[Federal Register Volume 66, Number 144 (Thursday, July 26, 2001)]
[Notices]
[Pages 39006-39007]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-18542]


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DEPARTMENT OF COMMERCE

Bureau of the Census

[Docket Number 010622161-1161-01]
RIN 0607-AA34


Mandatory Automated Export System (AES) Filing for all Items on 
the Commerce Control List (CCL) and the United States Munitions List 
(USML)

AGENCY: Bureau of the Census, Commerce.

ACTION: Program notice.

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SUMMARY: The Bureau of the Census (Census Bureau) is issuing this 
special program notice to announce to the export community that the 
Automated Export System (AES) Certification Report was submitted to 
Congress. The Certification Report verifies the security and successful 
implementation of the AES, an electronic system for filing Shipper's 
Export Declarations (SEDs). In the future, the Census Bureau will issue 
proposed and final rules in the Federal Register providing additional 
information about the AES requirements and allowing the public to 
comment.
    In addition, this notice announces the requirement for the 
mandatory Automated Export System (AES) filing for all items on the 
Commerce Control List (CCL) and the United States Munitions List 
(USML), whether or not a license is required. This requirement is 
mandated by Public Law 106-113, Title XII, ``Security Assistance,'' 
Subtitle E, ``Proliferation Prevention Enhancement Act of 1999''. This 
law will require that exporters or their agent's who are required to 
file SEDs, file such declarations through the AES with respect to 
exports of items on the CCL and the USML. Section 1252 of this law 
stipulates that the mandatory filing through the AES of all items on 
the CCL and the USML will take effect 270 days after the Secretary of 
Commerce, the Secretary of the Treasury, and the Director of the 
National Institute of Standards and Technology (NIST) provide 
certification to the Senate Committee on Foreign Relations and the 
House Committee on International Relations that the U.S. Customs 
Service AES mainframe computer system and the U.S. Census Bureau 
Internet based AESDirect system are secure and functional systems 
capable of implementing the provisions of Pub. L. 106-113. In response 
to this provision, the Secretaries of Commerce and Treasury and the 
Director of NIST provided such certification and an AES Certification 
Report to the appropriate committees of Congress in June 2001 
initiating the 270-day countdown.

DATES: The effective date for the mandatory filing through the AES of 
all items on the CCL and the USML will be in March 2002. The exact 
effective date will be specified in appropriate regulations that will 
be issued to implement this legislation in the near future.

FOR FURTHER INFORMATION CONTACT: Requests for additional information on 
this requirement should be directed to C. Harvey Monk, Jr., Chief, 
Foreign Trade Division, U.S. Census Bureau, Room 2104, Federal Building 
3, Washington, D.C. 20233-6700, (301) 457-2255 or by fax (301) 457-
2645.

SUPPLEMENTARY INFORMATION: On November 29, 1999, the President signed 
H.R. 3194 into law (Public Law 106-113). The short title to this law, 
as specified in section 1251, is referred to as the ``Proliferation 
Prevention Enhancement Act of 1999.'' Section 1252 of this law amends 
Title 13, United States Code, Chapter 9, Section 301, to add Section 
``(h)'' authorizing the Department of Commerce, Census Bureau, to 
require by regulation mandatory reporting requirements for filing 
export information through the AES. This Act further specifies that all 
items on the CCL and the USML that require an SED be reported through 
the AES, whether or not a license is required. Public Law 106-113 may 
be found at http://www.access.gpo.gov/nara.
    The mandatory filing of all items on the CCL and the USML will take 
effect 270 days after the Department of Commerce, the Department of the 
Treasury, and the NIST jointly certify to the Senate Committee on 
Foreign Relations and the House Committee on International Relations 
that a secure and functional AES mainframe computer system of the U.S. 
Customs Service (Customs) and the Internet based AESDirect system of 
the Census Bureau are capable of implementing the provisions and 
workload volume mandated by the legislation.
    The General Services Administration (GSA), Office of Information 
Security (OIS), conducted independent security and functionality 
assessments of the AES and AESDirect systems. Between June and 
September 2000, GSA/OIS conducted a Level I and Level II security 
assessment of the AES and AESDirect systems. No major security 
vulnerabilities were discovered in either system. There were some minor 
vulnerabilities discovered in both systems, however, the Certification 
Report presented to Congress addresses how each agency either resolved 
the vulnerabilities or the actions being taken to resolve each 
vulnerability. A copy of the AES Certification Report with confidential 
security sections removed is available on the Census Bureau and Customs 
web sites.
    The AES Certification Report certifies the security and 
functionality of the Customs AES mainframe and the Census Bureau 
AESDirect system, and describes the findings and specific 
recommendations for implementing the provisions of the legislation. In 
the report, the Secretary of Commerce, the Secretary of the Treasury, 
and the Director of the NIST certify that: (1) The AES and AESDirect 
systems are secure and functional automated export reporting systems 
that meet the security requirements established by the Federal 
Government; (2) The AES and AESDirect systems are capable of 
implementing the requirements specified in the legislation for the 
mandatory filing through the AES of all items on the CCL and the USML; 
and (3) the AES and AESDirect systems are capable of handling the 
expected volume from the voluntary use of the AES.
    Further, the Chief Information Officers of the Department of 
Commerce, Department of the Treasury, and NIST evaluated the AES and 
AESDirect security and functionality attributes and have determined 
that the AES and AESDirect systems meet the security standards as set 
forth under the Security Standards of the Office of Management and 
Budget Circular A-130 and the Presidential Decision Directive 63. In 
addition, the AES has received a security accreditation from Customs, 
and the AESDirect system has received a security accreditation from the 
Census Bureau.
    Therefore, the AES Certification Report and the Certification 
Letters jointly presented to the Congressional Committees by the 
Secretary of

[[Page 39007]]

Commerce, the Secretary of the Treasury, and the Director of NIST 
certify that a secure and functional AES and AESDirect systems are 
available and capable of handling the reporting through the AES of all 
items on the CCL and USML. It is further certified that the AES and 
AESDirect systems are production operational, have been fully tested, 
and are fully functional with respect to the reporting of all items on 
the CCL or the USML.

Other Requirements

Executive Orders

    This program notice has been determined to be not significant for 
purposes of Executive Order (E.O.) 12866. This notice 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 provision of law, no person is required 
to respond to, nor shall a person be subject to a penalty for failure 
to comply with, a collection of information subject to the requirements 
of the Paperwork Reduction Act (PRA) unless that collection of 
information displays a current valid Office of Management and Budget 
(OMB) control number. This notice does not represent a collection of 
information and is not subject to the PRA's requirements.

Program Change

    The AES Certification Report was submitted to the House Committee 
on International Relations on May 31, 2001, and to the Senate Committee 
on Foreign Relations on June 11, 2001. Therefore, the effective date 
for implementation of mandatory filing through AES for all items on the 
CCL and the USML is planned for March 2002.
    The actual effective date of the AES mandatory filing requirement 
is dependent upon the publication and implementation of final 
regulatory amendments by the Census Bureau, the Bureau of Export 
Administration, and Customs, with the concurrence of the Department of 
State. Proposed and final rules defining the regulatory revisions that 
will be made to implement this legislation will be published in the 
Federal Register in the near future. The provision for the mandatory 
AES filing of all items on the CCL and USML is not negotiable or 
subject to comment. However, there may be other operational regulatory 
provisions required to implement the legislation that will be available 
for comment by the public.

    Dated: July 2, 2001.
William G. Barron, Jr.,
Acting Director, Bureau of the Census.
[FR Doc. 01-18542 Filed 7-25-01; 8:45 am]
BILLING CODE 3510-07-P