Foreign Trade Regulations: Clarification on Filing Requirements, 18383-18393 [2017-07646]

Agencies

• DEPARTMENT OF COMMERCE
• Bureau of the Census

[Federal Register Volume 82, Number 74 (Wednesday, April 19, 2017)]
[Rules and Regulations]
[Pages 18383-18393]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2017-07646]



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Rules and Regulations
                                                Federal Register
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This section of the FEDERAL REGISTER contains regulatory documents 
having general applicability and legal effect, most of which are keyed 
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under 50 titles pursuant to 44 U.S.C. 1510.

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Federal Register / Vol. 82, No. 74 / Wednesday, April 19, 2017 / 
Rules and Regulations

[[Page 18383]]



DEPARTMENT OF COMMERCE

Bureau of the Census

15 CFR Part 30

[Docket Number: 151222999-7048-02]
RIN 0607-AA55


Foreign Trade Regulations: Clarification on Filing Requirements

AGENCY: Bureau of the Census, Commerce Department.

ACTION: Final rule.

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SUMMARY: The Bureau of the Census (Census Bureau) issues this Final 
Rule amending the Foreign Trade Regulations (FTR) to reflect new export 
reporting requirements. Specifically, the Census Bureau is making 
changes related to the implementation of the International Trade Data 
System (ITDS), in accordance with the Executive Order 13659, 
Streamlining the Export/Import Process for American Businesses. The 
ITDS was established by the Security and Accountability for Every 
(SAFE) Port Act of 2006. The changes also include the addition of the 
original Internal Transaction Number (ITN) data element in the 
Automated Export System (AES). Lastly, the Census Bureau is making 
remedial changes to improve clarity of the reporting requirements. 
These changes are discussed in detail in the SUPPLEMENTARY INFORMATION 
section.

DATES: This Final Rule is effective July 18, 2017.

FOR FURTHER INFORMATION CONTACT: Dale C. Kelly, Chief, International 
Trade Management Division, U.S. Census Bureau, Washington, DC 20233-
6010, by phone: (301) 763-6937, by fax: (301) 763-8835, or by email: 
dale.c.kelly@census.gov.

SUPPLEMENTARY INFORMATION:

Background

    The Census Bureau is responsible for collecting, compiling, and 
publishing trade statistics for the United States under the provisions 
of Title 13 of the United States Code (U.S.C.), Chapter 9, Section 301. 
The International Trade Data System (ITDS) is the means by which the 
data and business process needs of all Government agencies with a role 
in international trade will be incorporated into the design of the 
Automated Commercial Environment (ACE). Through the ITDS initiative, 
ACE will become the ``single window,'' the primary system through which 
the international trade community will submit import and export data 
and documentation required by all Federal agencies.
    The Automated Export System (AES), or any successor system, is the 
mechanism by which 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. In 
order to achieve the goals of the ITDS, the AES has been incorporated 
into ACE, the ``single window'' operated and maintained by U.S. Customs 
and Border Protection (CBP) as the primary system through which the 
international trade community will submit import and export data. 
Additionally, the AES will include export information collected under 
the authority of other federal agencies, which is subject to those 
agencies' disclosure mandates.
    The Census Bureau is adding a new original Internal Transaction 
Number (ITN) data element. The original ITN is an optional data element 
that can be used if a previously filed shipment is replaced or divided 
and for which a new EEI record(s) must be filed. The addition of the 
original ITN will assist the export trade community and enforcement 
agencies in verifying that a filer completed the mandatory filing 
requirements for the original shipment and any additional shipment(s).
    The revised timeframes for split shipments addressed in FTR Letter 
#6, Notice of Regulatory Change for Split Shipments, are incorporated 
into the regulatory text of this final rule.
    Finally, the U.S. Department of Homeland Security and the U.S. 
Department of State concur with the revisions to the FTR as required by 
Title 13, U.S.C., Section 303, and Public Law 107-228, div. B, title 
XIV, Section 1404.

Response to Comments

    The Census Bureau received 20 letters and emails commenting on the 
Notice of Proposed Rulemaking (NPRM) published in the Federal Register 
on March 9, 2016 (81 FR 12423). A summary of the comments and the 
Census Bureau's responses are provided below.
    The major concerns were as follows:
    1. Amend the Foreign Trade Regulations (FTR) to replace the term 
``Authorized agent'' with ``Authorized filing agent.'' One commenter 
suggested that replacing ``Authorized agent'' with ``Authorized filing 
agent'' would add clarity for the industry and make a distinction 
between the authorized agent for Bureau of Industry and Security (BIS) 
purposes and Census Bureau purposes. The FTR provides guidance on 
export reporting and filing requirements as it pertains to the 
Automated Export System (AES) and not licensing requirements for other 
agencies. Therefore, the Census Bureau has reviewed this recommendation 
and determined that the current language remains appropriate.
    2. Amend the definition of ``Filer'' to specify which entity 
approves the filer to submit Electronic Export Information (EEI). One 
commenter stated that the proposed definition of ``Filer'' is unclear 
as to who approves the U.S. Principal Party in Interest (USPPI) or 
authorized agent to file the EEI. The Census Bureau uses the definition 
section to clarify how terms are used in the FTR rather than to provide 
instructions. In addition, the proposed definition specifically was 
revised to make the reference to the USPPI and authorized agent 
singular. Therefore, the Census Bureau has reviewed the definition and 
the proposed language remains appropriate.
    3. Amend the proposed rule to retain the definition of ``Non Vessel 
Operating Common Carrier (NVOCC)'', as well as include NVOCC in the 
``Carrier'' definition. One commenter suggested to keep the NVOCC 
definition in the FTR and to revise the ``Carrier'' definition to 
reference NVOCCs. The Census Bureau has reviewed this section and the 
proposal to remove the NVOCC definition remains appropriate. However, 
the Census Bureau agrees that the carrier definition should be revised 
to reference NVOCCs because the Automated Export System Trade

[[Page 18384]]

Interface Requirements (AESTIR) allows the Standard Carrier Alpha Code 
of a NVOCC to be reported.
    4. Amend the proposed rule to remove the language, ``except as 
noted by the State Department Regulations'' in Sec.  30.2(a)(1)(iv)(C). 
One commenter was concerned that the proposed language requires the 
filer to reference the Department of State regulations for exceptions 
to the filing requirements for goods subject to the International 
Traffic in Arms Regulations (ITAR). They suggested that this proposal 
is problematic in that the forwarder or authorized filing agent needs 
an exemption legend for the carrier to denote these types of shipments. 
Another commenter was concerned that adding the language to reference 
the Department of State regulations would require a forwarder's 
employees to be familiar with a wide array of regulations issued by 
other agencies, as opposed to familiarizing themselves with only the 
FTR. The commenter suggested revising the FTR to list all exceptions 
from filing requirements noted in all relevant regulations issued by 
the federal government, including the Department of State. The Census 
Bureau recognizes it may be convenient for the Foreign Trade 
Regulations (FTR) to specifically identify other agencies' regulations. 
However, it is not feasible for the Census Bureau to ensure every 
agency's regulatory export requirements are included in the FTR. 
Therefore, it is imperative for the trade community to be familiar with 
all applicable export regulations that impact their transaction. The 
language at issue is being added to ensure consistency with the State 
Department regulations. The Census Bureau does not want to require 
mandatory reporting if the State Department regulations exempt EEI 
filing; therefore, the proposed language remains appropriate.
    5. Amend the proposed rule to add language requiring the filer 
name, address, filer ID and shipment reference number (SRN) be provided 
to the USPPI upon request in a routed export transaction. One commenter 
suggested that the filer name, address, filer ID and SRN be provided to 
the USPPI in the Automated Commercial Environment (ACE) USPPI Agent-
Filed Routed Transactions Report (ACE 203 Report). The additional 
information would help the USPPI identify the appropriate company to 
contact if there are questions about the data. The Census Bureau 
acknowledges that providing the data elements proposed by the commenter 
in addition to the data elements proposed in the NPRM would assist the 
trade community in more effectively utilizing the ACE 203 Report. 
Therefore, the Census Bureau has revised Sec.  30.3(e)(2) to include 
the filer name in addition to the date of export and Internal 
Transaction Number (ITN) as proposed in the NPRM. However, the filer 
address, filer ID, and SRN will not be added at this time to allow the 
Census Bureau to obtain additional feedback through a future NPRM to 
assess the impact of those changes.
    6. Clarify the filing requirements for in-transit shipments between 
the United States and Puerto Rico. One commenter suggested that Sec.  
30.4(b)(3) be revised to clarify the filing requirements regarding in-
transit shipments that pass through the United States en route to 
Puerto Rico or vice versa. The Census Bureau has reviewed this section 
and the current language remains appropriate because in-transit 
shipments under bond are excluded per Sec.  30.2(d)(1) and Sec.  
30.2(a)(1) establishes the filing requirements.
    7. Clarify who should be reported as the USPPI contact in an export 
transaction. One commenter asked if generic entries such as ``Export 
Department'' or ``Shipping Department'' are valid entries for the USPPI 
contact information per Sec.  30.6(a)(1)(iv). The Census Bureau expects 
that using the word ``person'' in the proposed definition, and by not 
referring to a ``legal entity'', the filer understands the contact 
information must include the name of the person who has the most 
knowledge regarding the specific shipment or related export controls 
instead of a group or department. Therefore, the Census Bureau has 
reviewed this section and the proposed language remains appropriate.
    8. Amend the proposed rule to make the Export Control 
Classification Number (ECCN) a mandatory data element. One commenter 
suggested that the ECCN should be required for all shipments because it 
is necessary to determine if a shipment requires a license from the 
Bureau of Industry and Security (BIS). The Census Bureau has reviewed 
this section and provided the comment to the BIS to evaluate the 
feasibility of adding this requirement to the Export Administration 
Regulations (EAR). The Census Bureau determined that the ECCN will 
remain a conditional data element as outlined in Sec.  30.6(b)(6) of 
the FTR. Therefore, the current language remains appropriate.
    9. Amend the proposed rule to include a 7 day timeframe for split 
shipments by vessel. One commenter suggested that the split shipment 
timeframe for vessel shipments should be changed from 24 hours to 7 
days as will be allowed for air, truck, or rail shipments pursuant to 
Sec.  30.28. The Census Bureau conferred with members of the vessel 
industry and U.S. Customs and Border Protection, who indicated that the 
24 hour timeframe is sufficient to submit the required information for 
vessel shipments. As a result, the proposed language remains 
appropriate.
    10. Amend the proposed rule to retain the language outlining the 
filing procedures for succeeding parts of a split shipment. One 
commenter suggested that the Census Bureau retain the current language 
in Sec.  30.28(c) to ensure that it is clear that succeeding parts of a 
split shipment do not require an additional EEI record. The Census 
Bureau has reviewed this section and determined that this language 
should be retained. As a result, the Census Bureau has added language 
to the opening paragraph of Sec.  30.28 to clarify the filing 
requirements.
    11. Clarify the proper use of the original ITN data element for the 
trade community and CBP. One commenter suggested that detailed guidance 
be provided to CBP ports regarding the use of the original ITN, 
specifically as it pertains to the issuance of penalties related to 
split shipments. Another commenter requested that additional examples 
be provided to understand the exact purpose of the new data element. 
The Census Bureau has reviewed the recommendations and determined the 
proposed regulations remain appropriate. In addition, the Census Bureau 
will conduct extensive outreach and add Frequently Asked Questions with 
specific examples of the proper use of the original ITN to ensure the 
trade community and CBP understand the intended purpose.
    12. Amend the proposed rule to clarify the license value reporting 
requirements for repairs and replacements that are subject to the ITAR. 
One commenter stated that ITAR controlled goods imported for repair are 
eligible for a license exemption and therefore, a license value cannot 
be reported. The Census Bureau has reviewed this section and agrees 
that goods exported under a license exemption do not require a license 
value to be reported. As a result, the Census Bureau has added language 
to Sec.  30.29(a)(2) to clarify the license value is only required for 
licensed shipments.
    13. Amend the proposed rule to clarify the term ``Commercial 
document'' and to remove the reference to the license value reporting 
requirements. One commenter questioned whether the term ``commercial 
document'' referenced in Sec.  30.29(b)(2) included bills of lading and 
suggested adding language to clarify. In

[[Page 18385]]

addition, the commenter requested that the reference to Sec.  
30.6(b)(15) be removed. The Census Bureau has reviewed Sec.  
30.29(b)(2) and replaced ``commercial document'' with ``commercial 
loading documents'' because this defined term includes the bill of 
lading. With regards to removing the reference to Sec.  30.6(b)(15), 
the current proposed language remains appropriate as this sentence is 
specifically referring to licensed goods by a U.S. government agency.
    14. Amend the FTR to revise and/or remove Appendices. One commenter 
suggested revising Appendix B of the FTR to include all license type 
codes by either updating the list or referencing Appendix F of the 
AESTIR. They also suggested removing Appendix F of the FTR because it 
is no longer necessary. Another commenter suggested revising the title 
of Appendix D of the FTR. The Census Bureau has reviewed all of the 
Appendices and agrees that several need to be revised or removed. The 
Appendices were initially created to assist with the transition from 
the Foreign Trade Statistics Regulations to the FTR. Given that this 
transition occurred in 2008, several Appendices are no longer 
necessary. The Census Bureau has reviewed the appendices and is 
removing Appendices B, C, E, and F, while revising and redesignating 
Appendix D as the new Appendix B.
    15. Amend the proposed rule to remove the requirement to report the 
used electronics indicator (UEI). Several commenters expressed multiple 
concerns pertaining to the addition of the UEI. The following concerns 
were expressed in the comments received.
    (a) The requirement to report the UEI is not mandated, or justified 
by the authorities cited. The National Strategy for Electronics 
Stewardship, Resource Conservation and Recovery Act (RCRA), and 
Executive Order (EO) 13693 were all cited in the NPRM; however, these 
legal authorities and directives do not align with the stated purpose 
for collecting the UEI.
    (b) The addition of the UEI will increase reporting burden for the 
trade community. The NPRM did not appear to give a thorough review of 
the impact of burden to the trade community under the Regulatory 
Flexibility Act and the Paperwork Reduction Act.
    (c) The definition is overly broad for used electronics and goes 
beyond the purpose of tracking electronics for ``disposal,'' as cited 
in the RCRA and EO 13693.
    (d) The filing requirements for the UEI are unclear as it pertains 
to reporting repairs, temporary exports, and shipments containing both 
new and used electronics.
    (e) The NPRM does not indicate what confidential data elements from 
the EEI will be shared with the Environmental Protection Agency (EPA).
    (f) The requirement for the UEI lacks any reasonable justification 
to make a distinction between operable used electronics and new 
electronics when reporting EEI.
    (g) The UEI will impose excessive costs associated with the 
implementation of new processes and related system changes. The 
timeframe to complete the programming changes will be very significant 
and will require an extended implementation period.
    (h) Information related to used electronics could be obtained via 
commodity classification numbers and/or via ACE reports as opposed to 
increasing the burden on the trade by requiring the UEI.

The Census Bureau acknowledges these concerns and held multiple 
discussions with the U.S. Environmental Protection Agency. The comments 
received reflected concerns about the clarity of and the burden related 
to the proposed requirement. At this time, the Census Bureau has 
decided to eliminate the requirement to report used electronics in the 
Final Rule.
    16. Amend the proposed rule to divide the AES certification and 
filing requirements into two sections. One commenter suggested that the 
AES certification and filing requirements should be divided into two 
sections in order to add clarity. The Census Bureau has reviewed Sec.  
30.2(c) and agrees dividing the section based on the filing method, 
AESDirect or methods other than AESDirect, will add clarity. The Census 
Bureau also provided additional details to clarify when the 
certification process is required.
    17. Amend the proposed rule to add the definition of ``U.S. Postal 
Service customs declaration form'' and incorporate this term in 
multiple definitions. One commenter suggested that the definitions of 
``AES downtime filing citation,'' ``Annotation,'' ``Exemption legend,'' 
``Postdeparture filing citation,'' and ``Proof of filing citation'' 
should specifically reference the ``U.S. Postal Service customs 
declaration form'' in order to add clarity. The Census Bureau has 
reviewed Sec.  30.1(c) and agrees a definition for ``U.S. Postal 
Service customs declaration form'' should be added. In addition, rather 
than including a reference to the ``U.S. Postal Service customs 
declaration form'' in the definitions proposed by the commenter, the 
Census Bureau has added this term to the ``Commercial loading 
document'' definition.
    18. Amend the proposed rule to more accurately reflect U.S. Postal 
Service operations. One commenter suggested that Sec.  30.8(a) be 
revised to reference mail exports, the U.S. Postal Service customs 
declaration, and the Postal Service instead of the postmaster. The 
Census Bureau has reviewed this section and incorporated the 
recommendations of the commenter.
    19. Amend the proposed rule to add clarity to the term ``mail 
cargo'' and ``filing citation or exemption legend.'' One commenter 
proposed revisions to the phrases ``mail cargo'' and ``filing citation 
or exemption legend.'' The Census Bureau has reviewed Sec.  
30.4(b)(2)(v) and agrees to revise this section to read ``mail'' rather 
than ``mail cargo.'' In addition, the phrase ``filing citation or 
exemption legend'' will be revised to read ``proof of filing citation, 
postdeparture filing citation, AES downtime filing citation, exemption 
or exclusion legend.'' The distinction between exemption legends and 
exclusion legends is made because the terms are not mutually exclusive. 
A shipment may contain items that do not require filing per an 
exemption and exclusion.
    20. Amend the proposed rule to clarify the exemptions for Country 
Group E:1. One commenter suggested that Sec.  30.37(y) be revised to 
remove paragraphs 1-6 and replace this section with a general exemption 
for Country Group E:1 with a reference to both the Bureau of Industry 
and Security (BIS) and Office of Foreign Assets Control (OFAC). In 
addition, the commenter proposed including references to Country Group 
E:2 with all references to Group E:1 to ensure consistency with the 
Export Administration Regulations (EAR). The Census Bureau has 
consulted with the BIS on the relevant sections and agrees that Country 
Group E:2 should also be referenced. In regards to significantly 
revising Sec.  30.37(y), the Census Bureau will work with BIS and OFAC 
to ensure consistency amongst the various regulations and, if the 
Census Bureau deems necessary, will propose any changes in a future 
NPRM in order to afford the public the ability to comment on any 
potential changes to the filing requirements.
    21. Comments in Support of the Final Rule. Several commenters 
expressed support of the changes proposed in the NPRM.
    (a) A commenter supported the proposed amendments and suggested 
that the rule pass because the changes would add clarity to the 
regulations,

[[Page 18386]]

improve the quality of trade data, and contribute to a stronger 
International Trade Data System.
    (b) One commenter supported the revisions to filing deadlines for 
pipeline shipments, as stated in Sec.  30.4(c)(2) and Sec.  30.6(a)(5), 
because it will add clarity to the current regulations and is 
consistent with the filing conventions that have been agreed to as part 
of the trade working group with the Census Bureau.
    (c) Several commenters supported the addition of the original ITN 
field because of the clarity it will provide when an entity needs to 
provide the ITN associated with a previously filed shipment that is 
replaced or divided and for which additional shipment(s) must be filed.

Changes to the Proposed Rule Made by This Final Rule

    After consideration of the comments received, the Census Bureau 
revised and added certain provisions in the Final Rule to address the 
concerns of commenters and to clarify the requirements of the rule. The 
changes made in this Final Rule are as follows:
     Amend the proposed rule to remove the definition and 
filing requirement for the used electronics indicator.
     Section 30.1(c) is amended to revise the definition of 
``Carrier'' to include a Non Vessel Operating Common Carrier (NVOCC) as 
an example of a carrier because the Automated Export System Trade 
Interface Requirements allows the Standard Carrier Alpha Code of a 
NVOCC to be reported.
     Section 30.1(c), is amended to add the definition of 
``U.S. Postal Service customs declaration form'' to identify the 
shipment document used for exports by mail.
     Section 30.1(c), is amended to revise the definition of 
``Commercial loading document'' to include the U.S. Postal Service 
customs declaration form as an example of a commercial loading 
document.
     The note to Sec.  30.2(a)(1)(iv) is amended to add Country 
Group E:2 to ensure consistency with the Export Administration 
Regulations (EAR).
     Section 30.2(c) is amended to clarify the application and 
certification process by dividing the section based on the filing 
method, AESDirect or methods other than AESDirect. As a result, the 
title was amended to read as ``Application and Certification Process'' 
as opposed to ``Certification and Filing Requirements.''
     Section 30.3(e)(2) is amended to add language requiring 
the authorized agent to provide the filer name in addition to the 
Internal Transaction Number (ITN) and date of export as proposed in the 
NPRM, when requested by the U.S. Principal Party in Interest in a 
routed transaction.
     Section 30.4(b)(2)(v) is amended to read ``mail'' rather 
than ``mail cargo'' and the phrase ``filing citation or exemption 
legend'' will be revised to read ``proof of filing citation, 
postdeparture filing citation, AES downtime filing citation, exemption 
or exclusion legend.''
     Section 30.8(a) is amended to more accurately reflect U.S. 
Postal Service operations.
     Section 30.16(d) is amended to add Country Group E:2 to 
ensure consistency with the EAR.
     Section 30.28 is amended to add language removed from 
30.28(c) to the opening paragraph.
     Section 30.29(a)(2) is amended by clarifying that a 
license value is only required to be reported for shipments licensed by 
a U.S. Government agency.
     Section 30.29(b)(2) is amended to replace the term 
``commercial document'' with the defined term ``commercial loading 
documents''.
     Section 30.37(y) is amended to add Country Group E:2 to 
ensure consistency with the EAR.
     Delete Appendices B, C, E and F because the Appendices 
were initially created to assist the trade in transitioning from the 
Foreign Trade Statistics Regulations (FTSR) to the FTR and are no 
longer necessary. As a result of deleting Appendices B, C, E, and F, 
Appendix D is redesignated as Appendix B.

Program Requirements

    In addition to the above changes the Census Bureau is amending 
relevant sections of the FTR in order to comply with the requirements 
of the Foreign Relations Act, Public Law 107-228. The following 
sections of the FTR are amended to revise or clarify export reporting 
requirements and are unchanged from the Notice of Proposed Rulemaking 
of March 9, 2016, titled Foreign Trade Regulations: Clarification on 
Filing Requirements (RIN 0607-AA55):
     In Sec.  30.1(c), revise the definition of ``AES 
applicant'' to remove the text ``applies to the Census Bureau for 
authorization to'' and ``or its related applications'' because the 
registration will no longer go through the Census Bureau. Rather, the 
registration will be submitted to CBP through its Web site or through 
ACE and will be processed by CBP. In addition, related applications 
will be eliminated.
     In Sec.  30.1(c), revise the definition of ``AESDirect'' 
to clarify the appropriate parties that can transmit Electronic Export 
Information (EEI) through the AES, clarify that all regulatory 
requirements pertaining to the AES also apply to AESDirect, and 
eliminate the reference to the URL.
     In Sec.  30.1(c), revise the definition of ``AES downtime 
filing citation'' to remove filing requirements from the definition.
     In Sec.  30.1(c), remove the definition of ``AES 
participant application (APA)'' because the APA is no longer used for 
filers to obtain access to the AES.
     In Sec.  30.1(c), revise the definition of ``Annotation'' 
to remove the word ``placed'' to eliminate the implication of a manual 
process and add ``or electronic equivalent'' to allow for an electronic 
process.
     In Sec.  30.1(c), add the definition of ``Automated 
Commercial Environment (ACE)'' to identify the system through which the 
trade community reports data.
     In Sec.  30.1(c), revise the definition of ``Automated 
Export System (AES)'' to clarify that AES is accessed through the 
Automated Commercial Environment.
     In Sec.  30.1(c), revise the definition of ``Bill of 
lading (BL)'' to distinguish between the responsibilities of the 
carrier and the authorized agent.
     In Sec.  30.1(c), revise the definition of ``Container'' 
to make the language consistent with Article 1 of the Customs 
Convention on Containers.
     In Sec.  30.1(c), remove the definition of ``Domestic 
exports'' because this term is not used in the FTR and add the 
definition of ``Domestic goods.''
     In Sec.  30.1(c), revise the definition of ``Electronic 
Export Information (EEI)'' to reference the Shipper's Export 
Declaration itself as opposed to the information collected on the SED.
     In Sec.  30.1(c), revise the definition ``Fatal error 
message'' by removing the following sentence to remove the regulatory 
requirements from the definition: ``The filer is required to 
immediately correct the problem, correct the data, and retransmit the 
EEI.''
     In Sec.  30.1(c), revise the term ``Filers'' to ``Filer'' 
and revise the definition to reduce redundancy.
     In Sec.  30.1(c), remove the definition of ``Foreign 
exports'' because this term is not used in the FTR and add the 
definition of ``Foreign goods.''
     In Sec.  30.1(c), remove the definition for ``Non Vessel 
Operating Common Carrier (NVOCC)'' because the term is not referenced 
in the FTR.
     In Sec.  30.1(c), revise the definition of ``Proof of 
filing citation'' by removing the word ``placed'' to eliminate the 
implication of a manual process and allow for an electronic process.

[[Page 18387]]

     In Sec.  30.1(c), remove the definition of ``Reexport'' 
because the term is not used for statistical purposes in the FTR.
     In Sec.  30.1(c), revise the definition of ``Service 
center'' to clarify the role of a service center as it pertains to the 
FTR.
     In Sec.  30.1(c), revise the term ``Shipment reference 
number'' to read as ``Shipment Reference Number (SRN).''
     In Sec.  30.1(c), revise the definition of ``Split 
shipment'' to incorporate the revised timeframes addressed in FTR 
Letter #6, Notice of Regulatory Change for Split Shipments.
     In Sec.  30.1(c), revise the term ``Transportation 
reference number'' to read as ``Transportation Reference Number 
(TRN).''
     Revise Sec.  30.2(a)(1)(iv)(A) to ensure consistency with 
the Department of Commerce, Bureau of Industry and Security 
regulations.
     Revise Sec.  30.2(a)(1)(iv)(C) to add language which notes 
that the filer must reference the Department of State regulations for 
exceptions to the filing requirements for goods subject to the ITAR.
     Revise Sec.  30.2(b)(3) to remove the reference to 
``30.4(b)(3)'' and add ``30.4(b)(4)'' in its place.
     Revise Sec.  30.3(e)(2) to add paragraph (xv) ``Ultimate 
consignee type'' to clarify that the authorized agent is responsible 
for reporting the ultimate consignee type in a routed export 
transaction.
     Revise Sec.  30.4(b)(2)(v) to reference only mail 
shipments by removing the words ``and cargo shipped by other modes, 
except pipelines'' because all other modes are covered in paragraph 
(vi). In addition, revise language to replace ``exporting carrier'' 
with ``U.S. Postal Service'' and remove the reference to Sec.  30.46 
because pipeline language has been added to Sec.  30.4(c)(2).
     Revise Sec.  30.4(b)(3) to indicate that the USPPI or 
authorized agent must provide the proof of filing citation, 
postdeparture filing citation, AES downtime citation, exemption or 
exclusion legend to the carrier.
     Revise Sec.  30.4(c) by removing the introductory text.
     Revise Sec.  30.4 by adding paragraphs (c)(1) to address 
current postdeparture filing procedures and (c)(2) to address pipeline 
filing procedures.
     Revise the title of Sec.  30.5 to be ``Electronic Export 
Information filing processes and standards'' to accurately reflect the 
information that remains in this section because the AES application 
and certification process are removed.
     Revise Sec.  30.5 to remove the introductory text and 
remove and reserve paragraphs (a) and (b) because the certification 
process is now addressed in Sec.  30.2(c).
     Remove Sec.  30.5(d)(3) to remove outdated requirements.
     Revise Sec.  30.5(f) to amend outdated information.
     In Sec.  30.6, revise the introductory text to add 
language indicating that additional elements collected in ITDS are 
mandated by the regulations of other federal government agencies.
     Revise Sec.  30.6(a)(1) to include the definition of the 
USPPI for consistency with the format for other data elements.
     Revise Sec.  30.6(a)(1)(iii) to clarify the use of an 
Employer Identification Number (EIN) and include the Data Universal 
Numbering System (DUNS) number as an acceptable USPPI ID number.
     Revise Sec.  30.6(a)(1)(iv) to clarify whose contact 
information should be provided in the AES for the USPPI.
     Revise Sec.  30.6(a)(5)(i) to clarify the country of 
ultimate destination to be reported with respect to shipments under BIS 
and State Department export licenses.
     Revise Sec.  30.6(a)(5)(ii) and add paragraphs (A) through 
(C) to clarify the country of ultimate destination to be reported with 
respect to shipments not moving under an export license.
     Revise Sec.  30.6(a)(11) by removing paragraphs (i) and 
(ii) because domestic goods and foreign goods are now included in Sec.  
30.1(c) as definitions.
     Revise Sec.  30.6(a)(19) to conform with the revised term 
``Shipment Reference Number (SRN).''
     Revise the title of Sec.  30.6(b)(14) to conform with the 
revised term ``Transportation Reference Number (TRN).''
     Revise Sec.  30.6(c) to add paragraph (3) to include the 
original ITN field. Adding the original ITN field will assist the 
export trade community and enforcement agencies in identifying that a 
filer completed the mandatory filing requirements for the original 
shipment and any additional shipment(s).
     Remove Sec.  30.10(a)(1) and (2) because the electronic 
certification notice is no longer provided.
     In Sec.  30.28, revise the introductory text to 
incorporate the revised timeframes addressed in FTR Letter #6, Notice 
of Regulatory Change for Split Shipments.
     Revise Sec.  30.28(a) to allow for an electronic process 
and incorporate the revised timeframes.
     Revise Sec.  30.28 by removing paragraph (c) because this 
information is included in the introductory text.
     Revise Sec.  30.29(a)(1) to remove the phrase ``non-USML 
goods'' and add the phrase ``goods not licensed by a U.S. Government 
agency and not subject to the ITAR'' in its place.
     Revise Sec.  30.29(a)(2) to remove the phrase ``USML 
goods'' and add the phrase ``goods licensed by a U.S. Government agency 
or subject to the ITAR'' in its place.
     Revise Sec.  30.29(b)(2) to remove the phrase ``non-USML'' 
and add the phrase ``goods not licensed by a U.S. Government agency in 
its place.
     Revise Sec.  30.29(b)(2) to remove the phase ``USML 
shipments'' and add the phrase ``goods licensed by a U.S. Government 
agency in its place.
     Revise Sec.  30.36(b)(4) to ensure consistency with the 
Export Administration Regulations.
     Revise the titles to Subpart E and Sec.  30.45, revise 
paragraphs 30.45(a), (a)(1) and (b), remove and reserve paragraph 
30.45(a)(2) and (a)(3), and remove 30.45(c) through 30.45(f) to ensure 
consistency with the CBP regulations.
     Revise Sec.  30.46 through 30.49 by removing and reserving 
these sections.
     Revise the introductory text in Sec.  30.50 to replace 
``Automated Broker Interface (ABI)'' with ``Automated Commercial 
Environment (ACE)''.
     Revise the introductory text in Sec.  30.53 to provide 
more detail for classifying goods temporarily imported for repair and 
remove paragraphs 30.53(a) and 30.53(b).
     Revise Sec.  30.74 paragraph (c)(5) to indicate the new 
division name and revise the address.
     Redesignate Appendix D as Appendix B. Revise the title to 
read ``Appendix B to Part 30--AES Filing Citation, Exemption and 
Exclusion Legends'' and remove ``I. USML Proof of Filing Citation'', 
``XII. Proof of filing citations by pipeline'', and renumber remaining 
entries.
     Revise new Appendix B numbers III and IV to clarify the 
dates listed in the examples are the dates of export.
     Remove Appendices C through F because they are no longer 
needed to help transition the trade community from the Foreign Trade 
Statistics Regulations to the Foreign Trade Regulations.

Classification

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. The factual basis for this 
determination was published in the proposed rule and is not repeated 
here. No comments were received regarding this certification. As a 
result, a

[[Page 18388]]

regulatory flexibility analysis was not required and none was prepared.

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 and 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 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 
amending 15 CFR part 30 as follows:

PART 30--FOREIGN TRADE REGULATIONS

0
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 
No. 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; Pub. L. 107-228, 116 
Stat. 1350.


0
2. Amend Sec.  30.1(c) by:
0
a. Revising the definitions for ``AES applicant'', ``AESDirect'', and 
``AES downtime filing citation'';
0
b. Removing the definition for ``AES participant application (APA)'';
0
c. Revising the definition for ``Annotation'';
0
d. Adding in alphabetical order the definition for ``Automated 
Commercial Environment (ACE)'';
0
e. Revising the definitions for ``Automated Export System (AES)'', 
``Bill of lading (BL)'', ``Carrier'', ``Commercial loading document'', 
and ``Container'';
0
f. Removing the definition for ``Domestic exports'';
0
g. Adding in alphabetical order the definition for ``Domestic goods'';
0
h. Revising the definition for ``Electronic export information (EEI)'' 
and ``Fatal error message'';
0
i. Remove the definition for ``Filers'' and add in its place a 
definition for ``Filer'';
0
j. Removing the definition for ``Foreign exports'';
0
k. Adding in alphabetical order the definition for ``Foreign goods'';
0
l. Removing the definition for ``Non-Vessel Operating Common Carrier'';
0
m. Revising the definition for ``Proof of filing citation'';
0
n. Removing the definition for ``Reexport'';
0
o. Revising the definitions for ``Service center'', ``Shipment 
reference number'', ``Split shipment'', and ``Transportation reference 
number''; and
0
p. Adding in alphabetical order the definition for ``U.S. Postal 
Service customs declaration form''.
    The revisions and additions read as follows:


Sec.  30.1  Purpose and definitions.

* * * * *
    (c) * * *
    AES applicant. The USPPI or authorized agent who reports export 
information electronically to the AES, or through AESDirect.
    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 AESDirect.
    AES downtime filing citation. A statement used in place of a proof 
of filing citation when the AES or AESDirect are inoperable.
* * * * *
    Annotation. An explanatory note (e.g., proof of filing citation, 
postdeparture filing citation, AES downtime filing citation, exemption 
or exclusion legend) on the bill of lading, air waybill, export 
shipping instructions, other commercial loading documents or electronic 
equivalent.
* * * * *
    Automated Commercial Environment (ACE). A CBP authorized electronic 
data interchange system for processing import and export data.
    Automated Export System (AES). The system for collecting EEI (or 
any successor to the Shipper's Export Declaration) from persons 
exporting goods from the United States, Puerto Rico, or the U.S. Virgin 
Islands; between Puerto Rico and the United States; and to the U.S. 
Virgin Islands from the United States or Puerto Rico. The AES is 
currently accessed through the Automated Commercial Environment.
* * * * *
    Bill of Lading (BL). A document that establishes the terms of a 
contract under which freight is to be moved between specified points 
for a specified charge. It is issued by the carrier based on 
instructions provided by the shipper or its authorized agent. It may 
serve as a document of title, a contract of carriage, and a receipt for 
goods.
* * * * *
    Carrier. An individual or legal entity in the business of 
transporting passengers or goods. Airlines, trucking companies, 
railroad companies, shipping lines, pipeline companies, slot 
charterers, and Non-Vessel Operating Common Carriers (NVOCCs) are all 
examples of carriers.
* * * * *
    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, the shipper's agent or the carrier 
and serves as a contract of carriage. Examples of commercial loading 
documents include the air waybill, ocean bill of lading, truck bill, 
rail bill of lading, and U.S. Postal Service customs declaration form.
* * * * *
    Container. The term container shall mean an article of transport 
equipment (lift-van, movable tank or other similar structure):
    (i) Fully or partially enclosed to constitute a compartment 
intended for containing goods;
    (ii) Of a permanent character and accordingly strong enough to be 
suitable for repeated use;
    (iii) Specially designed to facilitate the carriage of goods, by 
one or more modes of transport, without intermediate reloading;
    (iv) Designed for ready handling, particularly when being 
transferred from one mode of transport to another;
    (v) Designed to be easy to fill and to empty; and
    (vi) Having an internal volume of one cubic meter or more; the term 
``container'' shall include the accessories and equipment of the 
container, appropriate for the type concerned, provided that such 
accessories and equipment are carried with the container. The term 
``container'' shall not include vehicles, accessories or spare parts of 
vehicles, or packaging. Demountable bodies are to be treated as 
containers.
* * * * *

[[Page 18389]]

    Domestic goods. Goods that are grown, produced, or manufactured in 
the United States, or previously imported goods that have undergone 
substantial transformation in the United States, including changes made 
in a U.S. FTZ, from the form in which they were imported, or that have 
been substantially enhanced in value or improved in condition by 
further processing or manufacturing in the United States.
* * * * *
    Electronic Export Information (EEI). The electronic export data as 
filed in the AES. This is the electronic equivalent of the export data 
formerly collected on the Shipper's Export Declaration (SED) and now 
mandated to be filed through the AES or AESDirect.
* * * * *
    Fatal error message. An electronic response sent to the filer by 
the AES when invalid or missing data has been encountered, the EEI has 
been rejected, and the information is not on file in the AES.
    Filer. The USPPI or authorized agent (of either the USPPI or FPPI) 
who has been approved to file EEI.
* * * * *
    Foreign goods. Goods that were originally grown, produced, or 
manufactured in a foreign country, then subsequently entered into the 
United States, admitted to a U.S. FTZ, or entered into a CBP bonded 
warehouse, but not substantially transformed in form or condition by 
further processing or manufacturing in the United States, U.S. FTZs, 
Puerto Rico, or the U.S. Virgin Islands.
* * * * *
    Proof of filing citation. A notation on the bill of lading, air 
waybill, export shipping instructions, other commercial loading 
document or electronic equivalent, usually for carrier use, that 
provides evidence that the EEI has been filed and accepted in the AES.
* * * * *
    Service center. A company, entity, or organization that has been 
certified and approved to facilitate the transmission of EEI to the 
AES.
* * * * *
    Shipment Reference Number (SRN). A unique identification number 
assigned to the shipment by the filer for reference purposes. The reuse 
of the SRN is prohibited.
* * * * *
    Split shipment. A shipment covered by a single EEI record booked 
for export on one conveyance, that is divided by the exporting carrier 
prior to export where the cargo is sent on two or more of the same 
conveyances of the same carrier leaving from the same port of export 
within 24 hours by vessel or 7 days by air, truck or rail.
* * * * *
    Transportation Reference Number (TRN). A reservation number 
assigned by the carrier to hold space on the carrier for cargo being 
shipped. It is the booking number for vessel shipments, the master air 
waybill number for air shipments, the bill of lading number for rail 
shipments, and the freight or pro bill for truck shipments.
* * * * *
    U.S. Postal Service customs declaration form. The shipping 
document, or its electronic equivalent, that a mailer prepares to 
declare the contents for the purposes of domestic and foreign customs 
authorizations and other relevant government agencies. For more 
information, please see Mailing Standards of the United States Postal 
Service, International Mail Manual, section 123.
* * * * *

0
3. Amend Sec.  30.2 by revising paragraphs (a)(1)(iv)(A), 
(a)(1)(iv)(C), Note to paragraph (a)(1)(iv), (b)(3), and (c) to read as 
follows:


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

    (a) * * *
    (1) * * *
    (iv) * * *
    (A) Requiring a Department of Commerce, Bureau of Industry and 
Security (BIS) license or requiring reporting under the Export 
Administration Regulations (15 CFR 758.1(b)).
* * * * *
    (C) Subject to the ITAR, but exempt from license requirements, 
except as noted by the ITAR.
* * * * *

    Note to Paragraph (a)(1)(iv): For the filing requirement for 
exports destined for a country in Country Group E:1 or E:2 as set 
forth in the Supplement No. 1 to 15 CFR part 740, see FTR Sec.  
30.16.

* * * * *
    (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 (4)).
* * * * *
    (c) Application and certification process. The USPPI or authorized 
agent will either submit an ACE Exporter Account Application or a 
Letter of Intent based on their transmission method and, as a result, 
may be subject to the certification process.
    (1) AESDirect. USPPIs or authorized agents who choose to file via 
the AESDirect shall complete an online ACE Exporter Account 
Application. In addition, once the ACE Exporter Account is created, all 
users must agree to the AES Certification Statements prior to filing 
through AESDirect.
    (2) Methods other than AESDirect. USPPIs or authorized agents who 
choose to file by a means other than AESDirect shall submit a Letter of 
Intent to CBP and may be required to complete the certification 
process.
    (i) Certification. A two-part communication test to ascertain 
whether the system is capable of both transmitting data to and 
receiving responses from the AES. CBP client representatives make the 
sole determination as to whether or not the system of the self-
programming filer, service center, or software vendor passes 
certification.
    (ii) Parties requiring certification:
    (A) Self-programming USPPIs or authorized agents;
    (B) Service centers; and
    (C) Software vendors who develop AES software.
* * * * *

0
4. Amend Sec.  30.3 by revising the introductory text of paragraph 
(e)(2) and adding paragraph (e)(2)(xv) to read as follows:


Sec.  30.3  Electronic Export Information filer requirements, parties 
to export transactions, and responsibilities of parties to export 
transactions.

* * * * *
    (e) * * *
    (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 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 through the AES. The authorized agent shall upon request, 
provide the USPPI with the data elements in paragraphs (e)(1)(i) 
through (xii) of this section, the date of export as submitted through 
the AES, the filer name, and the ITN. The authorized

[[Page 18390]]

agent shall provide the following information through the AES:
* * * * *
    (xv) Ultimate consignee type.
* * * * *

0
5. Amend Sec.  30.4 by revising paragraphs (b)(2)(v), (b)(3) and (c) to 
read as follows:


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

* * * * *
    (b) * * *
    (2) * * *
    (v) For mail, the USPPI or the authorized agent shall file the EEI 
as required by Sec.  30.6 and provide the proof of filing citation, 
postdeparture filing citation, AES downtime filing citation, exemption 
or exclusion legend to the U.S. Postal Service no later than two (2) 
hours prior to exportation.
* * * * *
    (3) For shipments between the United States and Puerto Rico, the 
USPPI or authorized agent shall provide the proof of filing citation, 
postdeparture filing citation, AES downtime filing citation, exemption 
or exclusion legend to the exporting carrier by the time the shipment 
arrives at the port of unloading.
* * * * *
    (c) EEI transmitted postdeparture--(1) Postdeparture filing 
procedures. Postdeparture filing is only available for approved USPPIs. 
For all methods of transportation other than pipeline, approved USPPIs 
or their authorized agent may file data elements required in accordance 
with Sec.  30.6 no later than five (5) calendar days after the date of 
exportation, except for shipments where predeparture filing is 
specifically required.
    (2) Pipeline filing procedures. USPPIs or authorized agents may 
file data elements required by Sec.  30.6 no later than four (4) 
calendar days following the end of the month. The operator of a 
pipeline may transport goods to a foreign country without the prior 
filing of the proof of filing citation, exemption, or exclusion legend, 
on the condition that within four (4) calendar days following the end 
of each calendar month the operator will deliver to the CBP Port 
Director the proof of filing citation, exemption, or exclusion legend 
covering all exports through the pipeline to each consignee during the 
month.
* * * * *

0
6. Amend Sec.  30.5 by revising the section heading, removing the 
introductory text, removing and reserving paragraphs (a) and (b), 
removing paragraph (d)(3), and revising paragraph (f) to read as 
follows:


Sec.  30.5  Electronic Export Information filing processes and 
standards.

    (a) [Reserved]
    (b) [Reserved]
* * * * *
    (f) Support. The Census Bureau provides online services that allow 
the USPPI and the authorized agent to seek assistance pertaining to the 
AES and this part. For AES assistance, filers may send an email to 
ASKAES@census.gov. For FTR assistance, filers may send an email to 
itmd.askregs@census.gov.

0
7. Amend Sec.  30.6 by revising the introductory text, paragraphs 
(a)(1) introductory text, (a)(1)(iii), (a)(1)(iv), (a)(5)(i), 
(a)(5)(ii), (a)(11), (a)(19), and (b)(14) introductory text, and adding 
paragraph (c)(3), to read as follows:


Sec.  30.6  Electronic Export Information data elements.

    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) * * *
    (1) USPPI. The person or legal entity in the United States that 
receives the primary benefit, monetary or otherwise, from the export 
transaction. Generally, that person or entity is the U.S. seller, 
manufacturer, or order party, or the foreign entity while in the United 
States when purchasing or obtaining the goods for export. The name, 
address, identification number, and contact information of the USPPI 
shall be reported to the AES as follows:
* * * * *
    (iii) USPPI identification number. Report the EIN or DUNS number of 
the USPPI. If the USPPI has only one EIN, report that EIN. If the USPPI 
has more than one EIN, report the EIN that the USPPI uses to report 
employee wages and withholdings, not an EIN used to report only company 
earnings or receipts. Use of another company's EIN is prohibited. The 
appropriate Party ID Type code shall be reported to the AES. If a 
foreign entity is in the United States at the time goods are purchased 
or obtained for export, the foreign entity is the USPPI. In such 
situations, when the foreign entity does not have an EIN, the 
authorized agent shall report a border crossing number, passport 
number, or any number assigned by CBP on behalf of the foreign entity.
    (iv) USPPI contact information. The person who has the most 
knowledge regarding the specific shipment or related export controls.
* * * * *
    (5) * * *
    (i) Shipments under an export license. For shipments under an 
export license issued by the Department of State, Directorate of 
Defense Trade Controls (DDTC), or the Department of Commerce, Bureau of 
Industry and Security (BIS), the country of ultimate destination shall 
conform to the country of ultimate destination as shown on the license. 
In the case of a DDTC or BIS license, the country of ultimate 
destination is the country specified with respect to the end user, 
which may also be the ultimate consignee. For goods licensed by other 
government agencies, refer to the agencies' specific requirements for 
providing country of ultimate destination information.
    (ii) Shipments not moving under an export license. The country of 
ultimate destination is the country known to the USPPI or U.S. 
authorized agent at the time of exportation. The country to which the 
goods are being shipped is not the country of ultimate destination if 
the USPPI or U.S. authorized agent has knowledge, at the time the goods 
leave the United States, that they are intended for reexport or 
transshipment in the form received to another known country. For goods 
shipped to Canada, Mexico, Panama, Hong Kong, Belgium, United Arab 
Emirates, The Netherlands, or Singapore, special care should be 
exercised before reporting these countries as the ultimate destinations 
because these are countries through which goods from the United States 
are frequently transshipped. If the USPPI or U.S. authorized agent does 
not know the ultimate destination of the goods, the country of ultimate 
destination to be shown is the last country, as known to the USPPI or 
U.S. authorized agent at the time the goods leave the United States, to 
which the goods are to be shipped in their present form. (For 
instructions as to the reporting of country of ultimate destination for 
vessels sold or transferred from the United States to foreign 
ownership, see Sec.  30.26). In addition, the following types of 
shipments must be reported as follows:
    (A) Department of State, DDTC, license exemption. The country of

[[Page 18391]]

ultimate destination is the country specified with respect to the end 
user as noted in the ITAR (22 CFR 123.9(a)).
    (B) Department of Commerce, BIS, license exception. The country of 
ultimate destination is the country of the end user as defined in 15 
CFR 772.1 of the Export Administration Regulations (EAR).
    (C) For shipments to international waters. The country of ultimate 
destination is the nationality of the person(s) or entity assuming 
control of the good(s) exported to international waters.
* * * * *
    (11) Domestic or foreign indicator. Indicates if the goods exported 
are of domestic or foreign origin. Report foreign goods as a separate 
line item from domestic goods even if the commodity classification 
number is the same.
* * * * *
    (19) Shipment Reference Number (SRN). A unique identification 
number assigned by the filer that allows for the identification of the 
shipment in the filer's system. The reuse of the SRN is prohibited.
* * * * *
    (b) * * *
    (14) Transportation Reference Number (TRN). The TRN is as follows:
* * * * *
    (c) * * *
    (3) Original ITN. The ITN associated with a previously filed 
shipment that is replaced or divided and for which additional 
shipment(s) must be filed. The original ITN field can be used in 
certain scenarios, such as, but not limited to, shipments sold en route 
or cargo split by the carrier where the succeeding parts of the 
shipment are not exported within the timeframes specified in Sec.  
30.28.
* * * * *

0
8. Amend 30.8 by revising paragraph (a) to read as follows:


Sec.  30.8  Time and place for presenting proof of filing citations and 
exemption legends.

* * * * *
    (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 Sec.  
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.
* * * * *


Sec.  30.10  [Amended]

0
9. Amend Sec.  30.10 by removing paragraphs (a)(1) and (2).

0
10. Amend Sec.  30.16 by revising paragraph (d) to read as follows:


Sec.  30.16  Export Administration Regulations.

* * * * *
    (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 Sec.  30.37(y) and does not require a 
license by BIS or any other Federal Government Agency.
* * * * *

0
11. Amend Sec.  30.28 by revising the introductory text and paragraph 
(a); and removing paragraph (c) to read as follows:


Sec.  30.28  Split shipments.

    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.
* * * * *

0
12. Amend Sec.  30.29 by revising paragraphs (a)(1), (a)(2) and (b)(2) 
to read as follows:


Sec.  30.29  Reporting of repairs and replacements.

* * * * *
    (a) * * *
    (1) The return of goods not licensed by a U.S. Government agency 
and not subject to the ITAR, temporarily imported for repair and 
alternation, and declared as such on importation shall have Schedule B 
number 9801.10.0000. The value shall only include parts and labor. The 
value of the original product shall not be included. If the value of 
the parts and labor 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 shall have Schedule B number 
9801.10.0000. In the value field, report the value of the parts and 
labor. 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) * * *
    (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. Report the Schedule B number or Harmonized Tariff 
Schedule of the United States Annotated (HTSUSA) commodity 
classification number of the replacement parts. For goods not licensed 
by a U.S. Government agency, report the value of the replacement parts 
in accordance with Sec.  30.6(a)(17). For goods licensed by a U.S. 
Government agency, report the value and license value in accordance 
with Sec.  30.6(a)(17) and Sec.  30.6(b)(15) respectively.

0
13. Amend Sec.  30.36 by revising paragraph (b)(4) to read as follows:


Sec.  30.36  Exemption for shipments destined to Canada.

* * * * *
    (b) * * *
    (4) Requiring a Department of Commerce, Bureau of Industry and 
Security, license or requiring reporting

[[Page 18392]]

under the Export Administration Regulations (15 CFR 758.1(b)).
* * * * *

0
14. Amend Sec.  30.37 by revising paragraphs (y) introductory text, 
(y)(5), and (y)(6) to read as follows:


Sec.  30.37  Miscellaneous exemptions.

* * * * *
    (y) The following types of shipments 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 are not required to be filed in the AES:
* * * * *
    (5) Vessels and aircraft lawfully leaving the United States for 
temporary sojourn to or in a Country Group E:1 or E:2 country under 
License Exception AVS (15 CFR 740.15).
    (6) Tools of trade that will be used by a person traveling to a 
Country Group E:1 or E:2 destination, that will be returned to the 
United States within one year and that are lawfully being exported to a 
Country Group E:1 or E:2 destination under License Exception BAG (15 
CFR 740.14) or License Exception TMP (15 CFR 740.9(a)).

0
15. Revise the heading of subpart E to read as follows:

Subpart E--Manifest Requirements

0
16. Amend Sec.  30.45 by revising the section heading, paragraphs (a) 
introductory text, (a)(1) introductory text and (b); removing and 
reserving paragraph (a)(2) and (3), and removing paragraphs (c) through 
(f); to read as follows:


Sec.  30.45  Manifest requirements.

    (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.
* * * * *
    (2) [Reserved]
    (3) [Reserved]
* * * * *
    (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.


Sec. Sec.  30.46--30.47  [Removed and Reserved]

0
17. Remove and reserve Sec. Sec.  30.46 and 30.47.

0
18. Amend Sec.  30.50 by revising the introductory text to read as 
follows:


Sec.  30.50  General requirements for filing import entries.

    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.
* * * * *

0
19. Revise Sec.  30.53 to read as follows:


Sec.  30.53  Import of goods returned for repair.

    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 Sec.  30.29.

0
20. Amend Sec.  30.74 by revising paragraph (c)(5) to read as follows:


Sec.  30.74  Voluntary self-disclosure.

* * * * *
    (c) * * *
    (5) Where to make voluntary self-disclosures. With the exception of 
voluntary disclosures of manifest violations under paragraph (c) of 
this section, the information constituting a Voluntary Self-Disclosure 
or any other correspondence pertaining to a Voluntary Self-Disclosure 
may be submitted to: Chief, International Trade Management Division, 
U.S. Census Bureau, 4600 Silver Hill Road, Washington, DC 20233. 
Additional instructions are found at www.census.gov/trade.
* * * * *

Appendix B to Part 30 [Removed]

0
21. Remove Appendix B.

0
22. Redesignate Appendix D as new Appendix B and revise it to read as 
follows:

Appendix B to Part 30--AES Filing Citation, Exemption and Exclusion 
Legends

------------------------------------------------------------------------
 
------------------------------------------------------------------------
I. Proof of Filing Citation........  AES ITN.
                                     Example: AES X20170101987654.
II. Postdeparture Citation--USPPI..  AESPOST USPPI EIN Date of Export
USPPI is filing the EEI............   (mm/dd/yyyy).
                                     Example: AESPOST 12345678912 01/01/
                                      2017.
III. Postdeparture Citation--Agent.  AESPOST USPPI EIN--Filer ID Date of
Agent is filing the EEI............   Export (mm/dd/yyyy).
                                     Example: AESPOST 12345678912--
                                      987654321 01/01/2017.
IV. AES downtime Filing Citation--   AESDOWN Filer ID Date of Export (mm/
 Use only when AES or AESDirect is    dd/yyyy).
 unavailable.                        Example: AESDOWN 123456789 01/01/
                                      2017.
V. Exemption for Shipments to        NOEEI Sec.   30.36.
 Canada.
VI. Exemption for Low-Value          NOEEI Sec.   30.37(a).
 Shipments.
VII. Miscellaneous Exemption         NOEEI Sec.   30.37 (site
 Statements are found in 15 CFR       corresponding alphabet).
 part 30 subpart D Sec.   30.37(b)
 through Sec.   30.37(y).
VIII. Special Exemption for          NOEEI Sec.   30.39.
 Shipments to the U.S. Armed Forces.
IX. Special Exemptions for Certain   NOEEI Sec.   30.40 (site
 Shipments to U.S. Government         corresponding alphabet).
 Agencies and Employees (Exemption
 Statements are found in 15 CFR
 part 30 subpart D Sec.   30.40(a)
 through Sec.   30.40(d).
X. Miscellaneous Exclusion           NOEEI Sec.   30.2(d) (site
 Statements are found in 15 CFR       corresponding number).
 part 30 subpart A Sec.   30.2(d).

[[Page 18393]]

 
XI. Split Shipments................  AES ITN SS.
Split Shipments should be            Example: AES X20170101987654 SS.
 referenced as such on the manifest
 in accordance with provisions
 contained in Sec.   30.28, Split
 Shipments. The notation should be
 easily identifiable on the
 manifest. It is preferable to
 include a reference to a split
 shipment in the exemption
 statements cited in the example,
 the notation SS should be included
 at the end of the appropriate
 exemption statement.
------------------------------------------------------------------------

Appendices C, E, and F [Removed]

0
23. Remove Appendices C, E, and F.

    Dated: April 10, 2017.
John H. Thompson,
Director, Bureau of the Census.
[FR Doc. 2017-07646 Filed 4-18-17; 8:45 am]
 BILLING CODE 3510-07-P