipment as specified 
in Sec.  30.10.
* * * * *
    (e) * * *
    (1) * * *
    (xii) Ultimate consignee type, if known.
* * * * *
    (2) Authorized agent responsibilities. In a routed export 
transaction, if an authorized agent is preparing and filing the EEI on 
behalf of the FPPI, the authorized agent must obtain a power of 
attorney or written authorization from the FPPI and prepare and file 
the EEI based on information obtained from the USPPI or other parties 
involved in the transaction. The authorized agent shall be responsible 
for filing the EEI accurately and timely in accordance with the FTR. 
Upon request, the authorized agent will provide the USPPI with a copy 
of the power of attorney or written authorization from the FPPI. The 
authorized agent shall also retain documentation to support the EEI 
reported to the AES. The agent shall upon request, provide the USPPI 
with the Internal Transaction Number, date of export, and the data 
elements in paragraphs (e)(1)(i) through (xii) of this section as 
submitted to the AES. The authorized agent shall provide the following 
export information to the AES:
    (i) Date of export.
    (ii) Transportation Reference Number.
    (iii) Ultimate consignee.
    (iv) Intermediate consignee, if applicable.
    (v) Authorized agent name and address.
    (vi) EIN, or DUNS number of the authorized agent.
    (vii) Country of ultimate destination.
    (viii) Method of transportation.
    (ix) Carrier identification and conveyance name.
    (x) Port of export.
    (xi) Foreign port of unloading.
    (xii) Shipping weight.
    (xiii) ECCN if 15 CFR 758.1(g) requires that an ECCN be entered.
    (xiv) License information.
    (xv) Ultimate consignee type, if known.

    Note to Paragraph (e)(2) of this section:  For items in 
paragraphs (e)(2)(xiii) and (xiv) of this section, where the FPPI 
has assumed responsibility for determining and obtaining license 
authority, see requirements set forth in 15 CFR 758.3 of the EAR.

* * * * *
    5. Amend Sec.  30.4 by revising paragraphs (a)(6), (b)(1), (b)(2) 
introductory text, (c), and (d), redesignating paragraph (b)(3) as 
(b)(4) and adding paragraphs (b)(3) and (b)(5) to read as follows:


Sec.  30.4  Electronic Export Information filing procedures, deadlines, 
and certification statements.

* * * * *
    (a) * * *
    (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));
    (b) * * *
    (1) For USML shipments, refer to the ITAR (22 CFR 123.22(b)(1)) for 
specific requirements concerning predeparture filing timeframes. In 
addition, if a filer is unable to acquire an ITN because the AES is not 
operating, the filer shall not export until the AES is operating and an 
ITN is acquired.
    (2) For non-USML shipments, except shipments between the United 
States and Puerto Rico, file the EEI and provide the ITN as follows 
(See Sec.  30.4(b)(3), filing timeframes for shipments between the 
United States and Puerto Rico):
* * * * *
    (3) For shipments between the United States and Puerto Rico, the 
AES proof of filing citation, postdeparture filing citation, or 
exemption citation must be presented to the carrier by the time the 
shipment arrives at the port of unloading.
* * * * *
    (5) For used self-propelled vehicles as defined in 19 CFR 192.1 of 
U.S. Customs and Border Protection regulations, the USPPI or the 
authorized agent shall file the EEI as required by Sec.  30.6 and 
provide the filing citation to the exporting carrier at least 72 hours 
prior to export.
    (c) EEI transmitted postdeparture. Postdeparture filing is only 
available for approved USPPIs and provides for the electronic filing of 
the data elements

[[Page 4010]]

required by Sec.  30.6 no later than five (5) calendar days from the 
date of exportation. Postdeparture filing can only be used for an 
approved list of commodities. This list can be found at https://www.census.gov/aes. For U.S. principal parties in interest approved for 
postdeparture filing, all shipments containing only approved 
commodities (other than those for which predeparture filing is 
specifically required), by all methods of transportation, may be 
exported with the appropriate postdeparture filing citation and the EEI 
must be filed within five (5) calendar days from the date of export. 
Certified AES authorized agents or service centers may transmit 
information postdeparture on behalf of USPPIs approved for 
postdeparture filing, or the approved USPPI may transmit the data 
postdeparture itself.
    (d) Proof of filing citation and exemption legend. The USPPI or the 
authorized agent shall provide the exporting carrier with the proof of 
filing citation and exemption legends as described in Sec.  30.7.
    6. Amend Sec.  30.5 by revising paragraph (c) introductory text, 
paragraph (d)(1) and (d)(2); and adding paragraphs (c)(1)(ix) and 
(c)(3)(G) to read as follows:


Sec.  30.5  Electronic Export Information filing application and 
certification processes and standards.

* * * * *
    (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 from the date of export. Postdeparture filing 
can only be used for an approved list of commodities. This list can be 
found at https://www.census.gov/aes. The USPPI or its authorized agent 
may not transmit EEI postdeparture for commodities not found on the 
approved list of commodities. The USPPI may apply for postdeparture 
filing privileges by submitting a postdeparture filing application at 
https://www.census.gov/aes. An authorized agent may not apply on behalf 
of a USPPI. The Census Bureau will distribute the application to CBP 
and the other federal government partnership agencies participating in 
the AES postdeparture filing review process. 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 thirty (30) calendar days of receipt of the 
postdeparture filing application by the Census Bureau, or if a decision 
cannot be reached at that time, the USPPI will be notified of an 
extension for a final decision as soon as possible after the thirty 
(30) calendar days.
    (1) * * *
    (ix) The USPPI fails to demonstrate the ability to meet the AES 
predeparture filing requirements.
* * * * *
    (3) * * *
    (G) The USPPI or its authorized agent files postdeparture for 
commodities that are not on the approved list. See https://www.census.gov/aes for the list of approved commodities.
* * * * *
    (d) * * *
    (1) AESDirect user names and passwords are to be kept secure by the 
account administrator and not disclosed to any unauthorized user or any 
persons outside the registered company.
    (2) Registered companies are responsible for those persons having 
user name and password. If an employee with a user name and password 
leaves the company or otherwise is no longer an authorized user, the 
company shall immediately deactivate that username in the system to 
ensure the integrity and confidentiality of Title 13 data.
* * * * *
    7. Amend Sec.  30.6 as follows:
    a. Revise paragraphs (a)(1)(ii), (a)(3), (a)(5)(i), (a)(8), (a)(9), 
(a)(17) introductory text, (a)(19), and (a)(23);
    b. Revise paragraph (b);
    c. Add paragraphs (b)(1), (b)(2), (b)(3), (b)(7), (b)(19), (b)(22), 
(b)(23), and (b)(24); and
    d. Remove paragraphs (c)(1) and (c)(2):


Sec.  30.6  Electronic Export Information data elements.

* * * * *
    (a) * * *
    (1) * * *
    (ii) Address of the USPPI. In all EEI filings, the USPPI shall 
report the address or location (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 laden aboard a truck 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 the warehouse in Georgia. For shipments with 
multiple origins, report the address from which the commodity with the 
greatest value begins its export journey. If such information is not 
known, report the address in the state where the