81 FR 12423 - Foreign Trade Regulations: Clarification on Filing Requirements

DEPARTMENT OF COMMERCE
Bureau of the Census

Federal Register Volume 81, Issue 46 (March 9, 2016)

The Bureau of the Census (Census Bureau) is proposing to amend its regulations to reflect new export reporting requirements 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 proposed changes also include the addition of two new data elements in the Automated Export System (AES); the original Internal Transaction Number (ITN) field and the used electronics indicator. Lastly, the Census Bureau proposes to make changes to provide clarity on existing reporting requirements. These changes are discussed in detail in the SUPPLEMENTARY INFORMATION section.

[Federal Register Volume 81, Number 46 (Wednesday, March 9, 2016)]
[Proposed Rules]
[Pages 12423-12430]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2016-05047]


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Proposed Rules
                                                Federal Register
________________________________________________________________________

This section of the FEDERAL REGISTER contains notices to the public of 
the proposed issuance of rules and regulations. The purpose of these 
notices is to give interested persons an opportunity to participate in 
the rule making prior to the adoption of the final rules.

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Federal Register / Vol. 81, No. 46 / Wednesday, March 9, 2016 / 
Proposed Rules

[[Page 12423]]



DEPARTMENT OF COMMERCE

Bureau of the Census

15 CFR Part 30

[Docket Number: 151222999-6020-01]
RIN 0607-AA55


Foreign Trade Regulations: Clarification on Filing Requirements

AGENCY: Bureau of the Census, Commerce Department.

ACTION: Notice of proposed rulemaking.

-----------------------------------------------------------------------

SUMMARY: The Bureau of the Census (Census Bureau) is proposing to amend 
its regulations to reflect new export reporting requirements 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 
proposed changes also include the addition of two new data elements in 
the Automated Export System (AES); the original Internal Transaction 
Number (ITN) field and the used electronics indicator. Lastly, the 
Census Bureau proposes to make changes to provide clarity on existing 
reporting requirements. These changes are discussed in detail in the 
SUPPLEMENTARY INFORMATION section.

DATES: Submit written comments on or before May 9, 2016.

ADDRESSES: Please direct all written comments on this notice of 
proposed rulemaking to the Chief, International Trade Management 
Division, U.S. Census Bureau, Washington, DC 20233-6010. You may also 
submit comments, identified by RIN number 0607-AA55, to the Federal e-
Rulemaking Portal: http://www.regulations.gov. All comments received 
are part of the public record. No comments will be posted to http://www.regulations.gov for public viewing until after the comment period 
has closed. Comments will generally be posted without change. All 
Personal Identifying 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. The Census Bureau will accept anonymous comments 
(enter N/A in the required fields, if you wish to remain anonymous). 
You may submit attachments to electronic comments in Microsoft Word, 
Excel, WordPerfect, or Adobe PDF file formats only.

FOR FURTHER INFORMATION CONTACT: 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: 
[email protected].

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), the interagency program for 
collecting trade related information was established by section 405 of 
the Security and Accountability for Every (SAFE) Port Act of 2006 (Pub. 
L. 109-347, 120 Stat. 1884) to eliminate redundant information 
collection and for the collection and distribution of standard 
electronic import and export data required by all participating federal 
agencies. The ITDS also seeks to efficiently regulate the flow of 
commerce and to effectively enforce laws and regulations relating to 
international trade by establishing a single portal system, or ``single 
window.''
    The Automated Export System (AES), or any successor system, is the 
mechanism by which 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 of 
the Code of Federal Regulations (CFR), part 30. In order to achieve the 
goals of the ITDS, the AES has been incorporated into Automated 
Commercial Environment (ACE), the ``single window,'' which is operated 
and maintained by U.S. Customs and Border Protection (CBP) for the 
submission and processing of trade information. The AES will 
additionally include export information collected under other federal 
agencies' authority, which is subject to those agencies' disclosure 
mandates.
    The Census Bureau is also proposing to add two new data elements, 
``Original ITN'' and a ``Used electronics indicator.'' The ``Original 
ITN'' may be utilized if a previously filed shipment is replaced or 
divided and for which additional shipment(s) must be filed. Adding the 
``Original ITN'' 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). 
The ``Used electronics indicator'' is being added to improve 
information on trade flows on used electronics in order to effectuate 
the Resource Conservation and Recovery Act (RCRA) 42 U.S.C. 6901 et 
seq.; Executive Order 13693, Planning for Federal Sustainability in the 
Next Decade; and the National Strategy for Electronics Stewardship. The 
goal of these directives is to improve the availability and quality of 
data on the trade and handling of used electronics in order to develop 
and encourage the employment of environmentally sound practices with 
respect to disposal of all excess or surplus electronic products in 
order to reduce the likelihood of negative impacts to the health and 
environment in developing countries.
    The revised timeframes for split shipments that were addressed in 
FTR Letter #6, Notice of Regulatory Change for Split Shipments, have 
been incorporated into the proposed text.
    Finally, the proposed revisions to the FTR have received 
concurrence from the Department of Homeland Security and the U.S. 
Department of State as required by title 13, United States Code, 
section 303, and Public Law 107-228, div. B, title XIV, section 1404.

Program Requirements

    The Census Bureau is proposing to amend the following sections of 
15 CFR part 30:
     In Sec.  30.1(c), revise the definition of ``AES 
applicant'' to remove the text ``applies to the Census Bureau for 
authorization'' 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

[[Page 12424]]

or through ACE and will be processed by CBP. Also, 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 AES also apply to AESDirect, and eliminate 
the URL.
     In Sec.  30.1(c), revise the definition of ``AES downtime 
filing citation'' to allow for an electronic process and to clarify 
that the citation cannot be used for shipments subject to the 
International Traffic in Arms Regulations (ITAR).
     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 reduce redundancy.
     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 ``Fatal error 
message'' by removing the language ``the problem, correct the data'' to 
reduce redundancy.
     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.
     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).''
     In Sec.  30.1(c), add the term ``Used electronics'' to 
clarify the new conditional data element that will be collected.
     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.  30.2(c) to clarify the ACE Exporter Account 
Application and Certification Process.
     Revise Sec.  30.3(e)(2) to add language requiring the date 
of export and Internal Transaction Number (ITN) to be provided to the 
U.S. Principal Party in Interest (USPPI) upon request.
     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) to read ``EEI transmitted 
postdeparture.''
     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 since the AES application and 
certification process are removed.
     Revise Sec.  30.5 to remove the introduction paragraph 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.
     Revise Sec.  30.6 introductory paragraph 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) as 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(b) to add paragraph (18) to include the 
used electronics indicator to improve information on trade flows and 
the disposal of used electronics to ensure compliance with the Resource 
Conservation and Recovery Act (RCRA) 42 U.S.C 6901 et seq. and 
Executive Order 13693, Planning for Sustainability in the Next Decade.
     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

[[Page 12425]]

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.
     Revise Sec.  30.28 introductory paragraph 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) to eliminate 
redundancy.
     Revise Sec.  30.29(a)(1), (a)(2) and (b)(2) to remove the 
terms ``Non-USML'' and ``USML'' and add the phrases ``goods not 
licensed by a U.S. Government agency'' and ``goods licensed by a U.S. 
Government agency or controlled by the ITAR'' to clarify that EEI shall 
be filed as stated on the export license, if applicable.
     Revise Sec.  30.36(b)(4) to ensure consistency with the 
Export Administration Regulations.
     Revise the title to subpart E and Sec.  30.45, revise 
Sec.  30.45(a), (a)(1) and (b), remove and reserve Sec.  30.45(a)(2), 
and remove Sec.  30.45(c) through (f) to ensure consistency with the 
CBP regulations.
     Revise Sec. Sec.  30.46 and 30.47 by removing and 
reserving these sections.
     Revise Sec.  30.50 introductory paragraph to remove 
Automated Broker Interface (ABI) and insert the reference to ACE.
     Revise Sec.  30.53 introductory paragraph to provide more 
detail for classifying goods temporarily imported for repair and remove 
Sec.  30.53(a) and (b).
     Revise Sec.  30.74(c)(5) to indicate the new division name 
and revise the address.

Appendix B

     Revise appendix B, part III, to include the new BIS 
License Exception C60 DY6--.y ``600 series'' items.
     Revise appendix B, part III, to include the new BIS 
License Exception C62 SCP--Support for the Cuban People.

Appendix D

     Revise the title in appendix D to read ``Appendix D to 
Part 30--AES Filing Citation, Exemption and Exclusion Legends.''
     Revise appendix D numbers III and IV to clarify the dates 
listed in the examples are the dates of export.
     Revise appendix D to remove ``XII. Proof of filing 
citations by pipeline.''

Appendix E

     Remove appendix E as the references between the Foreign 
Trade Statistics Regulations (FTSR) and FTR are no longer necessary 
because the FTSR became obsolete on June 2, 2008.

Rulemaking Requirements

Regulatory Flexibility Act

    The Chief Counsel for Regulation of the Department of Commerce 
certified to the Chief Counsel for Advocacy of the Small Business 
Administration (SBA) that this proposed rule will not have a 
significant impact on a substantial number of small entities.
    This action requires that U.S. Principal Parties in Interest 
(USPPIs) or authorized agents in the United States file export 
information to the AES for all shipments where an Electronic Export 
Information (EEI) record is required under the FTR. The SBA's table of 
size standards indicates that businesses that are the USPPI or 
authorized agent and file export information are considered small 
businesses if they employ less than 500 people. Based on Exhibit 7a of 
the 2013 Profile of U.S. Exporting Companies, the Census Bureau 
estimates that there are 297,000 USPPIs that are considered small 
business entities under the Small Business Act definition. And more 
than 90 percent of these USPPIs use an authorized agent to file export 
information. An estimate of the number of authorized agents is not 
known and unable to be determined.
    The Census Bureau anticipates that the new requirements will not 
significantly affect the small businesses that file through the AES. 
While this regulation would likely affect a substantial number of 
agents that are small entities, it is not likely that the effect will 
be significant. The majority of agents require use of a computer to 
perform routine tasks, such as filing through the AES. These agents are 
unlikely to be significantly affected by these new requirements, as 
they already possess the necessary technology and equipment to submit 
the information through the AES. 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, this proposed rule will not have a significant 
economic impact on a substantial number of small entities.

Executive Orders

    This proposed rule has been determined to be not significant for 
purposes of Executive Order 12866. It has been determined that this 
proposed 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 proposed 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 
proposing to amend 15 CFR part 30 as follows:

PART 30--FOREIGN TRADE REGUALTIONS

Subpart A--General Requirements

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)'', 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 ``Fatal error message'';

[[Page 12426]]

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 ``Used 
electronics''.
    The revisions and additions read as follows:


Sec.  30.1  Purpose and definitions.

* * * * *
    (c) * * *
    AES applicant. The USPPI or authorized agent who registers through 
ACE to report export information electronically to the AES, or through 
AESDirect.
    AESDirect. A free Internet application that allows USPPIs and 
authorized agents to transmit EEI to the AES via the Internet. All 
regulatory requirements pertaining to 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. The 
citation must appear on the bill of lading, air waybill, export 
shipping instructions, other commercial loading documents or electronic 
equivalent. The downtime filing citation is not to be used when the 
filer's system is down, experiencing delays or for shipments subject to 
the International Traffic in Arms Regulations (ITAR).
* * * * *
    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, including AESDirect, for 
collecting EEI (or any successor document) 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.
    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.
* * * * *
    Container. (1) 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 metre or more;
    (2) 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.
* * * * *
    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 enhanced in value or improved in condition by further processing 
or manufacturing in the United States.
* * * * *
    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. The filer 
is required to immediately correct and retransmit the EEI.
    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 and 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.
* * * * *
    Used electronics. Various electronic equipment, products and 
associated accessories including consumer electronics and information 
technology equipment that are no longer in new packaging and have been 
given away or sold to be recycled, resold, reused, refurbished, 
repaired or disposed.
* * * * *
0
3. Amend Sec.  30.2 by revising paragraphs (a)(1)(iv)(A) and (C), 
(b)(3), and (c) to read as follows:

[[Page 12427]]

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 Department of State regulations.
* * * * *
    (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) Certification and filing requirements. Approval is required to 
file EEI or develop AES software.
    (1) ACE Exporter Account Application. USPPIs or authorized agents 
who choose to file via the AESDirect shall complete an online ACE 
Exporter Account Application. No certification is required to file via 
AESDirect.
    (2) Letter of intent. The following parties shall complete an 
online letter of intent:
    (i) USPPIs or authorized agents who choose to file in a means other 
than AESDirect;
    (ii) Self-programming USPPIs or authorized agents;
    (iii) Service centers; and
    (iv) Software vendors who develop AES software.
    (3) Certification. The certification process is 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 qualifies for certification. The following parties must complete 
the certification process:
    (i) Self-programming USPPIs or authorized agents,
    (ii) Service centers, and
    (iii) 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 accurate 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, and the ITN. The authorized 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 cargo, the USPPI or the authorized agent shall file 
the EEI required by Sec.  30.6 and provide the filing citation or 
exemption 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 AES 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 by 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 AES 
and this part. For AES assistance, filers may send an email to 
[email protected]. For FTR assistance, filers may send an email to 
[email protected].

0
7. Amend Sec.  30.6 by revising the introductory text, paragraphs 
(a)(1), (a)(1) and (iv), (a)(5)(i) and (ii), (a)(11), (a)(19), and 
(b)(14), and adding paragraphs (b)(18) and (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 by 
other federal agencies' regulations. Refer to the other agencies' 
regulations for reporting requirements.

[[Page 12428]]

    (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 an EIN that the USPPI only 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. 
However, in the case of a BIS license, if no end user is listed, report 
the country of ultimate destination with respect to the ultimate 
consignee on the license. For goods licensed by other government 
agencies, refer to the agencies' specific requirements for providing 
country of 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 
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 
ultimate destination is the country specified with respect to the end 
user.
    (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 item(s) that are being exported.
* * * * *
    (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 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:
* * * * *
    (18) Used electronics indicator. An indicator that identifies 
whether the commodity is a used electronic. Used electronics are 
various electronic equipment, products and associated accessories 
including consumer electronics and information technology equipment 
that are no longer in new packaging and have been given away or sold to 
be recycled, resold, reused, refurbished, repaired or disposed.
    (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.


Sec.  30.10  [Amended]

0
8. Amend Sec.  30.10 by removing paragraphs (a)(1) and (2).
0
9. 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 not exported within 
time frame 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
10. Amend Sec.  30.29 by revising paragraphs (a)(1) and (2) and (b)(2) 
to read as follows:

[[Page 12429]]

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 alternation, 
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 U.S. Government 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 or exemption legend on the commercial 
document. 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 items 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
11. 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 under the Export 
Administration Regulations (15 CFR 758.1(b)).
* * * * *
0
12. Amend subpart E by revising the heading to read as follows:

Subpart E--Manifest Requirements

0
13. Amend Sec.  30.45 by revising the section heading, paragraphs (a) 
introductory text and (a)(1), removing and reserving paragraph (a)(2); 
revising paragraph (b); 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.
* * * * *
    (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 the basis for the exemption.


Sec. Sec.  30.46 and 30.47  [Removed and reserved]

0
14. Remove and reserve Sec. Sec.  30.46 and 30.47.
0
15. 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 or its licensed import broker and filed 
directly with CBP in accordance with 19 CFR parts 1 through 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 or importer 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
16. 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 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
17. 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 Sec.  30.74(c), 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.
* * * * *
0
18. Amend Appendix B by adding in alpha-numeric order license code 
entries for ``C60'' and ``C62'' to Part III, under the undesignated 
center heading Department of Commerce, Bureau of Industry and Security 
(BIS) to read as follows:

Appendix B to Part 30--AES Filing Codes

* * * * *

Part III--License Codes

    Department of Commerce, Bureau of Industry and Security (BIS), 
Licenses
* * * * *
C60 DY6--.y ``600 series'' items
C62 SCP--Support for the Cuban People

* * * * *
0
19. Amend Appendix D by revising the heading and entries III and IV, 
and removing entry XII.
    The revisions read as follows:

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

------------------------------------------------------------------------
 
 

[[Page 12430]]

 
                              * * * * * * *
III. AES Postdeparture Citation--USPPI   AESPOST USPPI EIN Date of
 USPPI is filing the EEI.                 Export (mm/dd/yyyy) Example:
                                          AESPOST 12345678912 01/01/
                                          2016.
IV. Postdeparture Citation--Agent Agent  AESPOST USPPI EIN--Filer ID
 is filing the EEI.                       Date of Export (mm/dd/yyyy)
                                          Example: AESPOST 12345678912--
                                          987654321 01/01/2016.
 
                              * * * * * * *
------------------------------------------------------------------------


     Dated: March 1, 2016.
John H. Thompson,
Director, Bureau of the Census.

[FR Doc. 2016-05047 Filed 3-8-16; 8:45 am]
BILLING CODE 3510-07-P