Foreign Trade Regulations (FTR): Clarification of Filing Requirements Regarding In-Transit Shipments and Other FTR Provisions, 86762-86770 [2024-24482]

Agencies

• Census Bureau
• DEPARTMENT OF COMMERCE

[Federal Register Volume 89, Number 211 (Thursday, October 31, 2024)]
[Proposed Rules]
[Pages 86762-86770]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2024-24482]


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DEPARTMENT OF COMMERCE

Census Bureau

15 CFR Part 30

[Docket Number: 241010-0268]
RIN: 0607-AA62


Foreign Trade Regulations (FTR): Clarification of Filing 
Requirements Regarding In-Transit Shipments and Other FTR Provisions

AGENCY: Census Bureau, Department of Commerce.

ACTION: Notice of proposed rulemaking.

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SUMMARY: The Bureau of the Census (Census Bureau) proposes to amend its 
regulations to clarify the requirements governing in-transit shipments 
from foreign countries through the United States that are subsequently 
exported to a foreign destination. This rulemaking proposes to clarify 
who is the U.S. Principal Party in Interest (USPPI) and revise the 
entry number description when goods are entered into the United States 
for consumption or warehousing, and then stored in a warehouse or 
storage facility or admitted into a Foreign Trade Zone (FTZ) before 
being exported. This rule also proposes to clarify that when a customs 
broker is the USPPI and they are requested to provide information from 
the customs entry for the filing of the Electronic Export Information 
(EEI), that they obtain consent from their client, as required in the 
customs regulations. Additionally, this proposed rule revises several 
sections, including definitions, mandatory filing requirements, 
responsibilities of parties to the export transaction, confidentiality, 
penalties, and voluntary self-disclosures to ensure clarity, accuracy, 
and consistency throughout the FTR.

DATES: Written comments must be received on or before December 30, 
2024.

ADDRESSES: You may submit comments by any of the following methods:
     Federal eRulemaking Portal: https://www.regulations.gov. 
The identification number for this rulemaking is identified by RIN 
number 0607-AA62; or
     By email directly to [email protected]. Include 
RIN number 0607-AA62 in the subject line.
    All comments received are 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. Comments will generally be posted 
without change. All Personally Identifiable Information (for example, 
name and address) voluntarily submitted by the commenter may be 
publicly accessible. Do not submit confidential business information or 
otherwise sensitive or protected information.

FOR FURTHER INFORMATION CONTACT: Epa Uwimana, Chief, Economic 
Management Division, Census Bureau, 4600 Silver Hill Road, Washington, 
DC 20233-6010, by phone (301) 763-6064, by fax (301) 763-8835, or by 
email [email protected].

SUPPLEMENTARY INFORMATION:

Background

    The Census Bureau, as delegated to it by the Secretary of Commerce, 
is responsible for collecting, compiling, and publishing import and 
export trade statistics for the United States under the provisions of 
Title 13, United States Code (U.S.C.), Chapter 9, Section 301(a). Under 
Title 13 U.S.C. 302, the Secretary of Commerce is authorized to 
promulgate regulations deemed by the Secretary to be necessary or 
appropriate and in such form or manner as the Secretary determines are 
necessary or proper to carry out the purposes of and prevent the 
circumvention of the requirements of Chapter 9 of Title 13. The 
Secretary also may promulgate regulations covering the confidentiality, 
publication, and disclosure of information collected under Chapter 9. 
The Secretary developed the Automated Export System (AES), consistent 
with Public Law 106-113 and considering the confidentiality 
requirements of Chapter 9 of Title 13, to collect EEI in concert with 
the export control and enforcement functions of U.S. Customs and Border 
Protection and Immigration and Customs Enforcement of the Department of 
Homeland Security, the Bureau of Industry and Security (BIS) of the 
Department of Commerce, and the Directorate of Defense Trade Controls 
of the Department of State. Public Law 107-228 directed the Secretary 
to publish regulations requiring exporters to file Shippers' Export 
Declarations, now referenced as EEI, in the AES. As a result, the 
Census Bureau is responsible for publishing the FTR that set the export 
reporting requirements for preparing and filing the EEI in the 
Automated Export System (AES). The EEI is made up of mandatory, 
conditional, and optional data elements. The purpose of this rulemaking 
is to revise the FTR to define the USPPI and revise the description of 
the entry number when goods enter the United States for consumption or 
warehousing, and then stored in a warehouse or storage facility or 
admitted into a FTZ before being exported. The Census Bureau has 
experienced an increase in the number of inquiries regarding export 
transactions where a customs broker enters goods into the United States 
for consumption or warehousing, and then stored in a warehouse or 
storage facility or admitted into a FTZ before being exported.
    In this proposed rule we are expanding the scenarios of the USPPI 
for goods that enter into the United States for consumption or 
warehousing, and then stored in a warehouse or storage facility or 
admitted into a FTZ before being exported. The current FTR 
30.3(b)(2)(iv) and (v) allow the customs broker to be the USPPI when 
the customs broker or a foreign person is listed as the importer of 
record, respectively. However, this may no longer be practical when 
goods have been stored in warehouses, storage facilities, or FTZ for an 
extended period of time after entry. In many cases, additional parties 
other than the customs broker have knowledge and control of the goods 
for weeks, months or years and possess the goods in warehouses, storage 
facilities, or FTZs. Therefore, the Census Bureau is proposing the 
warehouse, storage facility or FTZ be considered the USPPI in these 
scenarios based on knowledge and control of the goods destined to be 
exported. Additionally, when the customs broker is the USPPI, it must 
obtain consent from its client to share information from the import 
entry that supports the preparation and filing of the EEI in the AES. 
The Census Bureau proposes to revise the conditional data element entry 
number description to require the entry number when foreign origin 
goods are entered into the United States for consumption or 
warehousing, and then stored in a warehouse or storage facility or 
admitted into a FTZ before being exported. The Census Bureau has 
evaluated the entry number on the EEI, as suggested in a comment from 
the trade community to the NPRM for the Country of Origin (COO) titled 
Foreign Trade Regulations (FTR): New Filing Requirement and 
Clarifications to Current Requirements (RIN: 0607-AA59), published 
December 15, 2021 and has determined that the entry number will provide 
the Census Bureau

[[Page 86763]]

with a linkage to the CBP entry data where the COO data can be obtained 
to achieve its statistical purposes. The Census Bureau also proposes to 
add one definition, remove one definition, and revise twelve other 
definitions in order to ensure that any revisions made to the FTR will 
allow for the continued collection of accurate trade statistics; revise 
the mandatory EEI filing requirements for exports subject to the Drug 
Enforcement Agency regulations; revise the list of information that a 
USPPI and an authorized agent provide in a routed export transaction; 
and clarify language regarding AES downtime, confidentiality, 
penalties, and Voluntary Self-Disclosures; and proposes to make 
grammatical and style changes in the FTR.
    The Census Bureau is seeking public comments from data users, 
businesses, and others to assess these proposed changes. Below are 
considerations when providing feedback to this proposed rule; however, 
any pertinent feedback not captured by these considerations is welcome.
    1. Describe the potential value of clarifying who is the USPPI when 
goods enter the United States for consumption or warehousing, and then 
stored in a warehouse or storage facility or admitted into a FTZ before 
being exported.
    2. Describe the potential value to all other changes to the FTR.
    3. How long would a company that utilizes or manages proprietary 
software need to make programming changes to potentially adapt to the 
changes in this proposed rule and interface to the AES?
    4. Are there business practices that a company would need to 
implement to come into compliance with the changes in this proposed 
rule? If so, how long would a company need to implement new business 
practices?
    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 
13 U.S.C. 303, and Public Law 107-228, division B, title XIV, section 
1404.

Program Requirements

    To comply with the requirements of the Foreign Relations Act, 
Public Law 107-228, the Census Bureau is amending relevant sections of 
the FTR to revise or clarify export reporting requirements. Therefore, 
the Census Bureau is correcting 15 CFR part 30 by making the following 
correcting amendments:
     Revise Sec.  30.1(c) by amending the definitions for 
``Buyer'', ``End user'', ``Filer'', ``Foreign port of unlading ``, 
``Foreign Principal Party in Interest (FPPI)'', ``Forwarding agent'', 
``Intermediate consignee'', ``Order party'', ``Seller'', ``Shipment'', 
``Ultimate consignee'', and ``U.S. Principal Party in Interest 
(USPPI)''. Additionally, add the definition for ``Conveyance'' and 
remove the definition for ``Consignee''.
     Revise Sec.  30.2(a)(1)(iv)(D) by amending the Drug 
Enforcement Agency's authorization to require EEI filing in the AES for 
all licenses and permits under 12 CFR 1309.
     Revise Sec.  30.2(d)(1) by amending the language to 
clarify that EEI filing is excluded when goods are moving in-transit 
through the United States, Puerto Rico, or the U.S. Virgin Islands from 
one country or area to another where such goods do not enter the United 
States for consumption or warehousing.
     Revise Sec.  30.2(d)(4) by removing the reference to the 
exemption Sec.  30.39 as the exclusion overrides the exemption.
     Revise Sec.  30.3 by adding an introductory paragraph that 
states international commercial terms, terms of sale, and industry or 
other agreements do not determine the type of or parties to the export 
transaction.
     Revise Sec.  30.3(a) by replacing General requirements 
with General filer requirements to include specific paragraphs 
designated as (a)(1) that the filer is a USPPI or authorized agent, 
(a)(2) that the filer must be located physically in the U.S. when 
filing the EEI, and (a)(3) that the EEI must be filed completely, 
accurately, and timely.
     Revise Sec.  30.3(b)(2) by removing the foreign entity as 
the USPPI because it has been added as a scenario in this section.
     Revise Sec.  30.3(b)(2)(iv) by amending to combine the 
existing language in Sec.  30.3(b)(2)(iv) and (v), add a time frame 
from when the customs broker clears goods into the United States for 
consumption or warehousing and clarify who is the USPPI in the 
scenario; and by adding a Note that requires the customs broker to 
obtain consent from its client when the information from the customs 
entry is used to prepare and file the EEI.
     Revise Sec.  30.3(b)(2)(v) to identify the USPPI as a 
person who admits goods into a Foreign Trade Zone (FTZ) or the FTZ 
operator as the USPPI.
     Revise Sec.  30.3(b)(2)(vi) to add a USPPI scenario when 
the foreign entity is in the United States when the goods are purchased 
or obtained for export.
     Revise Sec.  30.3(d)(4) by adding postdeparture, downtime 
and exclusion to the list of citations.
     Revise Sec.  30.3(e)(1) and Sec.  30.3(e)(2) by removing 
the list and references to those list of data elements the USPPI 
provides to the authorized agent to assist in the preparation and 
filing of the EEI, and the list of data elements the authorized agent 
must provide to the USPPI upon request, and replace with Appendix C.
     Revise Sec.  30.4(b)(1) to remove references to the 
downtime procedures;
     Revise Sec.  30.4(b)(4) by amending to replace with the 
existing language in Sec.  30.4(b)(5) regarding EEI filing time frames 
for the export of used self-propelled vehicles;
     Remove Sec.  30.4(b)(5);
     Revise Sec.  30.4(c)(2) to replace the term ``Consignee'' 
with ``Ultimate consignee''.
     Revise Sec.  30.4(f) by adding the downtime procedures.
     Revise Sec.  30.6(a)(1) to remove examples of the USPPI 
from the USPPI data element description, rename the ``Address of the 
USPPI'' to ``Address of origin'', and revise the USPPI Address of 
origin example.
     Revise Sec.  30.6(a)(3) to provide examples of the 
ultimate consignee based on knowledge at the time of export.
     Revise Sec.  30.6(a)(4) by amending the U.S. state of 
origin example.
     Revise 30.6(a)(11) to refer to 30.1 for detailed 
definitions of foreign and domestic goods.
     Revise Sec.  30.6(b)(2) to clarify that the intermediate 
consignee must physically take possession of the goods.
     Revise Sec.  30.6(b)(4) to clarify that the Foreign Port 
of Unlading is the location where the goods are removed from the 
exporting conveyance.
     Revise Sec.  30.6(b)(6) to provide a reference to section 
758.1(g) of the Export Administration Regulations to clarify the Export 
Control Classification Number reporting requirements.
     Revise Sec.  30.6(b)(13) to clarify that the entry number 
is required when the export meets the scenarios of 30.3(b)(2)(iv) and 
(v) or the Domestic or foreign indicator is foreign, and the customs 
broker has received consent from its client to report or provide the 
entry number when goods were previously entered into the United States 
for consumption or warehousing before being exported.
     Revise Sec.  30.18(c) to remove the reference to the 
Department of State website.
     Revise Sec.  30.29(a)(1) and Sec.  30.29(a)(2) to add a 
reference to Sec.  30.53 to clarify the import reporting requirements 
for repairs.
     Revise Sec.  30.60 (c)(1) to amend by combining the 
existing language in (c)(1) and (c)(2) to clarify that the EEI may not 
be used for tax purposes unless otherwise noted.
     Revise Sec.  30.60(c)(2) to add language to prohibit the 
use of EEI for export

[[Page 86764]]

marketing and promotion unless otherwise noted.
     Revise 30.60(c)(4) to amend foreign entity to foreign 
person.
     Revise Sec.  30.71(a)(2) by amending the language to add 
that deactivation of a filer's account may be a penalty if the filer 
furthers illegal activity.
     Revise Sec.  30.74(b)(4) and (d) to clarify that foreign 
persons may not submit a Voluntary Self-Disclosure and to amend the 
Census Bureau's actions when responding to a Voluntary Self-Disclosure.
     Revise FTR Appendix B to Part 30--AES Filing Citation, 
Exemption and Exclusion Legends to replace X. with Miscellaneous 
Exclusion Statements and move Split Shipments to XI.
     Add FTR Appendix C to Part 30--Required Data Elements--
Routed Export Transactions to include the data elements that the USPPI 
and authorized agent are responsible for in a routed export 
transaction.

Rulemaking Requirements

Regulatory Flexibility Act

    The Chief Council for Regulation of the Department of Commerce has 
certified to the Chief Counsel for Advocacy, Small Business 
Administration (SBA) that this proposed rule will not have a 
significant economic impact on a substantial number of small entities.
    This action requires that USPPIs or authorized agents in the United 
States file EEI in 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 EEI are 
considered small businesses if they employ less than 500 people. Based 
on Exhibit 7a of A Profile of U.S. Importing and Exporting Companies, 
2021-2022 the Census Bureau estimates that there are 271,391 USPPIs 
that are considered small and medium sized exporters under the Small 
Business Act definition, and more than 73 percent of these USPPIs use 
an authorized agent to file EEI. An estimate of the number of 
authorized agents is not known.
    The majority of USPPIs and authorized agents require the use of a 
computer to perform routine tasks, such as filing the EEI. These USPPIs 
and authorized agents are unlikely to be significantly affected by 
these new requirements, as they already possess the necessary 
technology and equipment to submit the EEI. In addition, it is not 
necessary for small businesses to purchase software for this task 
because a free internet-based system is provided, AESDirect, especially 
for small businesses to submit their export information electronically. 
The proposed new requirements will have minimal impact on response 
burden. For these reasons, the Census Bureau believes this rule will 
not have a significant economic impact on all companies including a 
substantial number of small entities.

Executive Orders

    This proposed rule has been determined to not be significant for 
purposes of Executive Order 12866. This proposed rule does not contain 
policies with federalism implications sufficient to warrant preparation 
of a federalism assessment under Executive Order 13132.

Paperwork Reduction Act

    Notwithstanding any other provisions 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 valid Office of Management and Budget (OMB) 
control number.
    This proposed rule covers collections of information subject to the 
provisions of the PRA, which are cleared by OMB under OMB Control 
Number 0607-0152--AES Program.
    This proposed rule will not impact the current reporting-hour 
burden requirements as approved under OMB Control Number 0607-0152 
under provisions of the PRA. The proposed rule will not require any 
revisions to the information sought under OMB Control Number 0607-0152.
    Robert L. Santos, Director, Census Bureau, approved the publication 
of this notification in the Federal Register.

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

0
1. The authority citation for 15 CFR 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 ``Buyer'', ``Commerce Control List 
(CCL)'', ``Country of ultimate destination'', ``End user'', ``Filer'', 
``Foreign port of unlading``, ``Foreign Principal Party in Interest 
(FPPI)'', ``Forwarding agent'', ``Intermediate consignee'', ``Order 
party'', ``Person'', ``Seller'', ``Shipment'', ``Shipping documents'', 
``Ultimate consignee'', ``U.S. Principal Party in Interest (USPPI)'', 
``Voluntary Self-Disclosure (VSD)'';
0
b. Removing the definition for ``Consignee''; and
0
c. Adding, in alphabetical order, the definition for ``Conveyance''.
    The revisions and additions read as follows:


Sec.  30.1   Purpose and definitions.

* * * * *
    (c) * * *
    Buyer (purchaser). The person located abroad in the export 
transaction that purchases the goods for delivery to the ultimate 
consignee. The buyer (purchaser) and ultimate consignee may be the 
same.
* * * * *
    Commerce Control List (CCL). A list of items found in Supplement 
No. 1 to Part 774 of the Export Administration Regulations (EAR). 
Supplement No. 2 to Part 774 of the EAR contains the General Technology 
and Software Notes relevant to entries contained in the CCL.
* * * * *
    Conveyance. The actual aircraft, vessel, railcar, truck, and other 
means of transport used to transport goods from one place to another. 
See Sec.  30.6(a)(7).
* * * * *
    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)).
* * * * *
    End user. The person located abroad who receives and ultimately 
uses the exported, reexported or transferred (in-country) items. The 
end user is not an authorized agent or intermediary but may be the FPPI 
or ultimate consignee.
* * * * *
    Filer. The USPPI or an authorized agent who is responsible for 
submitting the Electronic Export Information (EEI) in the Automated 
Export System (AES).
* * * * *
    Foreign port of unlading. The port in a foreign country where the 
goods are removed from the exporting conveyance. The foreign port does 
not have to be located in the country of destination. The foreign port 
of

[[Page 86765]]

unlading shall be reported in terms of the Schedule K, ``Classification 
of CBP Foreign Ports by Geographic Trade Area and Country.''
    Foreign Principal Party in Interest (FPPI). The person located 
abroad who purchases the goods for export or to whom final delivery of 
the goods will be made. This party may be the ultimate consignee, buyer 
(purchaser), or end user.
* * * * *
    Forwarding agent. The person in the United States who is authorized 
by the principal party in interest to facilitate the movement of the 
cargo from the United States to the foreign destination.
* * * * *
    Intermediate consignee. The person located abroad who acts as an 
agent for the principal party in interest and takes possession of the 
goods for the purpose of effecting delivery of goods to the ultimate 
consignee. The intermediate consignee may be a forwarding agent or 
other person who acts as an agent for a principal party in interest.
* * * * *
    Order party. The person in the United States who conducts the 
direct negotiations or correspondence with the buyer (purchaser) or 
ultimate consignee and who, as a result of these negotiations, receives 
the order from the FPPI. The order party may be the USPPI. See Sec.  
30.3(b)(2)(iii) of the FTR.
* * * * *
    Person. Any natural person, corporation, partnership, or other 
legal entity of any kind, domestic or foreign.
* * * * *
    Seller. A person in the transaction, usually the manufacturer, 
producer, wholesaler, or distributor of the goods, that receives the 
monetary benefit or other consideration for the exported goods.
* * * * *
    Shipment. All goods being sent from one USPPI to one ultimate 
consignee located in a single country of destination on a single 
conveyance and departing from the United States on the same day. 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 or HTSUSA commodity 
classification code.
* * * * *
    Shipping documents. Documents that include but are not limited to 
commercial invoices, export shipping instructions, packing lists, bills 
of lading and air waybills.
* * * * *
    Ultimate consignee. The person located abroad who receives the 
export shipment. The ultimate consignee is not a forwarding agent or 
other intermediary, but may be the FPPI, buyer (purchaser), or end 
user.
* * * * *
    U.S. principal party in interest (USPPI). The person in the United 
States that receives the primary benefit, monetary or otherwise, from 
the export transaction.
* * * * *
    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 violations when required information was not 
reported or when incorrect information was provided that violates the 
FTR.
* * * * *
0
3. Amend Sec.  30.2 by revising (a)(1)(iv)(D), (a)(2), (d)(1), and 
(d)(4). The revisions read as follows:
    (a) * * *
    (1) * * *
    (iv) * * *
    (D) Requiring a Department of Justice, Drug Enforcement 
Administration (DEA) export permit or declaration (21 CFR 1300 through 
1399).
* * * * *
    (2) Filing methods. The USPPI has four means for filing EEI: use 
AESDirect; develop AES software using the AESTIR (see AESTIR 
Introduction and Guidelines [verbar] U.S. Customs and Border Protection 
(cbp.gov); 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 transaction.
* * * * *
    (d) * * *
    (1) Goods moving in-transit through the United States, Puerto Rico, 
or the U.S. Virgin Islands from one foreign country or area to another 
where such goods do not enter the into the United States for 
consumption or warehousing.
* * * * *
    (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.
* * * * *
0
4. Amend Sec.  30.3 by:
0
a. Adding an introductory paragraph to Sec.  30.3, and adding 
paragraphs (a)(1) through (3), (b)(2)(vi) and a Note to (b)(2);
0
b. Revising the section heading for paragraph (a);
0
c. evising paragraphs (b)(1) and (2), (b)(2)(i), (ii), (iv) and (v), 
(d)(4), (e)(1) and (2); and,
0
d. Removing (e)(1)(i) through (xii), removing the Note to paragraph 
(e)(1), removing paragraphs (e)(2)(i) through (xv), and removing the 
Note to paragraph (e)(2).
    The revisions and additions read as follows:


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

    All parties that participate in an export transaction subject to 
the FTR must comply with the FTR. There are two types of export 
transactions: standard and routed. International commercial terms, 
terms of sale, and industry or other agreements do not determine the 
type of or parties to the export transaction, as they have no 
regulatory basis. A standard export transaction is a transaction in 
which the USPPI facilitates the export of goods by arranging the 
physical movement of the goods from the United States. A routed export 
transaction is a transaction where the FPPI selects a U.S. forwarding 
or other agent to facilitate the export of goods from the United 
States, regardless of the terms of sale.
    (a) General filer requirements. (1) The filer of EEI for export 
transactions is either the USPPI or the authorized agent. If a foreign 
entity is the USPPI, they are prohibited from filing the EEI and must 
authorize an agent to file on their behalf.
    (2) The filer shall maintain a physical office or residence in the 
United States; be physically located in the United States at the time 
of preparing and filing the EEI; and have an EIN or DUNS and be 
certified to report in the AES. If the filer does not have an EIN or 
DUNS, the filer must obtain an EIN from the Internal Revenue Service.
    (3) All EEI submitted to the AES shall be complete, accurate and 
timely. The filer is responsible for ensuring that the EEI is complete, 
accurate, and timely, except insofar as that party can demonstrate that 
it reasonably relied on information based on personal knowledge of the 
facts and information furnished by other responsible persons 
participating in the transaction. All parties involved in export 
transactions, including authorized agents, should be aware that 
invoices and other commercial documents may not necessarily contain all 
the information needed to prepare and file the EEI.
    (b) * * *
    (1) Principal parties in interest. Those persons in a transaction 
that receive the

[[Page 86766]]

primary benefit, monetary or otherwise, are considered principal 
parties to the transaction. Generally, the principal parties in 
interest in a transaction are the seller and buyer. In most cases, the 
U.S. forwarding or other agent is not a principal party in interest.
    (2) USPPI. For purposes of filing EEI, the USPPI is the person in 
the United States that receives the primary benefit, monetary or 
otherwise, from the transaction. Below are scenarios where the USPPI is 
identified:
    (i) If a U.S. manufacturer sells the goods for export directly to a 
FPPI, the U.S. manufacturer shall be listed as the USPPI in the EEI.
    (ii) If a U.S. manufacturer sells goods, as a domestic sale, to a 
U.S. buyer (wholesaler/distributor) and that U.S. buyer sells the goods 
for export to a FPPI, the U.S. buyer shall be listed as the USPPI in 
the EEI.
* * * * *
    (iv) If a customs broker or foreign person is listed as the 
importer of record when entering goods into the United States, the 
customs broker shall be listed as the USPPI in the EEI if the goods are 
being exported without change or enhancement in thirty (30) calendar 
days or less of import. After thirty (30) calendar days, the warehouse 
or storage facility in possession and with knowledge and control of the 
goods when the goods begin their journey to the port of export shall be 
the USPPI.

    Note to paragraph Sec.  30.3(b)(2)(iv) of this section: The U.S. 
Customs and Border Protection regulations (19 CFR 111.24) state that 
the import entry records pertaining to the business of the clients 
serviced by the customs broker are to be considered confidential. 
When the customs broker supports the preparation or filing of the 
EEI with information from the import entry, the customs broker must 
already have written authorization from the client to disclose 
confidential information to third parties or obtain such 
authorization in writing from the client.

    (v) If a U.S. person admits goods into a Foreign Trade Zone (FTZ), 
then the U.S. person shall be the USPPI if the goods are subsequently 
exported without change or enhancement. If a foreign person admits 
goods into an FTZ, then the FTZ operator shall be the USPPI if the 
goods are subsequently exported without change or enhancement.
    (vi) If the foreign entity is in the United States at the time the 
goods are purchased or obtained for export, the foreign entity shall be 
listed as the USPPI. The foreign entity is prohibited from filing the 
EEI; therefore, they must authorize an agent to comply with the 
provisions of the FTR.
* * * * *
    (d) * * *
* * * * *
    (4) Providing the exporting carrier with the proof of filing, 
postdeparture, downtime, exclusion, or exemption citations in 
accordance with provisions and requirements contained in this part.
* * * * *
    (e) * * *
    (1) USPPI responsibilities. In a routed export transaction, the 
FPPI may authorize or agree to allow the USPPI to prepare and file the 
EEI. If the FPPI agrees to allow the USPPI to file the EEI, the FPPI 
must provide a written authorization to the USPPI assuming the 
responsibility for filing. The USPPI may authorize an agent to file the 
EEI on its behalf. If the USPPI or its agent prepares and files the 
EEI, it shall retain documentation to support the EEI filed. If the 
FPPI agrees to allow the USPPI to file EEI, the filing of the export 
transaction shall be treated as a routed export transaction. If the 
FPPI authorizes an agent to prepare and file the EEI, the USPPI shall 
retain documentation to support the information provided to the agent 
for preparing the EEI as specified in Sec.  30.10 and provide the agent 
with complete, accurate and timely export information necessary to 
prepare and file the EEI as set forth in Appendix C.
    (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 shall be 
responsible for preparing and filing complete, accurate and timely EEI 
based on information obtained from the USPPI or other parties involved 
in the transaction. The authorized agent must file the EEI based on 
export information exactly as provided by the USPPI as set forth in 
Appendix C. The authorized agent shall retain documentation to support 
the export information reported to the AES, as specified in Sec.  30.10 
and upon request, provide the USPPI with a copy of the power of 
attorney or written authorization from the FPPI and the data elements 
filed that the USPPI provided as listed in Appendix C, along with the 
authorized agent name, authorized agent contact information, date of 
export and ITN.
* * * * *
0
5. Amend Sec.  30.4 by revising paragraphs (b)(1) and (4) and (c)(2); 
removing paragraph (b)(5); and adding paragraph (f).
    The revisions and additions read as follows:


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

* * * * *
    (b) * * *
    (1) For USML shipments, refer to the ITAR (22 CFR 123.22(b)(1)) for 
specific requirements concerning predeparture filing time frames.
* * * * *
    (4) 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 CBP at least 72 hours prior to 
export. The filer must also provide the carrier with the filing 
citation as required by paragraph (b) of this section.
    (c) * * *
    (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 ultimate consignee 
during the month.
* * * * *
    (f) Downtime Procedures. The Downtime policy becomes effective when 
the Census Bureau has officially notified filers electronically that 
the AES and/or AESDirect are not operating and cannot generate ITNs.
    (1) If the filer's transmission method to the AES (e.g., certified 
software) is unavailable, the filer must delay the export of the goods 
or find an available alternative filing method (e.g., AESDirect, 
authorized agent).
    (2) Except as noted in Sec.  30.4(f)(3), if AES and/or AESDirect is 
unavailable, the goods may be exported and the filer must: (A) Provide 
the appropriate downtime citation as described in Sec.  30.7(b) and 
appendix B; and (B) Report the EEI at the first opportunity AES or 
AESDirect is available.
    (3) For export shipments noted in Sec.  30.2(a)(1)(iv), if a filer 
is unable to acquire an ITN because the AES and/or AESDirect is not 
operating, the filer shall not export until the AES is operating and an 
ITN is acquired, and

[[Page 86767]]

the downtime filing citation shall not be used.
* * * * *
0
6. Amend Sec.  30.5 by revising paragraphs (c)(3)(i)(E) and (F), and 
(d)(1) and (2). The revisions read as follows:


Sec.  30.5  Electronic Export Information filing processes and 
standards.

* * * * *
    (c) * * *
    (3) * * *
    (i) * * *
    (E) The USPPI has failed to comply with existing export regulations 
or has failed to pay any outstanding penalties assessed in connection 
with such noncompliance;
    (F) The USPPI would pose a significant threat to national security 
interests such that its continued participation in postdeparture filing 
should be terminated; or
* * * * *
    (d) * * *
    (1) AESDirect usernames 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 a 
username and password. If an employee with a username 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.
* * * * *
0
7. Amend Sec.  30.6 by revising (a)(1), (a)(1)(ii) and (iii), (a)(3) 
and (4), (a)(11) and (13), and (b)(2), (4), (6), and (13) to read as 
follows:


Sec.  30.6  Electronic Export Information data elements.

* * * * *
    (a) * * *
    (1) USPPI. The person in the United States that receives the 
primary benefit, monetary or otherwise, from the export transaction. 
See Sec.  30.3(b)(2) for scenarios identifying the USPPI. The name, 
address of origin, identification number, and contact information of 
the USPPI shall be reported to the AES as follows:
* * * * *
    (ii) Address of origin. In all EEI filings, the USPPI shall report 
the address of origin (no post office box number) from which the goods 
actually begin the journey to the port of export even if the USPPI does 
not own/lease the facility. For example, the EEI covering goods stored 
in inventory at a warehouse in Georgia for transport to Florida for 
loading onto a vessel for export to a foreign country shall show the 
address of origin of the warehouse in Georgia. For shipments of multi-
addresses of origin, reported as a single shipment, report the address 
of origin of the commodity with the greatest value. If such information 
is not known, report the address of origin where the commodities are 
consolidated for export.
    (iii) USPPI identification number. Report the Employer 
Identification Number (EIN) of the USPPI. If 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, and 
not the EIN used to report only company earnings or receipts. Use of 
another company's EIN is prohibited. If a USPPI reports a DUNS, the EIN 
is also required to be reported. 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 U.S. 
Customs and Border Protection (CBP) on behalf of the foreign entity. 
The appropriate Party ID Type code shall be reported to the AES.
* * * * *
    (3) Ultimate consignee. The ultimate consignee is the person 
located abroad as known at the time of export who receives the export 
shipment. The name and address of the ultimate consignee, whether by 
sale in the United States or abroad or by consignment, shall be 
reported in the EEI. For example, when there is knowledge of an end 
user's name, address and when the end user will receive the goods, the 
end user is the ultimate consignee. When the foreign buyer is a 
reseller/distributor and the end user's name and address is unknown or 
there is no knowledge when the end user will receive the goods from the 
foreign buyer, e.g., the goods are stored in inventory, the foreign 
buyer is the ultimate consignee. For goods sold en route, report the 
appropriate ``To be Sold En Route'' indicator in the EEI, and report 
corrected information as soon as it is known (see Sec.  30.9 for 
procedures on correcting AES information).
    (4) U.S. state of origin. The U.S. state of origin is the 2-
character postal code for the state in which the goods begin their 
journey to the port of export. For example, the EEI covering goods 
stored in inventory at a warehouse in Georgia for transport to Florida 
for loading onto a vessel for export to a foreign country shall show 
Georgia as the state of origin. For shipments of multi-state origin, 
reported as a single shipment, report the U.S. state of the commodity 
with the greatest value. If such information is not known, report the 
state in which the commodities are consolidated for export.
* * * * *
    (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. See 30.1(c) for definitions of domestic and foreign 
goods.
* * * * *
    (13) Commodity description. Report the description of the goods 
shipped in English in sufficient detail to permit verification of the 
Schedule B or HTSUSA number. Clearly and fully state the name of the 
commodity in terms that can be identified or associated with the 
language used in Schedule B or HTSUSA (usually the commercial name of 
the commodity), and any characteristics of the commodity that 
distinguish it from commodities of the same name covered by other 
Schedule B or HTSUSA classifications. If the shipment requires a 
license, the description reported in the EEI shall conform with that 
shown on the license. If the shipment is eligible for a license 
exception or exemption, the description shall be sufficient to ensure 
compliance with that license exception or exemption. However, where the 
description on the license does not state all of the characteristics of 
the commodity that are needed to completely verify the commodity 
classification number, as described in this paragraph, report the 
missing characteristics, as well as the description shown on the 
license, in the commodity description field of the EEI.
* * * * *
    (b) * * *
    (2) Intermediate consignee. The name and address of the 
intermediate consignee (if any) shall be reported. The intermediate 
consignee is located abroad and acts as an agent for the principal 
party in interest or the ultimate consignee and takes possession of the 
goods for the purpose of effecting delivery of goods to the ultimate 
consignee. The intermediate consignee may be a forwarding agent or 
other person abroad who acts as an agent for a principal party in 
interest.
* * * * *
    (4) Foreign port of unlading. The foreign port of unlading is the 
foreign

[[Page 86768]]

port in the country where the goods are removed from the exporting 
conveyance. The foreign port does not have to be located in the country 
of destination. For exports by sea to foreign countries, not including 
Puerto Rico, the foreign port of unlading is the code in terms of 
Schedule K, Classification of Foreign Ports by Geographic Trade Area 
and Country. For exports by sea or air between the United States and 
Puerto Rico, the foreign port of unlading is the code in terms of 
Schedule D, Classification of CBP Districts and Ports. The foreign port 
of unlading is not required for exports by other modes of 
transportation, including rail, truck, mail, fixed (pipeline), or air 
(unless between the U.S. and Puerto Rico).
* * * * *
    (6) Export Control Classification Number (ECCN). The number used to 
identify items on the CCL, Supplement No. 1 to Part 774 of the EAR. The 
ECCN consists of a set of digits and a letter. Items that are not 
classified under an ECCN are designated ``EAR99''. See Sec.  758.1(g) 
of the EAR for ECCN reporting requirements.
* * * * *
    (13) Entry number. The entry number must be reported when the 
export meets the scenarios of 30.3(b)(2)(iv) and (v) or the Domestic or 
foreign indicator is foreign when goods of foreign origin enter the 
United States for consumption or warehousing, and then stored in a 
warehouse or storage facility or admitted into a FTZ before being 
exported. For goods that are exported from a FTZ where inbond types 67 
(FTZ withdrawal for immediate exportation) and 68 (FTZ withdrawal for 
transportation and exportation) are selected, the entry number to be 
reported is the two-position year and control number derived from the 
Zone Admission Number documented on the 214/e214 associated with the 
withdrawal. For example, if the Zone Admission Number associated with 
the withdrawal is 0987654AB 22 12345678, then the entry number to be 
reported is 2212345678. If more than one Zone Admission Number is 
associated with the export, then report the entry number based off the 
Zone Admission Number with the greatest value. For all other scenarios 
where goods are exported after entering the United States for 
consumption, or warehousing (entry types 36 [warehouse withdrawal for 
immediate exportation] and 37 [warehouse withdrawal for transportation 
and exportation]), the 11-position entry number as identified on the 
CBP-7501 shall be reported. When the importer of record on the import 
entry is the customs broker or foreign person, the customs broker shall 
provide the entry number to assist in the preparation of the EEI (See 
15 CFR 30.3(b)(2) and the Note to paragraph Sec.  30.3(b)(2)(iv)).
* * * * *
0
8. Amend Sec.  30.8 by revising the introductory text.
    The revision reads as follows:


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

    The following conditions govern the time and place to present the 
proof of filing, postdeparture, downtime, exclusion, or exemption 
citations. The USPPI or the authorized agent is required to deliver the 
proof of filing, postdeparture, downtime, exclusion, or exemption 
citations required in Sec.  30.7 to the exporting carrier. See Appendix 
B of this part for the properly formatted proof of filing, 
postdeparture, downtime, exclusion, or exemption citations. Failure of 
the USPPI or authorized agent to comply with these requirements 
constitutes a violation of the regulations in this part and renders 
such principal party or the authorized agent subject to the penalties 
provided for in Subpart H of this part.
* * * * *
0
9. Amend Sec.  30.10 by revising paragraph (a) and adding a Note to 
paragraph (a).
    The revision and addition read as follows:


Sec.  30.10   Retention of export information and the authority to 
require production of documents.

    (a) Retention of export information. All parties to the export 
transaction (USPPIs, FPPIs, authorized agents, and/or owners and 
operators of export carriers) shall retain documents pertaining to the 
export shipment for five years from the date of export. If the 
Department of State or other regulatory agency has recordkeeping 
requirements for exports that exceed the retention period specified in 
this part, then those requirements prevail. The USPPI or the authorized 
agent may request a copy of the electronic record or submission from 
the Census Bureau as provided for in Subpart G of this part. The Census 
Bureau's retention and maintenance of AES records does not relieve 
filers from requirements in Sec.  30.10.

    Note to paragraph (a) of this section:  As set forth in 
30.60(c)(4), the USPPI, the authorized agent, or a representative of 
the USPPI shall not disclose the EEI for nonofficial purposes to a 
foreign person or foreign government, including the foreign entity 
as the USPPI or the FPPI. For items in this section a foreign entity 
as the USPPI and the FPPI shall retain documents pertaining to the 
export shipment as a party to the export transaction; however, the 
EEI shall not be disclosed for ``nonofficial purposes,'' either in 
whole or in part.

* * * * *
0
10. Amend Sec.  30.17 by revising the introductory text.
    The revision reads as follows:


Sec.  30.17   Customs and Border Protection regulations.

    Refer to the DHS's CBP regulations, 19 CFR part 192, for 
information referencing the advanced electronic submission of cargo 
information on exports for screening and targeting purposes pursuant to 
the Trade Act of 2002. The regulations also prohibit postdeparture 
filing of export information for certain shipments and contain other 
regulatory provisions affecting the reporting of EEI.


Sec.  30.18(c)   [Removed]

0
11. Remove Sec.  30.18(c).
0
12. Amend Sec.  30.26 by revising paragraph (b).
    The revision reads as follows:


Sec.  30.26   Reporting of vessels, aircraft, cargo vans, and other 
carriers and containers.

* * * * *
    (b) The country of destination to be shown in the EEI for vessels 
exported for sale is the country of new ownership. The country for 
which the vessel clears, or the country of registry of the vessel, 
should not be reported as the country of destination in the EEI unless 
such country is the country of new ownership.
* * * * *
0
13. Amend Sec.  30.29 by revising paragraphs (a)(1) and (2).
    The revisions read as follows:
* * * * *
    (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 
alteration, and declared as such on importation as described in Sec.  
30.53 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 as described in Sec.  30.53 shall have 
Schedule B number 9801.10.0000. In the value field, report

[[Page 86769]]

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.
* * * * *
0
14. Amend Sec.  30.37 by revising paragraph (a).
    The revision reads as follows:
* * * * *
    (a) Exports of commodities where the value of the commodities 
shipped from one USPPI to one ultimate consignee on a single exporting 
conveyance, classified under an individual Schedule B number or HTSUSA 
commodity classification code is $2,500 or less. This exemption applies 
to individual Schedule B numbers or HTSUSA commodity classification 
codes regardless of the total shipment value. In instances where a 
shipment contains a mixture of individual Schedule B numbers or HTSUSA 
commodity classification codes valued at $2,500 or less and individual 
Schedule B numbers or HTSUSA commodity classification codes valued over 
$2,500, only those Schedule B numbers or HTSUSA commodity 
classification codes valued over $2,500 are required to be reported. If 
the filer reports multiple items of the same Schedule B number or 
HTSUSA commodity classification code, this exemption only applies if 
the total value of exports for the Schedule B number or HTSUSA 
commodity classification code is $2,500 or less. Items of domestic and 
foreign origin under the same commodity classification number must be 
reported separately and EEI filing is required when either is over 
$2,500. For the reporting of household goods see Sec.  30.38.
* * * * *
0
15. Amend Sec.  30.39 by revising the introductory text.
    The revision reads as follows:


Sec.  30.39   Special exemptions for shipments to the U.S. Armed 
Services.

    Except as noted in Sec.  30.2(a)(1)(iv), filing of EEI is not 
required for any commodities, whether shipped commercially or through 
government channels, consigned to the U.S. Armed Services for their 
exclusive use, including shipments to armed services exchange systems. 
This exemption does not apply to articles that are on the USML and thus 
controlled by the ITAR and/or shipments that are not consigned to the 
U.S. Armed Services, regardless of whether they may be for their 
ultimate and exclusive use.
* * * * *
0
16. Amend Sec.  30.51 by revising the introductory text.
    The revision reads as follows:


Sec.  30.51   Statistical information required for import entries.

    The information required for statistical purposes is, in most 
cases, also required by CBP regulations for other purposes. Refer to 
the CBP website at cbp.gov to download ``Instructions for Preparation 
of CBP-7501,'' for completing the paper entry summary documentation 
(CBP-7501). Refer to the Customs and Trade Automated Interface 
Requirements for instructions on submitting an Automated Commercial 
Environment (ACE) Automated Broker Interface (ABI) electronic record, 
or instructions for completing CBP-226 for declaring any equipment, 
repair parts, materials purchased, or expense for repairs incurred 
outside of the United States.
0
17. Amend Sec.  30.52 by revising the introductory text.
    The revision reads as follows:


Sec.  30.52   Foreign Trade Zones (FTZ).

    When goods are withdrawn from a FTZ for export to a foreign 
country, the export shall be reported in accordance with Sec.  30.2. 
Foreign goods admitted into FTZs shall be reported as a general import. 
Statistical requirements for zone admissions are provided to the Census 
Bureau via CBP's ABI electronic 214 (e214) program or the CBP Form 214A 
Application for Foreign Trade Zone Admission and/or Status Designation. 
Refer to the CBP website at cbp.gov to download the ``Foreign Trade 
Zone Manual'' that includes the CBP Form 214--Application for FTZ 
Admission (Appendix A) and Instructions for filling out the 214 
(Appendix B). When goods are withdrawn for domestic consumption or 
entry into a bonded warehouse, the withdrawal shall be reported on CBP 
7501 or through the ABI in accordance with CBP regulations. The 
instructions and definitions for completing the e214 are provided in 19 
CFR 146. The following data items are required to be filed on the 214A, 
for statistical purposes:
* * * * *
0
18. Amend Sec.  30.60 by revising paragraphs (b)(1)(vii), and (c)(1), 
(2), and (4).
    The revisions read as follows:
* * * * *
    (b) * * *
    (1) * * *
    (vii) Analyzing the impact of proposed and implemented trade 
agreements and fulfilling U.S. obligations under such agreements; and
* * * * *
    (c) * * *
    (1) Any purpose related to the collection of domestic or foreign 
taxes, or other fees, except as related to paragraph (b)(1)(vi) of this 
section.
    (2) For export promotion or similar types of marketing operations. 
This limitation does not preclude the use of the information to monitor 
compliance with agricultural marketing orders and export quality 
compliance programs.
* * * * *
    (4) To foreign persons or foreign governments for any purpose, 
including the foreign entity as the USPPI or the FPPI.
* * * * *
0
19. Amend Sec.  30.61 by revising the introductory text, and paragraphs 
(a) and (b).
    The revisions read as follows:


Sec.  30.61   Statistical classification schedules.

    The following statistical classification schedules are referenced 
in this part. These schedules may be accessed through the Census 
Bureau's website at https://www.census.gov/trade.
    (a) Schedule B--Statistical Classification for Domestic and Foreign 
Commodities Exported from the United States shows the detailed 
commodity classification requirements and 10-digit statistical 
reporting numbers to be used in preparing EEI, as required by these 
regulations.
    (b) Harmonized Tariff Schedule of the United States shows the 10-
digit statistical reporting number to be used in preparing import 
entries and withdrawal forms.
* * * * *
0
20. Amend Sec.  30.71 by revising paragraph (a)(2). The revision reads 
as follows:


Sec.  30.71   False or fraudulent reporting on or misuse of the 
Automated Export System.

    (a) * * *
    (2) Furtherance of illegal activities. Any person, including 
USPPIs, authorized agents or carriers, who knowingly reports, directly 
or indirectly, to the U.S. Government any information through or 
otherwise uses the AES to further any illegal activity shall be subject 
to account deactivation, a fine not to exceed $10,000, imprisonment for 
not more than five years, or any or all of these penalties, for each 
violation.
* * * * *
0
21. Amend Sec.  30.74 by revising paragraphs (b)(4) and (d). The 
revisions read as follows:
    (b) * * *
    (4) Any person, including USPPIs, authorized agents, or carriers, 
will not

[[Page 86770]]

be deemed to have made a voluntary self-disclosure under this section 
unless the individual making the disclosure did so with the full 
knowledge and authorization of senior management. The Census Bureau 
will not accept a voluntary self-disclosure from a FPPI or legal 
counsel or other party representing a FPPI.
* * * * *
    (d) Action by the Census Bureau. After the Census Bureau has been 
provided with the required narrative, it may promptly notify CBP, ICE, 
and BIS's Office of Export Enforcement (OEE) of the voluntary 
disclosure, acknowledge the disclosure by letter, provide the person 
making the disclosure with a point of contact, and take whatever 
additional action, including further investigation, it deems 
appropriate. As quickly as the facts and circumstances of a given case 
permit, the Census Bureau may take any of the following actions: (1) 
Inform the person or company making the voluntary self-disclosure of 
the action to be taken. (2) Issue a letter in response to the voluntary 
self-disclosure. (3) Refer the matter, if necessary, to the OEE for the 
appropriate action.
0
22. Amend appendix B to part 30 by revising the entries for ``X. 
Miscellaneous Exclusion Statements'' and ``XI. Split Shipments''. The 
revisions read as follows:

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

* * * * *

------------------------------------------------------------------------
 
------------------------------------------------------------------------
X. Miscellaneous Exclusion Statements are found   NOEEI Sec.   30.2(d)
 in 15 CFR part 30 subpart A Sec.   30.2(d).       (site corresponding
                                                   number).
XI. Split Shipments Split Shipments should be     AES ITN SS.
 referenced as such on the manifest in            Example: AES
 accordance with provisions contained in Sec.      X20170101987654 SS.
 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.
------------------------------------------------------------------------

0
23. Add Appendix C to part 30 to include the data elements that the 
USPPI and authorized agent are responsible for in a routed export 
transaction.

Appendix C to Part 30--Required Data Elements--Routed Export 
Transactions

------------------------------------------------------------------------
  Data elements provided by the USPPI     Data elements provided by the
               30.3(e)(1)                  authorized agent 30.3(e)(2)
------------------------------------------------------------------------
(A) Name, address of origin, contact     (A) Date of export
 name and contact phone of the USPPI      [30.6(a)(2)].
 [30.6(a)(1)].
(B) USPPI identification number          (B) Ultimate consignee
 [30.6(a)(1)].                            [30.6(a)(3)].
(C) U.S. State of origin [30.6(a)(4)]..  (C) Ultimate consignee type
                                          [30.6(a)(28)].
(D) Domestic or foreign indicator        (D) Country of ultimate
 [30.6(a)(11)].                           destination [30.6(a)(5)].
(E) Commodity classification number      (E) Method of transportation
 [30.6(a)(12)].                           [30.6(a)(6)].
(F) Commodity description [30.6(a)(13)]  (F) Conveyance name/carrier
                                          name [30.6(a)(7)].
(G) Primary unit of measure              (G) Carrier identification
 [30.6(a)(14)].                           [30.6(a)(8)].
(H) Primary quantity [30.6(a)(15)].....  (H) Port of export
                                          [30.6(a)(9)].
(I) Value [30.6(a)(17)]................  (I) Related party indicator
                                          [30.6(a)(10)].
(J) Export information code              (J) Shipping weight
 [30.6(a)(18)].                           [30.6(a)(16)].
(K) Hazardous material indicator         (K) Shipment Reference Number
 [30.6(a)(21)].                           [30.6(a)(19)].
(L) Inbond code [30.6(a)(22)]..........  (L) License code/license
                                          exemption code [30.6(a)(23)].
(M) License code/license exemption code  (M) Routed export transaction
 [30.6(a)(23)].                           indicator [30.6(a)(24)].
(N) FTZ identifier, if applicable.       (N) Filing option indicator
 [30.6(b)(3)].                            [30.6(a)(27)].
(O) Export license number/CFR citation/  (O) Authorized agent and
 KPC number, if applicable.               authorized agent
 [30.6(b)(5)].                            identification [30.6(b)(1)].
(P) Export Control Classification        (P) Intermediate consignee, if
 Number (ECCN), if applicable.            applicable. [30.6(b)(2)].
 [30.6(b)(6)].
(Q) Secondary units of measure, if       (Q) Foreign port of unlading,
 applicable. [30.6(b)(7)].                if applicable. [30.6(b)(4)].
(R) Secondary quantity, if applicable.   (R) Export license number/CFR
 [30.6(b)(8)].                            citation/KPC number, if
                                          applicable. [30.6(b)(5)].
(S) Vehicle Identification Number (VIN)/ (S) Transportation Reference
 Product ID, if applicable.               Number, if applicable.
 [30.6(b)(9)].                            [30.6(b)(14)].
(T) Vehicle ID qualifier, if             (T) License value, if
 applicable. [30.6(b)(10)].               applicable. [30.6(b)(15)].
(U) Vehicle title number, if
 applicable. [30.6(b)(11)].
(V) Vehicle title state code, if
 applicable. [30.6(b)(12)].
(W) Entry number, if applicable.
 [30.6(b)(13)].
(X) License value, if applicable.
 [30.6(b)(15)].
(Y) Kimberley Process Certificate (KPC)
 number, if applicable. [30.6(b)(17)].
------------------------------------------------------------------------


    Note to Appendix C:  For the License code/license exemption 
code, Export license number/CFR citation/KPC number, Export Control 
Classification Number (ECCN), and License value where the FPPI has 
assumed responsibility for determining and obtaining license 
authority see requirements set forth in 15 CFR 758.3 of the EAR. 
When accessing routed export transactions reported on the EEI in 
AES, the USPPI will be limited to only viewing in an AES report in 
ACE the data elements in Appendix C, Date of export, Filer ID, the 
ITN, and any approved system generated data elements.

* * * * *

    Dated: October 17, 2024.
Shannon Wink,
Program Analyst, Policy Coordination Office, U.S. Census Bureau.
[FR Doc. 2024-24482 Filed 10-30-24; 8:45 am]
BILLING CODE 3510-07-P